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HomeMy WebLinkAbout FULL PACKET_2019-07-02MINUTES OF THE SPECIAL CLOSED SESSION MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA JUNE 4, 2019 CLOSED SESSION MEETING CALLED TO ORDER COUNCIL CHAMBER 22 CIVIC CENTER PLAZA 4:43 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor JUAN VILLEGAS, Mayor Pro Tern CECILIA IGLESIAS (4:47 P.M., Room 147) DAVID PENALOZA VICENTE SARMIEN'TO JOSE SOLORIO (4:49 P.M., Room 147) COUNCILMEMBERS Absent: *WARD 4 VACANT STAFF Present: KRISTINE RIDGE, City Manager SONIA R. CARVALHO, City Attorney NORMA MITRE, Acting Clerk of the Council * Ward 4 councilmember representative resigned on Friday, March 1, 2019. PUBLIC COMMENTS — None. COUNCIL RECESSED to Room 147 for Closed Session discussion at 4:44 p.m. CLOSED SESSION ITEMS - The Brown Act permits legislative bodies to discuss certain matters without members of the public present. The City Council finds, based on advice from the City Attorney, that discussion in open session of the following matters will prejudice the position of the City in existing and anticipated litigation: 1. CONFERENCE WITH LEGAL COUNSEL EXISTING LITIGATION pursuant to paragraph (1) of subdivision (d) of Section 54956.9 of the Government Code: A) _Orange County Catholic Worker, et al. v. Orange County, et al.., U.S. District Court (Central District of California), Case No, SA CV 18-0155-DOC (KESx) B) City of Santa Ana v. County of Orange, et al., (Cross -Complaint), U.S. District Court (Central District of California), Case No. SA CV 18-0155-DOC (KESx) CITY COUNCIL MINUTES 1 JUNE 4, 2019 10A-1 C) City of Santa Ana v. Thanh Ngoc Nguyen et al., Orange County Superior Court, Case No. 30-2017-00938860 D) City of Santa Ana v. Aida South LLC et al., Orange County Superior Court, Case No, 30-2017-00938576 E) Ana Valente v. City of Santa Ana, et al., Orange County Superior Court, Case No. 30-2018-00983807-CU-PA-CJC 2. CONFERENCE WITH LEGAL COUNSEL - THREAT OF LITIGATION Significant exposure to litigation pursuant to paragraph (2) or (3) of subdivision (d) of Section 54956.9 of the Government Code: ONE 3. CONFERENCE WITH LEGAL COUNSEL — INITIATION OF LITIGATION pursuant to paragraph (4) of subdivision (d) of Section 54956.9 of the Government Code: ONE 4. PUBLIC EMPLOYEE EMPLOYMENT / APPOINTMENT pursuant to Government Code 54957 Title: Clerk of the Council, Acting Clerk of the Council, or Interim Clerk of the Council 5. CONFERENCE WITH LABOR NEGOTIATOR pursuant to Government Code Section 54957.6(a): Agency Negotiators: Human Resources Executive Director, Steven Pham Employee Organizations: • Santa Ana Police Management Association (PMA) • Service Employees' International Union (SEIU) Full -Time Employees • Confidential Association of Santa Ana (CASA) CLOSED SESSION REPORT - See Item 19A for any reportable actions. ADJOURNED THE SPECIAL CLOSED SESSION MEETING AT 5:00 P.M. AND CONVENED TO THE REGULAR CLOSED SESSION MEETING. CITY COUNCIL MINUTES 2 JUNE 4, 2019 10A-2 MINUTES OF THE REGULAR CLOSED SESSION MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA CALLED TO ORDER JUNE 4, 2019 CLOSED SESSION MEETING COUNCIL CHAMBER 22 CIVIC CENTER PLAZA 5:01 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor JUAN VILLEGAS, Mayor Pro Tern CECILIA IGLESIAS DAVID PENALOZA VICENTE SARMIENTO JOSE SOLORIO (5:02 P.M., Room 147) COUNCILMEMBERS Absent: *WARD 4 VACANT STAFF Present: KRISTINE RIDGE, City Manager SONIA R. CARVALHO, City Attorney NORMA MITRE, Acting Clerk of the Council * Ward 4 councilmember representative resigned on Friday, March 1, 2019. PUBLIC COMMENTS — None. COUNCIL RECESSED to Room 147 for Closed Session discussion at 5:02 p.m. CLOSED SESSION ITEMS - The Brown Act permits legislative bodies to discuss certain matters without members of the public present. The City Council finds, based on advice from the City Attorney, that discussion in open session of the following matters will prejudice the position of the City in existing and anticipated litigation: 1. CONFERENCE WITH LEGAL COUNSEL --EXISTING LITIGATION pursuant to paragraph (1) of subdivision (d) of Section 54956.9 of the Government Code: A) Orange County Catholic Worker, et al. v. Orange County, et al.. U.S. District Court (Central District of California), Case No. SA CV 18-0155-DOC (KESx) B) City of Santa Ana v. County of Orange, et al., (Cross -Complaint) U.S. District Court (Central District of California), Case No. SA CV 18-0155-DOC (KESx) CITY COUNCIL MINUTES 3 JUNE 4, 2019 10A-3 C) City of Santa Ana v Thanh Nqoc Nguyen et al., Orange County Superior Court, Case No. 30-2017-00938860 D) City of Santa Ana v. Aida South LLC et al. Orange County Superior Court, Case No. 30-2017-00938576 E) Ana Valente v. City of Santa Ana, et al., Orange County Superior Court, Case No. 30-2018-00983807-CU-PA-CJC 2. CONFERENCE WITH LEGAL COUNSEL - THREAT OF LITIGATION Significant exposure to litigation pursuant to paragraph (2) or (3) of subdivision (d) of Section 54956.9 of the Government Code: ONE COUNCILMEMBER SARMIENTO LEFT THE REGULAR CLOSED SESSION AT 5:21 P.M. 3. CONFERENCE WITH LEGAL COUNSEL — INITIATION OF LITIGATION pursuant to paragraph (4) of subdivision (d) of Section 54956.9 of the Government Code: ONE COUNCILMEMBER SARMIENTO RETURNED TO THE REGULAR CLOSED SESSION AT 5:32 P.M. 4. PUBLIC EMPLOYEE EMPLOYMENT / APPOINTMENT pursuant to Government Code 54957 Title: Clerk of the Council, Acting Clerk of the Council, or Interim Clerk of the Council 5. CONFERENCE WITH LABOR NEGOTIATOR pursuant to Government Code Section 54957.6(a): Agency Negotiators: Human Resources Executive Director, Steven Pham Employee Organizations: • Santa Ana Police Management Association (PMA) • Service Employees' International Union (SEIU) Full -Time Employees • Confidential Association of Santa Ana (CASA) CLOSED SESSION REPORT - See Item 19A for any reportable actions. ADJOURNED THE REGULAR CLOSED SESSION MEETING AT 6:03 P.M. AND CONVENED TO THE REGULAR OPEN MEETING. CITY COUNCIL MINUTES 4 JUNE 4, 2019 10A-4 REGULAR OPEN MEETING CALLED TO ORDER COUNCIL CHAMBER 22 CIVIC CENTER PLAZA 6:04 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor JUAN VILLEGAS, Mayor Pro Tern CECILIA IGLESIAS DAVID PENALOZA VICENTE SARMIENTO JOSE SOLORIO COUNCILMEMBERS Absent: *WARD 4 VACANT STAFF Present: KRISTINE RIDGE, City Manager SONIA R. CARVALHO, City Attorney NORMA MITRE, Acting Clerk of the Council * Ward 4 councilmember representative resigned on Friday, March 1, 2019. PLEDGE OF ALLEGIANCE INVOCATION MAYOR PULIDO BOB BARNETT, POLICE CHAPLAIN MAYOR PULIDO ANNOUNCED THAT BUSINESS CALENDAR ITEMS 60B AND 75J LISTED ON AGENDA WILL NOT BE CONSIDERED AT TONIGHT'S MEETING CEREMONIAL PRESENTATIONS (TAKEN OUT OF ORDER) ® CERTIFICATE OF RECOGNITION presented by COUNCILMEMBER IGLESIAS recognizing Godinez High School Softball team for their CIF victory. • CERTIFICATE OF RECOGNITION presented by COUNCILMEMBER PENALOZA recognizing Celeste Duran and Sophia Chiaramonte for their offers of appointment to a Military Service. CITY COUNCIL MINUTES 5 JUNE 4, 2019 1OA-5 • CERTIFICATE OF RECOGNITION presented by COUNCILMEMBER PENALOZA recognizing Celeste Duran and Sophia Chiaramonte for their offers of appointment to a Military Service. • CERTIFICATES OF RECOGNITION presented by COUNCILMEMBER SARMIENTO to the winners of the Santa Ana Water Youth Poster Contest: • Ages 5-8 Finalists: Jacqueline Rico Perez, Anushree Sitaula; Grand Prize Winner; Alexa Victoria Flores • Ages 9-12 Finalists: Gianna Garcia, Jannel Bello; Grand Prize Winner: Britney Echeverria • Ages 13-14 Finalists: Katie Tran, Gianna Patino; Grand Prize Winner: Laisha Echeqoyen • Ages 15-18 Finalists: Jenisis Ramon, Monica Rodriquez; Grand Prize Winner: Cielo Echeqoyen • CERTIFICATE OF RECOGNITION presented by COUNCILMEMBER SOLORIO recognizing Santa Anita Neighborhood Association for their Neighborhoods USA award and their contributions to the community. • PROCLAMATION presented by Mayor Pro Tern Villegas recognizing May as Drowning Prevention Awareness Month. CLOSED SESSION REPORT - See Agenda Item 19A for Closed Session Report. PUBLIC COMMENTS — None. CITY COUNCIL MINUTES 6 JUNE 4, 2019 10A-6 CONSENT CALENDAR ITEMS MOTION: Approve staff recommendations on the following Consent Calendar Items 10A through 30A; 55A; 55B and 60A. MOTION: Sarmiento SECOND: Solorio VOTE: AYES: Iglesias, Penaloza, Sarmiento, Solorio, Villegas (5) NOES: None (0) ABSTAIN: None (0) ABSENT: Pulido (1) Ward 4 representative vacant. ADMINISTRATIVE MATTERS MINUTES 10A. MINUTES FROM THE REGULAR MEETING OF MAY 7, 2019 {STRATEGIC PLAN NO. 5, 1 } — Clerk of the Council Office MOTION: Approve Minutes. MISCELLANEOUS ADMINISTRATION 19A. CONFIRMATION OF CLOSED SESSION ACTION(S) — City Attorney's Office 1. CONFERENCE WITH LEGAL COUNSEL EXISTING LITIGATION pursuant to paragraph (1) of subdivision (d) of Section 54956.9 of the Government Code: MOTION: Approve settlements as follows: C) City of Santa Ana v. Thanh Ngoc Nguyen et al., Orange County Superior Court, Case No. 30-2017-00938860; approve settlement for the purchase of real property in the amount of $1.7 million AGMT. NO. 2019-079). D) City of Santa Ana v. Alda South, LLC et al., Orange County Superior Court, Case No. 30-2017-00938576; approve settlement for the acquisition of property in the amount of $2,225,000 AGMT. NO. 2019-081). CITY COUNCIL MINUTES 7 JUNE 4, 2019 10A-7 E) Ana Valente v. City of Santa Ana, et al., Orange County Superior Court, Case No. 30-2018-00983807-CU-PA-CJC; approve settlement in the amount of $85,000 (AGMT. NO. 2019-082). 19B. EXCUSED ABSENCES — Clerk of the Council Office 19C. RECEIVE AND FILE: PUBLIC WORKS AGENCY MONTHLY PROJECT STATUS AND CAPITAL IMPROVEMENT PROGRAM REPORT FOR MAY 2019 {STRATEGIC PLAN NO. 5, 11 — Public Works Agency The CIP Executive Summary Schedule is available on the City's website at https•//www santa-ana.orq/sites/defauIt/files/pw/documents/Executive-Monthly- CI P-U pdate-May-2019. pdf MOTION: Receive and file. BUDGETARY MATTERS APPROPRIATION ADJUSTMENTS 20A. APPROVE AN APPROPRIATION ADJUSTMENT OF $99,901.30 TO RECOGNIZE CERTIFIED ACCESS SPECIALIST (CASP) REVENUE FUNDS FOR FISCAL YEAR 2018-19 {STRATEGIC PLAN NO. 4, 2A) — Planning and Building Agency MOTION: Approve an appropriation adjustment. (Requires five affirmative votes). APPROPRIATION ADJUSTMENT NO. 2019 — 137 - Recognizing $99,901.30 from the Planning and Building CASp Certification Training Fund account and appropriating to various CASp Certification and Training Fund accounts. SPECIFICATIONS — PURCHASE OF EQUIPMENT AND SERVICES 22A. AWARD PURCHASE ORDER IN THE AMOUNT OF $204,850 TO TRANSWEST TRUCK CENTER, LLC, FOR TWO STAKE BED DUMP TRUCKS (SPECIFICATION NO. 19-041) (STRATEGIC PLAN NO. 6, 2) - Finance and Management Services Agency and Public Works Agency MOTION: Authorize one-time purchase and payment of purchase order to Transwest Truck Center, LLC, for the procurement of two stake bed dump trucks in the amount of $194,850, plus a contingency of $10,000, for a total amount not to exceed $204,850 from the Sanitation Fund, subject to non - substantive changes approved by the City Manager and City Attorney. CITY COUNCIL MINUTES JUNE 4, 2019 10A-8 PROJECTSICHANGE ORDERS 23A. AWARD A $1,660,370 CONSTRUCTION CONTRACT TO STEPHEN DORECK EQUIPMENT RENTALS, INC., FOR THORNTON PARK NEIGHBORHOOD WATER MAIN IMPROVEMENTS PROJECT (OVERALL PROJECT DELIVERY COST $2,158,482) (PROJ. NO. 15-6448) (STRATEGIC PLAN NO.6, 1 B; 1 C; 1 G) — Public Works Agency MOTION: 1. Award a contract to Stephen Doreck Equipment Rentals, Inc., the lowest responsible bidder, in accordance with the base bid in the amount of $1,660,370, for construction of Thornton Park Neighborhood Water Main Improvements Project, for the term beginning upon execution of the contract and ending upon project completion, and authorize the City Manager and the Clerk of the Council to execute the contract subject to non -substantive changes approved by the City Manager and the City Attorney. 2. Approve the Project Cost Analysis for a total estimated construction delivery cost of $2,158,482, which includes the $1,660,370 contract, $249,056 as a 11.5% project contingency, $120,000 for Contract Administration, and $129,056 for Inspection and Testing in the Water Utility Acquisition and Construction fund. AGREEMENTS 25A. APPROVE AGREEMENT WITH MK PRINTING FOR OFFSET PRINTING SERVICES NOT TO EXCEED $400,000 {STRATEGIC PLAN NO. 6, 21 — Finance and Management Services Agency MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Mekong Printing, dba MK Printing, to provide offset printing services for a three-year period expiring May 31, 2022, in an annual amount of $80,000, with provisions for two one-year renewals exercisable by the City Manager, for a total amount not to exceed $400,000 subject to non -substantive changes approved by the City Manager and City Attorney (AGMT. No. 2019-083). 25B. APPROVE AMENDMENT TO AGREEMENT WITH COMPULINK MANAGEMENT CENTER, INC. FOR ENTERPRISE CONTENT MANAGEMENT SYSTEM MAINTENANCE, SERVICES, AND LICENSES UP TO $480,000 {STRATEGIC PLAN NO. 7, 5A) — Information Technology Department CITY COUNCIL MINUTES 9 JUNE 4, 2019 10A-9 MOTION: Authorize the City Manager and Clerk of the Council to approve agreement amendment with Compulink Management Center, Inc. DBA Laserfiche for Laserfiche Enterprise Content Management System maintenance, services, training, and software licenses in an amount not to exceed $480,000 over a three-year period from July 1, 2019, through June 30, 2022, subject to non -substantive changes approved by the City Manager and City Attorney (AGMT. No. 2019-084). 25C. APPROVE AGREEMENT WITH ELLIOTT AUTO SUPPLY CO., INC, DBA FACTORY MOTOR PARTS, FOR A VENDOR -OWNED INVENTORY PROGRAM FOR FLEET VEHICLE PARTS, FOR UP TO FIVE YEARS, IN AN AMOUNT NOT TO EXCEED $1,700,000 {STRATEGIC PLAN NO.6, 1 Q — Public Works Agency MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Elliott Auto Supply Co., Inc., dba Factory Motor Parts, for a vendor -owned inventory program for fleet vehicle parts, for a three-year period beginning July 1, 2019, and expiring on June 30, 2022, with a provision for two one-year renewal options exercisable by the City Manager and City Attorney, in an amount not to exceed $340,000 annually, for a total agreement amount not to exceed $1,700,000, including the renewal options, subject to non -substantive changes approved by the City Manager and City Attorney (AGMT. No. 2019-085). MISCELLANEOUS - BUDGET 29A. APPROVE A PAYMENT AUTHORIZATION TO ULTIMATE POOL REMODELING, INC. FOR SWIMMING POOL RESURFACING AND REPAIRS AT SALGADO PARK POOL FOR INVOICE #25890 IN THE AMOUNT OF $28,800 AND INCREASE THE TOTAL PURCHASE ORDER AMOUNT TO $423,338.24 (STRATEGIC PLAN NO. 5, 41 — Parks, Recreation and Community Services Agency MOTION: Authorize a payment to Ultimate Pool Remodeling, Inc. for swimming pool resurfacing and repairs at Salgado Park pool for invoice #25890 in the amount of $28,800 and increase the total purchase order amount to $423,338.24, to be paid with park acquisition and development funds, subject to non -substantive changes approved by the City Manager and City Attorney. CITY COUNCIL MINUTES 10 JUNE 4, 2019 1OA-10 LAND USE MATTERS DEEDS — TRANSFER OF PROPERTY 30A. QUITCLAIM OF STORM DRAIN EASEMENT AT 317 E. 17TH STREET, APN 003-153-48 {STRATEGIC PLAN NOS. 3, 2; 5, 3) — Public Works Agency MOTION: Authorize the City Manager and Clerk of the Council to execute a quitclaim deed relinquishing the City's interest in a drainage easement at 317 East 17th Street to AQUA HOUSING LP, a California limited partnership, subject to non -substantive changes by the City Manager and City Attorney. (AGMT. No. 2019-095). RESOLUTIONS 55A. ADOPT A RESOLUTION AFFIRMING CIRCULATION ELEMENT CONSISTENCY WITH THE COUNTY'S MASTER PLAN OF ARTERIAL HIGHWAYS AND CONCURRENCE WITH MITIGATION FEE PROGRAM TO MAINTAIN FUTURE MEASURE M2 FUNDING ELIGIBILITY EXCEEDING $5 MILLION IN FISCAL YEAR 2019-20 {STRATEGIC PLAN NO. 6, 1A, B, F, G} — Public Works Agency MOTION., Adopt a resolution. RESOLUTION NO. 2019-033 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA CONCERNING THE STATUS AND UPDATE OF THE CIRCULATION ELEMENT AND MITIGATION FEE PROGRAM FOR THE MEASURE M (M2) PROGRAM 55B. AFFIRM APPOINTMENTS TO THE SANTA ANA 2018 MEASURE X CITIZEN OVERSIGHT COMMITTEE AND ADOPT A RESOLUTION AMENDING AND RESTATING RESOLUTION NO.2019-008 REGARDING MEMBER SELECTION TO THE MEASURE X CITIZEN OVERSIGHT COMMITTEE {STRATEGIC PLAN NO. 7, 2} — Clerk of the Council Office MOTION: 1. Affirm appointments of two Committee Members that were not residents of the wards which they were appointed to represent; and 2. Adopt a resolution. RESOLUTION NO. 2019-034 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING AND RESTATING RESOLUTION NO. 2019-008 REGARDING THE TRANSACTIONS AND USE TAX MEASURE X CITIZEN OVERSIGHT COMMITTEE CITY COUNCIL MINUTES 11 JUNE 4, 2019 10A-11 ADMINISTRATIVE MATTERS - BUSINESS 60A. APPROVE PURCHASE AND SALE AGREEMENT IN THE AMOUNT OF $4,000 FOR THE SALE OF PORTIONS OF CITY -OWNED REAL PROPERTY AT 2501 NORTH FLOWER STREET (APN 002-020-37) {STRATEGIC PLAN NO. 6, 1} — Public Works Agency Continued from the May 21, 2019 City Council meeting by a vote 5-0 (Pulido absent). MOTION: Authorize the City Manager and Clerk of the Council to execute a purchase and sale agreement with Eugen Charles Andres III and Ann Avery Andres, Trustees of the Andres 1986 Living Trust and Successor Trustees Thereto, for the sale of portions of City -owned property located at 2501 North Flower Street in the amount of $4,000, subject to non - substantive changes approved by the City Manager and City Attorney (AGMT. NO. 2019-086)). **END OF CONSENT CALENDAR** BUSINESS CALENDAR ITEMS RESOLUTIONS 55C. ADOPT RESOLUTION TO JOIN THE ORANGE COUNTY HOUSING FINANCE TRUST AND APPROVE JOINT POWERS AGREEMENT (NOT TO EXCEED $25,000 ANNUALLY) {STRATEGIC PLAN NO. 5, 3C} — Community Development Agency MOTION: 1. Adopt a resolution. RESOLUTION NO. 2019-035 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA RELATING TO THE JOINT EXERCISE OF POWERS FOR AND MEMBERSHIP IN THE ORANGE COUNTY HOUSING FINANCE TRUST 2. Authorize the City Manager and the Clerk of the Council to execute the Joint Powers Agreement which implements the Orange County Housing Finance Trust, subject to non -substantive changes approved by the City Manager and City Attorney (AGMT. No. 2019-087). CITY COUNCIL MINUTES 12 JUNE 4, 2019 1OA-12 MOTION: Solorio SECOND: Sarmiento VOTE: AYES: Penaloza, Sarmiento, Solorio, Villegas (4) NOES: Iglesias (1) ABSTAIN: None (0) ABSENT: Pulido(1) * Ward 4 representative vacant. 55D. ADOPT A RESOLUTION ACCEPTING THE 2019 NATIONAL FITNESS CAMPAIGN GRANT OF $30,000 PER SITE AND AGREEING TO ENDEAVOR TO PROVIDE $90,000 PER SITE TO FUND THE REMAINING PURCHASE PRICE OF THE EQUIPMENT PLUS THE COST OF INSTALLATION AT FIVE CITY SITES (JEROME PARK, EL SALVADOR PARK, DELHI PARK, ROSITA PARK AND CIVIC CENTER PLAZA OF THE FLAGS) {STRATEGIC PLAN NO. 5, 4) — Parks, Recreation and Community Services Agency Councilmember Penaloza inquiring about the locations of the fitness equipment at the Civic Center site. City Manager Ridge spoke. Councilmember Iglesias spoke. Executive Director of Parks and Recreation Services Lisa Rudloff spoke. MOTION: Adopt an amended resolution substituting a replacement site for the Civic Center Plaza of the Flags. RESOLUTION NO. 2019-036 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ACCEPTING THE 2019 NATIONAL FITNESS CAMPAIGN GRANT OF $30,000 PER SITE, FOR A TOTAL OF FIVE AND AGREEING TO ENDEAVOR TO PROVIDE AN ESTIMATED $120,000 PER EACH SITE TO FUND THE REMAINING PURCHASE PRICE OF THE EQUIPMENT AND INSTALLATION OF THE FITNESS EQUIPMENT AT FIVE CITY PARKS MOTION: Villegas SECOND: Sarmiento VOTE: AYES: Iglesias, Penaloza, Pulido, Sarmiento, Solorio, Villegas (6) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) * Ward 4 representative vacant. CITY COUNCIL MINUTES 13 JUNE 4, 2019 10A-13 55E. ADOPT A RESOLUTION AND/OR APPROVE A LETTER IN SUPPORT OF HOUSE OF REPRESENTATIVES BILL (H.R.) 763, THE ENERGY INNOVATION AND CARBON DIVIDEND ACT OF 2019 TO AIM TO REDUCE CARBON POLLUTION AND GREENHOUSE EMISSIONS {STRATEGIC PLAN NO. 5) — City Manager's Office The following spoke: • Larry Hitterdale, in support of item. • Terri Osborne, in support of item. • Paul Berry, in support of item. • Virginia Bernal, in support of item. • Suman Bhasin, in support of item. • Murray Zichliusky, in support of item. Council discussion ensued: Councilmember Sarmiento, supportive of item. Councilmember Solorio, supportive of item. Councilmember Penaloza, supportive of item. Councilmember Iglesias, supportive of a letter of support only. Councilmember Sarmiento, motioned for resolution and letter Councilmember Villegas, supportive of a letter of support only. Mayor Pulido, supportive of item. Councilmember Sarmiento spoke. Councilmember Solorio spoke. AMENDED MOTION. Adopt a resolution and approve a letter in support of H.R. 763, the Energy Innovation and Carbon Dividend Act of 2019 to aim to reduce carbon pollution and greenhouse emissions. RESOLUTION NO. 2019-037 - RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA IN SUPPORT OF HR 763 THE ENERGY INNOVATION AND CARBON DIVIDEND ACT OF 2019 MOTION: Sarmiento SECOND: Penaloza VOTE: AYES: Penaloza, Pulido, Sarmiento, Solorio, (6) NOES: Iglesias, Villegas (2) ABSTAIN: None (0) ABSENT: None (0) * Ward 4 representative vacant. CITY COUNCIL MINUTES 14 JUNE 4, 2019 1 OA-14 ADMINISTRATIVE MATTERS - BUSINESS 60B. APPROVE A DENSITY BONUS AGREEMENT TO ALLOW A 552 UNIT AFFORDABLE RENTAL PROJECT AT 2110, 2114, AND 2020 EAST FIRST STREET {STRATEGIC PLAN NOS. 3, 2; 5, 3} — Community Development Agency; and Planning and Building Agency Continued from the May 7, 2019 City Council meeting by a vote of 6-0 and May 21, 2019 City Council meeting by a vote 5-0 (Pulido absent). Planning Commission approved recommended action on June 4, 2018 by a vote of 4-1 (Bacerra dissented). Matter continued pending receipt of additional information at the request of staff. 60C. APPROVE APPROPRIATION ADJUSTMENT TO TRANSFER GENERAL FUND BUDGET BETWEEN VARIOUS DEPARTMENTS FOR FISCAL YEAR 2018-19 WITH NO NET FISCAL IMPACT {STRATEGIC PLAN NO. 4, 1, 3) — Finance and Management Services Agency Councilmember Sarmiento spoke. City Manager Ridge spoke. Councilmember Sarmiento spoke. Moved item. MOT/ON: Approve an appropriation adjustment. (Requires five affirmative votes). APPROPRIATION ADJUSTMENT NO. 2019 — 161 - Approve the proposed maximum General Fund appropriation adjustment as follows. The actual appropriation adjustment between departments may be less, based upon final fiscal year-end amounts. Department Reason Amount City Former City Manager separation payment, $450,000 Manager's and payment of significant accrued leave for Office (CMO) two other CMO employees who separated from the City Non- Updated Information Technology Internal $300,000 Departmental Service Allocations Clerk of the Election Savings $(250,000) Council Public Works Staff Vacancy Savings $(500,000) Agency General Fund $0 Net Impact CITY COUNCIL MINUTES 15 JUNE 4, 2019 10A-15 MOTION: Sarmiento SECOND: Penaloza VOTE: AYES: Penaloza, Pulido, Sarmiento, Solorio, (4) NOES: Iglesias, Villegas (2) ABSTAIN: None (0) ABSENT: None (0) * Ward 4 representative vacant. * Motion failed. Councilmember Solorio motioned for two -week continuance Councilmember Penaloza spoke. City Manager Ridge spoke. AMENDED MOTION: Continue consideration of matter for two weeks. MOTION: Solorio SECOND: Pulido VOTE: AYES: Penaloza, Pulido, Sarmiento, Solorio, (4) NOES: Iglesias, Villegas (2) ABSTAIN: None (0) ABSENT: None (0) * Ward 4 representative vacant. 60D. APPROVE THE FISCAL YEAR 2019 — 2020 EMERGENCY SOLUTIONS GRANTS PROGRAM FOR A TOTAL AMOUNT OF $493,582 (STRATEGIC PLAN NO. 5, 6) — Community Development Agency Community Redevelopment and Housing Commission approved recommended action on March 27, 2019 by a vote of 9-0. Councilmember Iglesias spoke. Executive Director of Community Development Agency Steven Mendoza spoke. Community Redevelopment and Housing Commission approved recommended action on March 27, 2019 by a vote of 9-0. MOTION: CITY COUNCIL MINUTES 16 JUNE 4, 2019 10A-16 1. Approve a renewal of the Fiscal Year 2019 - 2020 Emergency Solutions Grants Program in the amount of $493,582 from the United States Department of Housing and Urban Development. 2. Direct the City Attorney to finalize and authorize the City Manager and the Clerk of the Council to execute a memorandum of understanding with the Santa Ana Police Department and agreements with nonprofit homeless service providers awarded funds as part of the approved program for a term beginning July 1, 2019 through June 30, 2020 from the United States Department of Housing and Urban Development, subject to non -substantive changes approved by the City Manager and City Attorney (AGMT. No. 2019-088). 1. Interval House — Emergency shelter as a result of domestic 1 $ 36,315 2. Mercy House - Financial assistance for those at -risk of $ homelessness, rental assistance, case management and 316,491 housing search placement. • $200,000 for the Link Emergency Shelter, $25,000 for Homeless Prevention and $91,491 for Rapid Re- 3. WISEPlace — Financial assistance, case management and $ 31,128 housing search and placement. 4. HEART — Outreach and engagement by Santa Ana Police $ 51,880 Department. 5. 2-1-1 Orange County — Data collection. $ 20,750 Total For Non -Profit Organizations $ Administration $ 37,018 TOTAL $493,582 MOTION: Solorio SECOND: Pulido VOTE: AYES: Iglesias, Penaloza, Pulido, Sarmiento, Solorio, Villegas (6) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) * Ward 4 representative vacant. CITY COUNCIL MINUTES 17 JUNE 4, 2019 10A-17 PUBLIC HEARINGS 75A-1. PUBLIC HEARING - ADOPT THE FISCAL YEAR 2019-20 BUDGET AND APPROVE CHANGES TO THE CITY'S BASIC CLASSIFICATION AND COMPENSATION PLAN {STRATEGIC PLAN 4, 2A} — Finance and Management Services Agency Legal Notice published in the Orange County Reporter on May 24, 2019 and May 31, 2019. Mayor Pulido opened the Hearing. The following spoke on the matter: • Hairo Cortes, addressed City Council to request a funding increase to the Orange County Justice organization. • Jackie Cordova, requested City Council to pass a budget that will benefit children. • Tania Sawezuk, on behalf of Vera Institute of Justice, spoke in support of continued funding of the Immigrant Defenders Law Center. • Cynthia Felix, spoke in support of continued funding of the Immigrant Defenders Law Center. • Carlos Perez, spoke in support of continued funding of the immigrant legal defense program. • Esmeralda, spoke in support of continued funding of the immigrant legal defense program. • Robert Herrera, in support of universal representation. • Idalia Rios, in support of immigrant and renters legal defense programs. • Camila Miguel, in support of investing in youth. • Ruben Barreto, in support of investing in youth and universal representation. • Miguel Hernandez, in support of universal representation, renter protections, and diverse youth programs. • Dulce Saavedra, in support of investing in youth. • Lucero Garcia, in support of universal representation program. City staff provided budget presentation. City Manager Ridge spoke. Council discussion ensued: Mayor Pulido spoke. City Manager Kristine Ridge spoke. Councilmember Iglesias, requested staff to provide current staffing levels by department. City Manager Kristine Ridge spoke. Mayor Pro Tern Villegas, requested Measure X revenue to be placed in an account with oversight and to set aside funding towards a family justice center. CITY COUNCIL MINUTES 18 JUNE 4, 2019 10A-18 Councilmember Penaloza, requested staff to provide a clearer summary of the budget by department. Requested staff to provide the number residents that have been assisted by the legal defense fund. City Manager Kristine Ridge spoke. Police Chief Valentin spoke. Councilmember Solorio, unsupportive of budget as presented. Councilmember Sarmiento, supportive of the balanced budget as presented. Noted need to better define how Measure X and cannabis revenue will be appropriated. Mayor Pulido, supportive of budget as presented. City Manager Ridge spoke. Councilmember Solorio spoke. City Attorney Carvalho spoke. Mayor Pulido spoke. Councilmember Solorio spoke. Supportive of adopting resolution to begin process. City Manager Ridge spoke. Councilmember Solorio, supportive of calling for special meeting. Unsupportive of budget as presented. Councilmember Penaloza spoke. City Manager Ridge spoke. Councilmember Sarmiento spoke. City Attorney Carvalho spoke. Councilmember Sarmiento spoke. City Attorney Carvalho spoke. Councilmember Solorio motioned for a two -week continuance. Mayor Pulido spoke. Councilmember Sarmiento spoke. CITY COUNCIL MINUTES 19 JUNE 4, 2019 10A-19 Mayor Pulido spoke. Councilmember Penaloza spoke. Councilmember Solorio motioned for a two -week continuance. Mayor Pulido seconded motion for a two -week continuance. Mayor Pulido closed the Public Hearing. AMENDED MOTION: Continue consideration of matter for two weeks. MOTION: Solorio SECOND: Pulido VOTE: AYES: Penaloza, Pulido, Sarmiento, Solorio, Villegas (5) NOES: Iglesias (1) ABSTAIN: None (0) ABSENT: None (0) Ward 4 representative vacant. 75A-2. PUBLIC HEARING — ADOPT RESOLUTION ESTABLISHING FISCAL YEAR 2019-20 MISCELLANEOUS FEES AND SANITATION FEE (STRATEGIC PLAN 4, 2A) — Finance and Management Services Agency Legal Notice published in the Orange County Reporter on May 24, 2019 and May 31, 2019. City Manager Kristine Ridge spoke. Mayor Pulido opened the Hearing. There were no speakers, no staff presentation and the Hearing closed. MOTION: Adopt resolutions. 1. RESOLUTION NO. 2019-038 -A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ESTABLISHING A UNIFORM SCHEDULE OF MISCELLANEOUS FEES FOR FISCAL YEAR 2019-2020 -- - 2. RESOLUTION NO. 2019-039 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADJUSTING THE SANITATION FEE ESTABLISHED BY ARTICLE XII OF CHAPTER 18 OF THE SANTA ANA MUNICIPAL CODE CITY COUNCIL MINUTES 20 JUNE 4, 2019 1 OA-20 MOTION: Sarmiento VOTE: AYES: NOES: ABSTAIN SECOND: Pulido Iglesias, Penaloza, Pulido, Sarmiento, Solorio, Villegas(6) None (0) None (0) ABSENT: None (0) * Ward 4 representative vacant. 75A-3. APPROVE $22.6 MILLION PRE -PAYMENT FOR THE CITY'S CONTRIBUTION TO THE SAFETY EMPLOYEE PENSION UNFUNDED LIABILITY FOR FY 2019- 20 (STRATEGIC PLAN NO. 4, 1) - Finance and Management Services Agency City Manager Kristine Ridge spoke. Mayor Pulido opened the Hearing. There were no speakers, no staff presentation and the Hearing closed. MOTION: Approve a $22,644,532 pre -payment for the City's annual Unfunded Actuarial Liability to California Public Employees Retirement System (CaIPERS) — Safety Plan for Fiscal Year 2019-20. MOTION: Solorio SECOND: Sarmiento VOTE: AYES: Penaloza, Pulido, Sarmiento, Solorio, (4) NOES: Iglesias, Villegas (2) ABSTAIN: None (0) ABSENT: None (0) Ward 4 representative vacant. 75B. PUBLIC HEARING — APPROVE THE FISCAL YEAR 2019-20 COMMUNITY DEVELOPMENT BLOCK GRANT (CDBG) PROGRAM FOR A TOTAL AMOUNT OF $7,146,686 {STRATEGIC PLAN NOS. 1,6; 2,2; 5,4) — Community Development Agency Community Redevelopment and Housing Commission approved recommended action on March 27, 2019 by a vote of 6-1 (Urzua abstained). Legal Notice published in the Orange County Register, La Opinion and Nguoi Viet on May 14, 2019. CITY COUNCIL MINUTES 21 JUNE 4, 2019 1 OA-21 Mayor Pulido opened the Hearing. The following spoke on the matter: • Nati Alvareal, addressed City Council to request grant fund approval for the street intervention after school program. • Bryan Marquez, thanked City Council for supporting the Cambodian youth program. • Jesus Marquez, supportive of funding Plan Ahead program. Mayor Pulido closed the Hearing. Council discussion ensued. Council discussion ensued. Councilmember Sarmiento motioned for a 30-day continuance, seconded by Pulido. Councilmember Solorio, consider use of cannabis revenue applied unfunded organizations. Councilmember Penaloza requested clarification on motion. Councilmember Sarmiento spoke. City Manager Kristine Ridge advised council on the urgency of the item. Mayor Pulido introduced friendly motion to continue item to a special meeting date to be determined to consider the budget. Councilmember Sarmiento accepted friendly amendment. Councilmember Penaloza spoke. FRIENDLYAMENDED MOTION; Continue consideration of matter to special meeting for a date to be determined. MOTION: Pulido VOTE: AYES: NOES: ABSTAIN: SECOND: Sarmiento Penaloza, Pulido, Villegas(5) None (0) None (0) ABSENT:-Iglesias(1)_ * Ward 4 representative vacant. Sarmiento, Solorio, CITY COUNCIL MINUTES 22 JUNE 4, 2019 1 OA-22 75C. PUBLIC HEARING - APPROVE THE FISCAL YEAR 2019 - 2020 ANNUAL ACTION PLAN FOR THE COMMUNITY DEVELOPMENT BLOCK GRANT (CDBG) PROGRAM, HOME INVESTMENT PARTNERSHIPS (HOME) PROGRAM, AND EMERGENCY SOLUTIONS GRANTS (ESG) PROGRAM; AND AUTHORIZE SUBMISSION TO HOUSING AND URBAN DEVELOPMENT {STRATEGIC PLAN NO. 5, 11 — Community Development Agency Community Redevelopment and Housing Commission approved recommended action on March 27, 2019 by a vote of 9-0. Legal Notice published in the Orange County Register, La Opinion and Nguoi Viet on May 14, 2019. Mayor Pulido spoke. City Manager Ridge spoke. Executive Director of Community Development Mendoza spoke. AMENDED MOTION: Continue consideration of matter to special meeting for a date to be determined. MOTION: Sarmiento VOTE: AYES: NOES: ABSTAIN SECOND: Solorio Penaloza, Pulido, Sarmiento, Solorio, Villegas(5) None (0) None (0) ABSENT: Iglesias (1) * Ward 4 representative vacant. 75D. PUBLIC HEARING — ENVIRONMENTAL REVIEW NO. 2018-72, AMENDMENT APPLICATION NO. 2018-04, DEVELOPMENT AGREEMENT NO.2018-02, AND TENTATIVE PARCEL MAP NO. 2018-01 FOR THE MAINPLACE TRANSFORMATION AND EXPANSION PROJECT SPECIFIC PLAN LOCATED AT 2800 NORTH MAIN STREET - FILED BY MAINPLACE SHOPPINGTOWN, LLC — {STRATEGIC PLAN NOS. 3, 2; 5, 3; 5, 41 — Planning and Building Agency Planning Commission approved recommended action on May 13, 2019 by a vote of 5-0 (Alderete and Nguyen absent). Legal Notice published in the Orange County Reporter May 24, 2019 and notices mailed on said date. Mayor Pulido opened the Hearing. The following spoke on the matter: CITY COUNCIL MINUTES 23 JUNE 4, 2019 1OA-23 • Alex Zamora, unsupportive of item. • Elizabeth Hansburg, in support of item. • Mario Tafolla, in support of item. • Dale Helvig, in support of item. • Brian Flynn, unsupportive of item. • John Tafoya, unsupportive of item. • Genelle Johnson, in support of item. • Luz Maria Ibarra, in support of item. • Raymundo Lagunas, in support of item. • Eugene Robledo, in support of item. • Carlo Bonanni, unsupportive of item. • Cory Sams, in support of item. Brief staff presentation by Planning and Building Executive Director Executive Director of Planning and Building Safety Minh Thai. Jennifer Lynch, BBK attorney, spoke. Applicant, Chief Executive Officer, Steven Levin, of Centennial Real Estate Company spoke. Oliver Robinson, Executive Vice President of Development Construction for Centennial Real Estate spoke. Council discussion ensued. Councilmember Iglesias spoke. Oliver Robinson spoke. Executive Director of Planning and Building Safety Minh Thai spoke. Councilmember Iglesias spoke. Executive Director of Planning and Building Safety Minh Thai spoke. Councilmember Iglesias spoke Mayor Pulido spoke. Applicant spoke. Mayor Pulido spoke. Councilmember Penaloza spoke. Mayor Pro Tern Villegas spoke. CITY COUNCIL MINUTES 24 JUNE 4, 2019 1 OA-24 Applicant spoke. Executive Director of Planning and Building Safety Minh Thai spoke. Councilmember Iglesias spoke. Executive Director of Planning and Building Safety Minh Thai spoke. Councilmember Solorio spoke. Executive Director of Planning and Building Safety Minh Thai spoke. Councilmember Solorio spoke. Applicant spoke. Councilmember Solorio spoke. Executive Director of Planning and Building Safety Minh Thai spoke. Councilmember Solorio spoke. Executive Director of Planning and Building Safety Minh Thai spoke. Councilmember Solorio spoke. Councilmember Sarmiento spoke. Applicant spoke Jennifer Lynch, BBK attorney, spoke. Councilmember Sarmiento spoke. Jennifer Lynch, BBK attorney, spoke. Mayor Pulido spoke. Applicant spoke. Councilmember Penaloza spoke. Councilmember Solorio spoke. Unsupportive of item as presented. Executive Director of Planning and Building Safety Minh Thai spoke. Mayor Pulido called for the question. Villegas motioned, seconded by Mayor Pulido. CITY COUNCIL MINUTES 25 JUNE 4, 2019 1 OA-25 Planning and Building Executive Director Executive Director of Planning and Building Safety Minh Thai submitted letter addressing comments received recently on the item to be included in the record; and asked for conforming changes to the resolution pertaining to Tentative Parcel Map No. 2018-01 for consistency with Development Agreement No. 2018-02 to be included as part of the motion. MOTION. 1. Adopt a resolution. RESOLUTION NO. 2019-040 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING AND ADOPTING AN ADDENDUM TO THE ENVIRONMENTAL IMPACT REPORT FOR THE FASHION SQUARE COMMERCIAL CENTER PROJECT (SCH NO. 1983021103) FOR THE MAINPLACE MALL TRANSFORMATION PROJECT AND RE - ADOPTION OF A MITIGATION MONITORING AND REPORTING PROGRAM 2. Place ordinance on first reading and authorize publication of title. ORDINANCE NO. NS-2966 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING AMENDMENT APPLICATION NO. 2018-04 FOR THE MAINPLACE MALL SPECIFIC PLAN FOR THE PROPERTY LOCATED AT 2800 NORTH MAIN STREET 3. Place ordinance on first reading and authorize publication of title. ORDINANCE NO. NS-2967 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING BETWEEN THE CITY OF SANTA ANA AND MAINPLACE SHOPPINGTOWN, LLC FOR THE MAINPLACE MALL TRANSFORMATION PROJECT AT 2800 NORTH MAIN STREET, PURSUANT TO CALIFORNIA GOVERNMENT CODE SECTION 65864, ET SEQ. AGMT 2019-089 — With Mainplace Shoppingtown, LLC for a ten-year period. 4. Adopt amended resolution. RESOLUTION NO. 2019-041 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING TENTATIVE PARCEL MAP NO. 2018-01, AS CONDITIONED, TO ALLOW SUBDIVISION OF SIX EXISTING PARCELS INTO 10 PARCELS FOR THE MAINPLACE MALL AT 2800 NORTH MAIN STREET MOTION: Villegas VOTE: AYES NOES: SECOND: Pulido Iglesias, Penaloza, Pulido, Villegas(4) Sarmiento, Solorio (2) CITY COUNCIL MINUTES 26 JUNE 4, 2019 1 OA-26 ABSTAIN: None (0) ABSENT: None (0) * Ward 4 representative vacant. 75E. PUBLIC HEARING - ABANDONMENT NO. 19-02 TO VACATE A PORTION OF MAIN PLACE DRIVE BETWEEN MAIN STREET AND BEDFORD ROAD (STRATEGIC PLAN NOS. 3, 2; 5, 3) — Public Works Agency Legal Notice published in the Orange County Reporter on May 24, 2019 and May 31, 2019. Mayor Pulido opened the Hearing. There were no speakers, no staff presentation and the Hearing closed. MOTION: Adopt a resolution. RESOLUTION NO. 2019-042 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA VACATING A PORTION OF MAINPLACE DRIVE BETWEEN MAIN STREET AND BEDFORD ROAD (ABANDONMENT NO. 19- 02) MOTION: Villegas SECOND: Sarmiento VOTE: AYES: Iglesias, Penaloza, Pulido, Sarmiento, Solorio, Villegas(6) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) * Ward 4 representative vacant. 75F. PUBLIC HEARING — ORDINANCE AMENDMENT NO. 2019-01 TO ADD TO AND AMEND CERTAIN SECTIONS OF CHAPTER 21 OF THE SANTA ANA MUNICIPAL CODE TO ALLOW VERTICAL AND HORIZONTAL INTEGRATION OF CANNABIS BUSINESSES; UPDATING PROCEDURAL STANDARDS AND REQUIREMENTS RELATING TO OWNERSHIP TRANSFERS, SECURITY DEPOSITS, AND VARIOUS ADMINISTRATIVE PROCESSES; AND REDUCING CANNABIS TESTING TAXES TO TWO PERCENT OF GROSS RECEIPTS {STRATEGIC PLAN NOS. 3, 2; 3, 3; 3, 5; 4, 31 — Finance and Management Services Agency; and Planning and Building Agency Legal Notice published in the Orange County Reporter May 24, 2019 and May 31, 2019. CITY COUNCIL MINUTES 27 JUNE 4, 2019 1 OA-27 Mayor Pulido and Councilmember Sarmiento recused themselves. Mayor Pro Tern Villegas opened the Hearing. There were no speakers, no staff presentation. Council discussion ensued. Councilmember Penaloza spoke. MOTION. 1. Place ordinance on first reading and authorize publication of title. AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING AND ADDING CERTAIN SECTIONS TO ARTICLES XIII, XII, AND VII OF CHAPTER 21 OF THE SANTA ANA MUNICIPAL CODE PERTAINING TO OWNERSHIP TRANSFERS, CLOSE OUT AUDIT PROCEDURES (SECTIONS 21-131.1 AND 21-141); VERTICAL INTEGRATION (SECTIONS 21-131.2 AND 21-142); REDUCTION IN THE GROSS RECEIPTS TAX RATE FOR CANNABIS TESTING FACILITIES, DEDUCTIBILITY OF INTERPARTY SALES AND TRANSFERS OF GOODS, CLARIFICATION OF SQUARE FOOTAGE TAX MEASUREMENT REQUIREMENTS (SECTION 21-133); AND REDUCTION OF SECURITY DEPOSIT AMOUNTS AND ESTABLISHMENT OF RELATED PROCEDURAL REQUIREMENTS (SECTIONS 21-80, 21-80.1, 21-86 AND 21-136) 2. Adopt a resolution. A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA REDUCING THE COMMERCIAL CANNABIS GROSS RECEIPTS TAX FOR TESTING LABORATORIES FROM FIVE (5%) PERCENT TO TWO (2%) PERCENT 3. Adopt a resolution. A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ESTABLISHING A CANOPY MEASUREMENT SERVICE FEE AND AN ALLOCATED SQUARE FOOTAGE MEASUREMENT SERVICE FEE MOTION: Solorio VOTE: AYES: NOES ABSTAIN SECOND: Penaloza Penaloza, Solorio, Villegas(3) Iglesias (1) Pulido, Sarmiento (2) ABSENT: None (0) Ward 4 representative vacant. Motion failed. CITY COUNCIL MINUTES 28 JUNE 4, 2019 1 OA-28 Councilmember Solorio spoke. City Attorney Carvalho spoke Mayor Pro Tem Villegas spoke. Councilmember Penaloza motioned to reconsider. Mayor Pulido and Councilmember Sarmiento recused themselves. City Manager Ridge spoke. Mayor Pro Tem Villegas spoke. Councilmember Solorio spoke. Councilmember Penaloza spoke. MOTION: Reconsideration of item. MOTION: Penaloza VOTE: AYES ABSTAIN: SECOND: Villegas Penaloza, Solorio, Villegas(3) Iglesias (1) Pulido, Sarmiento (2) ABSENT: None (0) * Ward 4 representative vacant. * Motion to reconsider failed. Council discussion on item 75F continued. Councilmember Penaloza spoke. City Manager Kristine Ridge spoke. Mayor Pro Tem Villegas spoke. City Attorney Sonia Carvalho spoke. Mayor Pulido and Councilmember Sarmiento stated reason for recusing themselves from item 75F. CITY COUNCIL MINUTES 29 JUNE 4, 2019 1 OA-29 75G. PUBLIC HEARING — ZONING ORDINANCE AMENDMENT NO. 2019-03 TO AMEND CERTAIN DEVELOPMENT AND DESIGN STANDARDS OF THE TRANSIT ZONING CODE (SPECIFIC DEVELOPMENT NO. 84) AMENDMENT SECTIONS INCLUDED: BUILDING HEIGHTS — LINED BLOCK; OFF-STREET PARKING OPTIONS; PARKING DRIVEWAY STANDARDS; UPPER STORY SETBACK; LOT WIDTH AND DEPTH STANDARDS; OPEN SPACE STANDARDS; MASSING STANDARDS AND LOT WIDTH AND DEPTH STANDARDS TEXT AMENDMENTS — CITY OF SANTA ANA, APPLICANT {STRATEGIC PLAN NO. 3, 2; 5,31 — Planning and Building Agency Planning Commission approved recommended action on May 14, 2019 by a vote of 4-1 (Cano dissented; Alderete and Contreras -Leo absent). Legal Notice published in the Orange County Reporter May 24, 2019. Mayor Pulido opened the Hearing. There were no speakers, staff presented. Council discussion ensued. Councilmember Penaloza, moved for continuance. Councilmember Iglesias, seconded. City Manager Ridge spoke. Councilmember Penaloza spoke. City Manager Ridge spoke. Executive Director of Planning and Building Safety Minh Thai spoke. Councilmember Penaloza spoke. City Manager Ridge spoke. Councilmember Penaloza spoke. Planning Manager Candida Neal, provided City Council with staff presentation. Councilmember Penaloza spoke. Planning Manager Candida Neal, continued with staff presentation. Councilmember Penaloza spoke. Planning Manager Candida Neal, continued with staff presentation. Councilmember Penaloza spoke. Councilmember Sarmiento spoke. CITY COUNCIL MINUTES 30 JUNE 4, 2019 1 OA-30 City Manager Ridge spoke. Councilmember Sarmiento spoke. Planning Manager Candida Neal spoke. City Attorney Carvalho spoke. Councilmember Penaloza spoke. City Attorney Carvalho spoke. Councilmember Penaloza spoke. City Attorney Carvalho spoke. Executive Director of Planning and Building Safety Minh Thai spoke. Councilmember Penaloza spoke. Councilmember Solorio spoke. City Manager Ridge spoke. Mayor Pulido spoke. City Manager Ridge spoke. Councilmember Iglesias spoke. Mayor Pulido spoke. Mayor Pro Tern Villegas spoke. Councilmember Penaloza spoke. Planning Manager Candida Neal spoke. Councilmember Penaloza spoke. MOTION: Continue consideration of matter for 30 days. MOTION: Penaloza SECOND: Iglesias VOTE: AYES: Iglesias, Penaloza, Pulido, Sarmiento, Solorio, Villegas(6) NOES: None (0) CITY COUNCIL MINUTES 31 JUNE 4, 2019 1 OA-31 ABSTAIN: None (0) ABSENT: None (0) * Ward 4 representative vacant. 75H. PUBLIC HEARING — MITIGATED NEGATIVE DECLARATION NO. 2015-14; GENERAL PLAN AMENDMENT NO.2017-03 TO CHANGE THE DESIGNATION OF THE PROPERTIES AT 2935, 3007, 3013, 3019, 3025 AND 3109 WEST EDINGER AVENUE FROM LOW DENSITY RESIDENTIAL TO MEDIUM DENSITY RESIDENTIAL; TENTATIVE TRACT MAP NO. 2017-04 AND VARIANCE NO. 2017-10 TO ALLOW CONSTRUCTION OF 17 RESIDENTIAL TOWNHOMES LOCATED AT 3025 AND 3109 WEST EDINGER AVENUE - FILED BY HAPHAN GROUP INC. (STRATEGIC PLAN NO. 3, 2)— Planning and Building Agency Planning Commission approved recommended action on May 13, 2019 by a vote of 6-0 (Alderete absent). Legal Notice published in the Orange County Reporter May 24, 2019 and notices mailed on said date. Mayor Pulido opened the Hearing. The following spoke on the matter: Marisol Cardenas, unsupportive of item. Mayor Pulido closed the Hearing and council discussion ensued: Councilmember Iglesias spoke. City Manager Ridge spoke. Planning Manager Candida Neal spoke. Principal Civil Engineer Taig Higgens spoke. Councilmember Iglesias spoke. Executive Director of Planning and Building Safety Minh Thai spoke. Councilmember Iglesias spoke. Councilmember Solorio spoke. Applicant spoke. City Manager Ridge spoke. Principal Civil Engineer Taig Higgens spoke. CITY COUNCIL MINUTES 32 JUNE 4, 2019 1 OA-32 Councilmember Solorio spoke. Principal Civil Engineer Taig Higgens spoke. Councilmember Solorio spoke. City Manager Ridge spoke. Councilmember Solorio spoke. Supportive of continuing item for two weeks. SUBSTITUTE MOTION. Continue consideration of matter to two weeks. MOTION: Solorio SECOND: Pulido VOTE: AYES: Pulido, Sarmiento, Solorio, Villegas(4) NOES: Penaloza, Iglesias (2) ABSTAIN: None (0) ABSENT: None (0) * Ward 4 representative vacant. *AFTER CONSIDERATION OF ITEM 75J, CITY MANAGER KRISTINE RIDGE PROVIDED CLARIFICATION ON ITEM 75H AND INQUIRED IF COUNCIL WOULD LIKE TO RECONSIDER SAID ITEM. MOTION: Reconsideration of item 75H. MOTION: Solorio SECOND: Pulido VOTE: AYES: Iglesias, Penaloza, Pulido, Sarmiento, Solorio, Villegas(6) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) * Ward 4 representative vacant. CITY COUNCIL MINUTES 33 JUNE 4, 2019 1 OA-33 Councilmember Solorio spoke. MOTION: Adopt resolutions. RESOLUTION NO. 2019-043 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADOPTING MITIGATED NEGATIVE DECLARATION ENVIRONMENTAL REVIEW NO. 2015-14 AND ADOPTING A MITIGATION MONITORING AND REPORTING PROGRAM; FOR GENERAL PLAN AMENDMENT NO.2017-03, TENTATIVE TRACT MAP NO. 2017-04 AND VARIANCE NO. 2017-10 FOR THE TOWNHOME PROJECT LOCATED AT 3025 WEST EDINGER AVENUE 2. RESOLUTION NO.2019-044 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING GENERAL PLAN AMENDMENT NO.2017-03 FOR THE PROPERTIES LOCATED AT2935, 3007, 3013, 3019, 3025 AND 3109 WEST EDINGER AVENUE 3. RESOLUTION NO. 2019-045 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING TENTATIVE TRACT MAP NO. 2017-04 AS CONDITIONED TO CONSOLIDATE THREE EXISTING PARCELS INTO ONE DEVELOPMENT SITE AND CREATE A SUBDIVISION OF 17 CONDOMINIUM UNITS AT 3025 AND 3109 WEST EDINGER AVENUE 4. RESOLUTION NO. 2019-046 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING VARIANCE NO. 2017-10 AS CONDITIONED TO ALLOW THE CONSTRUCTION OF 17 TOWNHOMES AND ALLOW AN INCREASE IN BUILDING HEIGHT, REDUCTION IN FRONT YARD SETBACK, DEVIATIONS TO OPEN SPACE AND FLOOR PLAN CONFIGURATION STANDARDS FOR THE PROPERTY LOCATED AT 3025 AND 3109 WEST EDINGER AVENUE MOTION: Solorio SECOND: Villegas VOTE: AYES: Iglesias, Penaloza, Pulido, Sarmiento, Solorio, Villegas(6) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) * Ward 4 representative vacant. CITY COUNCIL MINUTES 34 JUNE 4, 2019 1 OA-34 751. PUBLIC HEARING — MITIGATED NEGATIVE DECLARATION NO. 2018-75; GENERAL PLAN AMENDMENT NO. 2019-01; AMENDMENT APPLICATION NO. 2019-01 TO CHANGE THE DESIGNATION OF THE PROPERTY AT 651 WEST SUNFLOWER AVENUE FROM GENERAL COMMERCIAL TO URBAN NEIGHBORHOOD; LOW -DENSITY RESIDENTIAL TO SPECIFIC DEVELOPMENT NO. 94 TO ALLOW THE CONSTRUCTION OF 226 RESIDENTIAL APARTMENT UNITS - FILED BY LEGACY PARTNERS {STRATEGIC PLAN NOS. 3, 21 — Planning and Building Agency Planning Commission approved recommended action on May 13, 2019 by a vote of 6-0 (Alderete absent). Legal Notice published in the Orange County Reporter May 24, 2019 and notices mailed on said date. Mayor Pulido opened the Hearing. The following spoke on the matter: f Adrian Esparza, in support of item. • Daniel Garcia, in support of item. • Judy Edge, addressed City Council to request neighborhood utility lines to be installed underground. • Tammy Frias, in support of item. • Brian Heney, in support of item. • Anna Menendez, in support of item. • Spencer Miller, in support of item. • Diane Pritchett, in support of item. Applicant, Tim O'Brien on behalf of Legacy Partners, addressed City Council to request approval of item. Council discussion ensued. Councilmember Penaloza spoke. Councilmember Iglesias spoke Applicant, Tim O'Brien on behalf of Legacy Partners spoke. Councilmember Iglesias spoke Applicant, Tim O'Brien on behalf of Legacy Partners spoke. Councilmember Iglesias spoke Executive Director of Planning and Building Safety Minh Thai spoke CITY COUNCIL MINUTES 35 JUNE 4, 2019 1 OA-35 Councilmember Sarmiento spoke. Councilmember Solorio spoke MOTION: 1. Adopt resolutions. a. RESOLUTION NO. 2019-047 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADOPTING MITIGATED NEGATIVE DECLARATION ENVIRONMENTAL REVIEW NO. 2018-75 AND APPROVING AND ADOPTING A MITIGATION MONITORING AND REPORTING PROGRAM RELATIVE TO GENERAL PLAN AMENDMENT NO. 2019-01 FOR THE PROJECT LOCATED AT 651 WEST SUNFLOWER AVENUE b. RESOLUTION NO. 2019-048 -A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING GENERAL PLAN AMENDMENT NO. 2019-01 FOR THE PROPERTY LOCATED AT 651 WEST SUNFLOWER AVENUE 2. Place ordinance on first reading and authorize publication of title. ORDINANCE NO. NS-2968 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING AMENDMENT APPLICATION NO. 2019-01 REZONING THE PROPERTY LOCATED AT 651 WEST SUNFLOWER AVENUE FROM SINGLE-FAMILY RESIDENTIAL (R-1) TO SPECIFIC DEVELOPMENT NO. 94 (SD-94) (AA NO. 2019-01) AND ADOPTING SPECIFIC DEVELOPMENT NO. 94 (SD-94) FOR SAID MOTION: Solorio SECOND: Penaloza VOTE: AYES: Iglesias, Penaloza, Pulido, Sarmiento, Solorio, Villegas(6) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) * Ward 4 representative vacant. CITY COUNCIL MINUTES 36 JUNE 4, 2019 1 OA-36 75J. PUBLIC HEARING CONTINUED — AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA CHANGING THE BOUNDARIES OF WARD 3 IN CONJUNCTION WITH THE PROPOSED 24.78-ACRE COUNTY ISLAND ANNEXATION GENERALLY LOCATED AT THE NORTHEAST CORNER OF SEVENTEENTH STREET AND TUSTIN AVENUE — Planning and Building Agency Matter continued to the June 18, 2019 City Council meeting at the request of staff. *CITY MANAGER KRISTINE RIDGE PROVIDED CLARIFICATION ON ITEM 75H AND INQUIRED IF COUNCIL WOULD LIKE TO RECONSIDER SAID ITEM. COUNCIL AGENDA ITEMS Pursuant to Santa Ana Charter Section 411, any member of the City Council may place items on the City Council Agenda to be considered by the City Council. 85A. DISCUSS AND CONSIDER DIRECTING CITY MANAGER TO REQUEST STAFF TO CONSIDER SCHEDULING A PUBLIC HEARING OF THE REGIONAL SIGN PROGRAM NO. 2018-01 FOR THE DISCOVERY CUBE - Councilmember Solorio Councilmember Solorio spoke. Councilmember Penaloza, requested further discussion of Zoo sign advertisement opportunities. 85B. DISCUSS POLICE SUBSTATIONS - Councilmember Iglesias Councilmember Iglesias, requested staff to provide cost analysis of creating police substations in each ward. City Manager Ridge spoke. RECESSED CITY COUNCIL MEETING AT 11:31 P.M. TO THE HOUSING AUTHORITY MEETING AND RECONVENED WITH SAME MEMBERS PRESENT AT 11:31 P.M. COMMENTS PUBLIC COMMENTS (Non-Agendized Items). The following spoke: CITY COUNCIL MINUTES 37 JUNE 4, 2019 1 OA-37 • Mary Jo Baretich, requested City Council to assist mobile home park owners. In support of rent stabilization ordinance. • James Osborne, requested City Council assist mobile home park owners. • Pedro Correa, requested City Council to assist mobile home park owners. In support of rent stabilization ordinance. • Dao Tran, requested City Council to assist mobile home park owners against rent gauging. • Tuat Mai, requested City Council to assist mobile home park owners against rent gauging. • Jasper Newkirk, requested City Council to assist mobile home park owners against rent gauging. • Char Marchbank, requested City Council to assist mobile home park owners against rent gauging. • Huong Luong, requested City Council to assist mobile home park owners against rent gauging. • Roseanne Clark, requested City Council to assist mobile home park owners. In support of rent stabilization ordinance. • Joann Jones, requested City Council to assist mobile home park owners from excessive rent increases. • Anh Tran, requested City Council to assist mobile home park owners against rent gauging. • Tammy Tran Vivian, requested City Council to assist mobile home park owners from excessive rent increases. • Duc Ho, requested City Council to assist mobile home park owners from excessive rent increases. • Han Nguyen, requested City Council to assist mobile home park owners from excessive rent increases. • Dinh Pham, requested City Council to assist mobile home park owners from excessive rent increases. • Tri Le, requested City Council to assist mobile home park owners from excessive rent increases. • Tammy Tran, requested City Council to assist mobile home park owners from excessive rent increases. • Hong Le, requested City Council to assist mobile home park owners from excessive rent increases. • Trung Truong, requested City Council to assist mobile home park owners from excessive rent increases. • Chien Huynit, requested City Council to assist mobile home park owners from excessive rent increases. • Mary Lan Le, requested City Council to assist mobile home park owners from excessive rent increases. • Khai Vu, requested City Council to assist mobile home park owners from excessive rent increases. • Lan Ho, requested City Council to assist mobile home park owners from excessive rent increases. CITY COUNCIL MINUTES 38 JUNE 4, 2019 1 OA-38 • Dale Helvig, expressed concern as to 2525 Main Street development. • Qui Vuong, requested City Council to assist mobile home park owners from excessive rent increases. • Carlo Bonanni, expressed concern as to homeless population residing on railroad tracks and apartment developments. 90A. CITY MANAGER'S COMMENTS 90B. CITY COUNCILMEMBER COMMENTS Councilmember Sarmiento, noted pending state legislation to address rent stabilization. Mayor Pro Tern Villegas, reported attendance at open house police recruitment event. Councilmember Solorio, noted upcoming 150th anniversary event at the Heritage Museum. Councilmember Penaloza, thanked staff for all of their efforts. Councilmember Iglesias, directed City Manager to place an RV Parking enforcement update on the June 18, 2019 City Council meeting agenda. Reported attendance at the May 23, 2019 Orange County Sanitation District meeting attendance. ADJOURNED- 12:32 A.M. - The next meeting of the City Council is scheduled for Tuesday, June 18, 2019 at 5:00 p.m. for the Closed Session Meeting immediately followed by the Regular Open Business Meeting at 5:45 p.m. in the Council Chamber, 22 Civic Center Plaza, Santa Ana, California. FUTURE AGENDA ITEMS • CONSIDERATION OF SEVENTEENTH AND TUSTIN ANNEXATION • GENERAL PLAN UPDATE • CITY'S 150TH ANNIVERSARY PLANNING • CONTRACTED SECURITY FOR PARKS CITY COUNCIL MINUTES 39 JUNE 4, 2019 1 OA-39 1 OA-40 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 2, 2019 TITLE: ORDINANCE SECOND READING: ADOPTION OF CITY BUDGET FISCAL YEAR 2019-2020 (STRATEGIC PLAN NO. 5,1) CITY N&NAGER RECOMMENDED ACTION Place ordinance on second reading and adopt. CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearinq For CONTINUED TO FILE NUMBER On June 18, 2019, the following ordinance was introduced for first reading by a bifurcated motion. 1A. Approve the General Citywide Budget excluding the Police budget; place ordinance on first reading and authorize publication of title by a vote of 6-0; and 1 B. Approve the Police Budget; place ordinance on first reading and authorize publication of title by a vote of 4-2 (Iglesias and Villegas dissented): ORDINANCE NO. NS-2969 AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROPRIATING MONIES TO THE SEVERAL OFFICES, AGENCIES, AND DEPARTMENTS OF THE CITY FOR FISCAL YEAR BUDGET PERIOD COMMENCING JULY 1, 2019 1 In summary, the ordinance for adoption includes General Fund modifications directed by City Council on June 18, 2019, as follows: $25,000 one-time appropriation gadded to the City Manager's budget for census outreach; $100,000 one-time appropriation added to the Non - Departmental budget to increase the Universal Defense Fund allocation; $25,000 one-time appropriation added to the Community Development budget for rental assistance; and $110,000 one-time appropriation added to the Community Development budget for non-profit applicants that did not receive CDBG funding. 11 A-1 Second Reading Ordinance: Adoption of FY 2019-2020 City Budget July 2, 2019 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 - Community Health, Livability, Engagement & Sustainability, Objective #1 (Establish a comprehensive community engagement initiative to expand access to information and create opportunities for stakeholders to play an active role in discussing public policy and setting priorities). FISCAL IMPACT There is no fiscal impact associated with this action. Norma Mitre Acting Clerk of the Council EXHIBIT: Ordinance No. NS-2969 11 A-2 LS 7.2.19 ORDINANCE NO. NS-XXXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROPRIATING MONIES TO THE SEVERAL OFFICES, AGENCIES, AND DEPARTMENTS OF THE CITY FOR FISCAL YEAR BUDGET PERIOD COMMENCING JULY 1, 2019 THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines, and declares as follows: A. The City Manager has prepared and submitted to the City Council, pursuant to Section 605 of the City Charter, a proposed budget for expenditures for the fiscal year commencing July 1, 2019. B. In accordance with Section 606 of the City Charter, a public hearing has been held upon the proposed budget of expenditures after notice of such public hearing had been published in the manner prescribed in Section 606 of the City Charter. C. The proposed budget of expenditures duly submitted and considered as herein stated, together with any supplemental revisions and amendments thereto, was approved, adopted, and fixed by the City Council as the budget of the City for fiscal year 2019-2020, commencing July 1, 2019, in the amounts and for the funds, purposes, functions, department activities, and programs as therein set forth, including the Seven -Year Capital Improvement Program Plan update per Orange County Transportation Authority Measure M2 eligibility requirement. The adopted budget, including any supplemental revisions and amendments, together with a copy of the appropriation ordinance, shall be placed in the official files of the Clerk of the Council. Section 2. There are hereby appropriated to the several offices, agencies, and departments of the City, being the respective object and purposes specified in that certain document entitled " Fiscal Year 2019-2020 City Budget", a copy of which is on file in the Office of the Clerk of the Council, out of the various funds of the City for fiscal year 2019-2020, the several amounts stated as proposed expenditures from such funds, respectively, in those columns of the Budget that are headed "FY 19-20". Each aggregate of expenditures so specified in the Budget for the fiscal year for each program shall be deemed to be an appropriation for a single object and purpose within the meaning of Section 609 of the City Charter, except that as to any office, department, Ordinance No. NS- Page 1 of 3 11 A-3 or agency of the City for which more than one program is designated in Section 2 (General Fund Operating Budget) of the Budget, the aggregate expenditure authorized for all programs in Section 2 of each such office, department, or agency shall be deemed to be an appropriation for a single object and purpose within the meaning of Section 609 of the City Charter. Section 3. The appropriations hereby made shall constitute the maximum expenditures authorized for the several offices, agencies, and departments opposite which the amounts of such appropriations are shown in the Budget, and as set forth in Exhibit 1 attached hereto and incorporated herein by reference. Section 4. No warrant shall be issued or indebtedness incurred for any purpose that exceeds the unexpended balance of the appropriations established by this ordinance, unless such appropriation shall have been amended or supplemented by the City Council in the manner set forth in Section 609 of the City Charter. The City Manager is hereby authorized to make revisions between the items included within any such appropriation if, in his/her opinion, such revisions are necessary and proper. Section 5. In accordance with Governmental Accounting Standards Board Statement 54, the City Manager or his/her designee is hereby authorized, as of the date of this ordinance, to allocate assigned governmental funds' balances to specific programs and activities as deemed necessary and proper. Section 6. The Executive Director of Finance and Management Services is hereby authorized to transfer monies in accordance with the Inter -fund Transfers listed in the Budget, in such amounts and at such times during the fiscal year as he/she may determine necessary to the competent operation and control of City business, except that no such transfer shall be made in contravention of State law or City ordinance or exceed in total the amount stated herein or as amended by the City Council. Section 7. One certified copy of this appropriation ordinance together with a certified copy of each amendment thereto shall be transmitted by the Clerk of the Council to the Executive Director of Finance and Management Services. Section 8. The City Council of the City of Santa Ana hereby adopts the updated Seven -Year Capital Improvement Program, as set forth in the 2019-2020 City Budget. Section 9. Upon and from the effective date of this ordinance, expenditures of monies appropriated hereby are authorized beginning July 1, 2019. Section 10. The Clerk of the Council shall cause the title of this ordinance to be published as required by law. Section 11. All presently applicable documentation pertaining to the number, titles, qualifications, powers, duties, or compensation of officers or employees of the Ordinance No. NS- Page 2 of 3 11 A-4 City, which has been previously approved by resolution or order of the City Council and which is currently on file with the Executive Director of Human Resources, is incorporated herein and is hereby approved. The City Manager is authorized to create, alter, or abolish any position of employment, or the number, title, qualifications, powers, duties, or compensation thereof, when such action is appropriate to promote the efficiency of the City administrative organization; provided, however, that no such action shall be effective unless and until approved by resolution or order of the City Council. ADOPTED this _ day of 2019. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: V-L-c Lisa Storck Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, NORMA MITRE, Acting Clerk of the Council do hereby attest to and certify the attached Ordinance No. NS- to be the original ordinance adopted by the City Council of the City of Santa Ana on , 2019, and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date Acting Clerk of the Council City of Santa Ana Ordinance No. NS- Page 3 of 3 11 A-5 EXHIBIT 1 GENERALFUND City Manager's Office $ 2 206 270 Legislative 502,170 Non -Departmental r 4,894,540 Unfunded Pension Liability Payment 37,142,340 Transfers for Debt Payment 9,042,580 Transfers to Projects 10,119,200 Clerk of the Council 1,682,560 City Attorney's Office 3,219,780 Human Resources 2,490,360 Finance 9,671,190 Library 5,414,880 Bowers Museum 1,473,430 Parks & Recreation 21,421,910 Police 131,568,820 Fire 45,640,920 Planning & Building 13,227,380 Public Works 13,155,830 Community Development Agency 3,253,520_ Total General Fund $ 316,127,680 11 A-6 EXHIBIT 1 Fund 012 -Cannabis Public Benefit (City Attorney) $ 307,910 Fund 012 -Cannabis Public Benefit (Finance) 255,550 Fund 012 - Cannabis Public Benefit (PRCSA) 3,076,650 Fund 012 - Cannabis Public Benefit (Police) 1,297,520 Fund 012 - Cannabis Public Benefit (PBA) 649,850 Fund 012 - Cannabis Public Benefit (CMO) 565,820 Fund 016 - CAsp Certification 85,000 Fund 021- CAN Capital Support (PEG) 300,000 Fund 022 - library Fee and Donation 25,960 Fund 022- PRCSA Fee and Donation 78,000 Fund 050-Council Special Projects (Non -Departmental) 1,665,120 Fund 050 - Council Special Projects (PBA) 750,000 Fund 051- Capital Outlay (Non -Departmental) 223,900 Fund 051- Capital Outlay (PRCSA) 3,445,230 Fund 052 -Strategic Plan Projects (HR) 250,000 Fund 052 - Strategic Plan Projects (Finance) 109,500 Fund 052 - Strategic Plan Projects (PRCSA) 1,410,000 Fund 052 - Strategic Plan Projects (PBA) 350,000 Fund 052 - Strategic Plan Projects (CDA) 375,000 Fund 053 - City Services (CAO) 34,800 Fund 053 - City Services (Police) 570,900 Fund 053 - City Services (PBA) 2,694,000 Fund 120 - Fire Facilities Fund 800,000 Fund 121 - Special Repair/Demolition 15,000 Total General Fund Set -Aside Funds $ 19,325,710 Fund 031-Air Quality Improvement Fund (HR) $ 175,780 Fund 031-Air Quality Improvement Fund (Planning) 386,970 Fund 031- Air Quality Improvement Fund (PWA) 1,032,600 Fund 122 - Emergency & Health Grants 3,689,400 Fund 123 - Workforce Investment Act 3,448,730 Fund 124 - Orange County SSA Grant 811,100 Fund 125 - Urban Areas Security Initiative Grant 3,322,540 Fund 127-COPS Hiring Grant 82,600 Fund 128- Law Enforcement Grant 1,206,400 Fund 130- HOME Program 2,136,100 Fund 135 - Community Development Block Grant 7,772,380 Fund 136 - Housing Authority - Voucher HAP 34,564,900 Fund 137 - Housing Authority - Mainstream 2,000,000 Fund 138 - Housing Authority - MS 5 585,400 Fund 140 - Housing Authority - Voucher ADM 3,346,840 Fund 142 - Neighborhood Stabilization Program 1,350,740 Fund 1"- Prison to Employment Program 3,816,970 Fund 145 - Rental Rehabilitation Grant 387,600 Fund 169 - Recreation Grant Fund 211,820 Fund 403 - SCAG Grants 237,240 Total Grant Funds $ 70,566,110 11 A-7 EXHIBIT 1 Fund 020- Traffic Offender Program $ 67,800 Fund 023 - Inmate Welfare Fund 1,193,800 Fund 024 - Police Special Revenue Fund 812,900 Fund 025 - Special Revenue Enterprise Zone 215,000 Fund 026 - Criminal Activities 71,100 Fund 029 - Special Gas Tax 14,639,060 Fund 074 - Civic Center Authority (PRCSA) 5,503,000 Fund 074 - Civic Center Authority (Police) 2,000,000 Fund 133 - Housing Authority Issuer Fee 141,110 Fund 166 - US DOI Asset Forfeiture Fund 1,648,990 Fund 167 - US Treasury Asset Forfeiture 384,200 Fund 417 - Inclusionary Housing 27,895,420 Fund 607 - Santa Ana Financing Authority 1,661,940 Fund 652 - 2003 Tax Allocation Bond Series A 4,700 Fund 654 - 2011 Tax Allocation Bond Series A 6,700 Fund 655 - 2018 A & B Tax Allocation Refunding Bonds 5,596,500 Fund 658 - 2003 Tax Allocation Bond Series B 4,700 Fund 670 - City of Santa Ana Redevelopment Agency 879,780 Fund 671- City of Santa Ana Redevelopment Agency Obligation Retiremer (5,485,3G0) Total Other Restricted Funds S 57.241.400 Fund 032 - Measure M $ 5,560,700 Fund 054 -Sewer Capital Recovery Fund 7,350,000 Fund 055- Sewer Connection 5,263,000 Fund 058 - Residential Street Improvements 313,000 Fund 059 - Select Street Construction 5,948,500 Fund 148 -Traffic Safety Management Program 12,459,000 Fund 161- State Capital Grants 1,465,080 Fund 222 - Local Drainage Area II 388,000 Fund 223 - Local Drainage Area III 100,000 Fund 224 - Local Drainage Area IV 250,000 Fund 301- Park Acquisition & Development 196,190 Fund 311- Residential Development District 1 2,684,630 Fund 312 - Residential Development District 2 3,066,800 Fund 313 - Residential Development District 3 1,377,000 Fund 314 - Residential Development District 4 795,660 Fund 400 - Police Building Debt Service Fund 8,000 Fund 404 - City of Santa Ana Lease Financing Debt Service 11,000 Fund 418 - Feebler Capital Fund 8,002,500 Total Capital Funds $ 55,239,060 Fund 027 - Parking Operations $ 6,527,720 Fund 056 - Sanitary Sewer Fund 8,504,590 Fund 057- Federal Clean Water Protection - 4,792,510 Fund 060 -Water Enterprise 59,265,480 Fund 066- Water Utility Capital Construction 17,200,800 Fund 067-Santa Ana Regional Transportation Center 1,849,020 Fund 068 - Sanitation Fund 7,946,660 Fund 069 - Refuse Collection 21,618,130 Total Enterprise Funds $ 127,704,910 GRAND TOTAL 646,204,870 11 A-8 CITY OF SANTA ANA a{ba,l COUNCIL COMMITTEE MEETING AGENDA PUBLIC SAFETY, CODE ENFORCEMENT AND NEIGHBORHOOD EMPOWERMENT SPECIAL MEETING Tuesday, April 23, 2019 5:30 P.M. CALL TO ORDER City Hall Ross Annex, Conference Room 1600 20 Civic Center Plaza, Santa Ana, California Committee Members: Councilmembers Penaloza & Villegas Staff: Chief of Police David Valentin, OCFA Division Chief James Henery, Assistant City Attorney Tamara Bogosian and Director of Planning & Building Minh Thai Recording Secretary: Yessenia Aspeitia PUBLIC COMMENTS Members of the public are allowed three minutes to speak on agenda items or matters within the jurisdiction of the Committee. AGENDA ITEMS 1. Approval of Minutes from October 1, 2018 Meeting 2. Appointment of Chair and Vice Chair Person RECOMMENDATION ACTION: Appointment of Chair and Vice Chair Person for Public Safety, Code Enforcement and Neighborhood Empowerment Committee. 3. Update on Police Recruitment and Hiring — Deputy Chief Enrique Esparza 4. Update Park Ranger Recruitment - Deputy Chief Enrique Esparza and Director of Parks, Rec. & Community Services Lisa Rudloff 5. Graffiti Report —Assistant Public Works Maintenance Manager Danell Mercado 6. Cyber Cafes —Code Enforcement Manager Alvaro Nunez and Deputy Chief Ken Gominsky SANTA ANA CITY COUNCIL Miguel A. Pu6Lo Juan VWegas Vicente Satmiento DaWE Peaaloaa Jose 6olmlo Vacant Cecllla lglealas Mayor May, Pre Tom. Wani5 Wanil Ward2 WaN3 Weds Waal moulWofAsantaanaam hilleaaslAuntaana.om vsamnanlolAsemaana am 6venala.Aaant na.am Isobna(Asamaana-,a dclesiasfAsama-anaom City Hall, 20 Civic Center Plaza • P.O. Box 1988 • Santa Ana, California 92702 Mayor & Council Telephone: 714-647.5200 • AgeIaTX21ries: 714-245-8003 • Website: w .santa-ana.ora 7. 911 calls made from the Courtyard Shelter— Deputy Chief Ken Gominsky and OCFA Division Chief James Henery 8. Update on Citywide Homelessness Response -Acting City Manager Mendoza COMMITTEE MEMBER COMMENTS FUTURE AGENDA ITEMS ADJOURNMENT The next Public Safety and Neighborhood Empowerment meeting is scheduled for Tuesday, June 11, 2019, at 5:30 P.M. at City Hall Ross Annex, Room 1600, 20 Civic Center Plaza, Santa Ana, CA. The complete Strategic Plan document is available at http://www.santa-ana.org/strategic-planning/ DIf you need special assistance to participate in this meeting, please contact Michael Ortiz, City ADA Program Coordinator, at (714) 647-5624. Please call prior to the meeting date, to allow the City enough time to make l� reasonable arrangements for accessibility to this meeting. [Americans with Disabilities Act, Title II, 28 CFR 35.102 SANTA ANA CITY COUNCIL MlVual&NOW. Juan Ville9as Vicente sanuento DaWPenaloaa Jeae S.W. Vacant Cecilia lBlealaa Mayor Mayor Pro Tern, Wad 5 Wad Wad2 Wad3 Wad Wxd6 noae4oAmnlaanaom ♦caMlento@sarnaanaom Enenabia%Aaantaana.oaa Iaabno6lsantaana.oro cialesias!Asentaana om City Hall, 20 Civic Center Plaza • P.O. Box 1988 . Santa Ana, California 92702 Mayor & Council Telephone: 714-647-5200 • Agelaft1=geVies: 714-245.8003 atw Website: ww.santa-ana.ora CITY OF SANTA ANA CITY COUNCIL COMMITTEE ON SPECIAL PUBLIC SAFETY, CODE ENFORCEMENT & NEIGHBORHOOD EMPOWERMENT MINUTES April 23, 2019 CALL TO ORDER: Ross Annex, Room 1600 City Hall, 20 Civic Center Drive Santa Ana, California 5:38 PM ATTENDANCE: Council Committee members: Juan Villegas, Mayor Pro Tern David Penaloza MEMBERS ABSENT: N/A STAFF PRESENT: Steven Mendoza, CMO David Valentin, PD Tamara Bogosian, CAO James Henery, OCFA Enrique Esparza, PD Lisa Rudloff, Parks & Rec. Ken Gominsky, PD Danell Mercado, PW Melecio Sarabia, PD Alvaro Nunez, PB Randy Black, OCFA Hafsa Kaka, CDA Yessenia Aspeitia, Recording Secretary PUBLIC SPEAKERS: Esther Fonseca, concerned constituent Chris Schmidt, Windsor Village NA Thomas Gordon, concerned constituent Evangeline Gawronski, concerned constituent 1 13A-3 PLEDGE OF ALLEGIANCE — Mayor Pro Tern Juan Villegas PUBLIC COMMENTS Esther Fonseca, concerned constituent, provided a brief update of the loud and raucous noise ordinance and the current enforcement efforts taking place. Ms. Fonseca shared her frustration that police officers are not consistently issuing citations on loud music calls, and made a suggestion for a unit to be created to focus to respond to loud music calls. Chris Schmidt, Windsor Village resident, talked on property located on 1625 S. Cypress Street — Old Cypress Street fire station. He provided a brief three-year summary on series of incidents that this property has gone through that covers every issue being address in current agenda. Mr. Schmidt encouraged all departments to continue to work together to address the ongoing problems of homelessness, trach clean up and graffiti. AGENDAITEMS (Item Number 2 taken out of order) 2. Elect Chair and Vice Chair A motion is made to elect Mayor Pro Tem Juan Villegas as Committee Chair, and Councilmember David Penaloza as Committee Vice Chair. MOTION: Penaloza VOTE: AYES: Motion passes. SECOND: Villegas Penaloza, Villegas 1. Approval of Minutes from the October 1, 2018 Meeting MOTION: Villegas VOTE: AYES: Motion passes. SECOND: Penaloza Penaloza, Villegas 3. Update on Police Officer Recruitment and Hiring — Deputy Chief Enrique Esparza Deputy Chief Esparza presented the Council Committee with an update on Police Officer hiring, by reviewing the number of vacancies compared to filled positions year-to-date, as 2 13A-4 well as the number of additional officers projected to be hired the remainder of 2019. Additionally, Deputy Chief Esparza shared list of over forty recruitment events Santa Ana Recruitment team has participated in and the effectiveness of each event making Santa Ana PD known throughout the state. Deputy Chief Esparza shared an additional list of resources implemented to increase and streamline hiring process. Additionally, he provided an organizational chart for PD Human Resources Division to identify the updated restructuring of the division. Per request made in last City Council Meeting, Deputy Chief Esparza provided the average number of officers per thousand resident with comparison to other cities. The Council Committee shared dialogue with Staff about recruitment/retainment efforts, asked questions and offered support of recruitment efforts. ACTION Vice Chair Penaloza asked staff to look into paid sponsorship/boosting of social media post in regards to recruitment to ensure continued interest to apply to Santa Ana PD. 4. Update on Park Ranger Recruitment — Deputy Chief Enrique Esparza and Director of Parks, Rec. & Community Services Lisa Rudloff Deputy Chief Esparza provided a verbal update on recruitment efforts for the Park Ranger position with one applicant currently in the backgrounds phase. He mentioned there is little to no interest in this position because the threshold is the same to be a police officer and time is then invested in pursuing that career path. Chief Valentin gave a background on recruitment for this position with previously hiring retired Santa Ana police officers but had to do away with it due to PERS regulation. In order to address immediate concern in safety especially in the evening, Chief Valentin had previously suggested hiring private security to secure bathrooms, observe and report any criminal activity. Vice Chair Penaloza expressed his hesitance in this option because of a disconnect it would cause with Santa Ana residents. Deputy Chief Gominsky shared he had previously looked into other agencies retirees and their interest in becoming a park ranger, such as LAPD, LASD and OCSD as an alternative to address PERS issue. He reported that commitment and interest for this job would not be the same in comparison to a Santa Ana PD retiree. Director of Parks and Rec. Lisa Rudloff expressed that the current immediate concern is locking the bathrooms in the evening. She shared that her staff has been injured on several occasions. In response to this, Director Rudloff stated there is an RFP in the works to bring in private unarmed security to lock bathrooms in various parks. Director Rudloff mention she will be looking into alternatives to address locking bathrooms and their redesign to meet these needs. 13A-5 ACTION Council Committee suggested continuing this item for further discussion for other alternatives to address park safety. 5. Graffiti Report —Assistant Public Works Maintenance Manager Danell Mercado and Sergeant Melecio Sarabia Public Works Manager Danell Mercado presented an overview on graffiti removal program, stating removal services are provided seven days a week by six technicians with one specifically dedicated to parks. Graffiti removal request could either be submitted thru the graffiti hotline, which is answered only during the week with the ability to leave voicemail afterhours or through mySantaAna app where submissions are sent straight to the technician for response. Responses for removal can then be expected to occur within 48-hours but typically in 24. Manager Mercado also shared graffiti removal statistics from the past two years that show people are using the app more to report graffiti then the hotline. As an additional effort to address this ongoing problem, Manager Mercado suggested the consideration of establishing a punitive fine, on top of a restitution fine that is already require to pay to help deter and reduce negative impacts. Sergeant Sarabia stated that the compensation from graffiti reward program is $500 with stipulation that full cooperation is required from arrest to prosecution of individual. He also addressed the low number of arrest in comparison to number of removal of graffiti is due to lack of cooperation and most cases moved to a diversion program. Council committee urged continued address on prevention of graffiti by revisiting advisory signage to promote reward program and help deter individuals. A suggestion was also made to revisit scheduling of techs to increase to an additional tech over the weekend to help with calls for services. 6. Cyber Cafes — Code Enforcement Manager Alvaro Nunez and Deputy Chief Ken Gominsky Manager Alvaro Nunez provided a verbal update on current efforts that are being done between PD, Code Enforcement in with collaboration City Attorney's Office. There are approximately thirty-five operating cyber cafes in the City of Santa Ana. The common factor is that most are applying for a business license with the intention of being a cyber cafe, which then result to operating an illegal gambling business. Deputy Chief Gominsky mentioned there current moratorium while City evaluates what to do with these business moving forward. Deputy Chief Gominsky suggested a ban on cyber cafes. PD Vice units consistently are issuing warrants to go into these businesses where approximately five to twenty-four gambling machines are seized as evidence. Due to the size of these machines, PD has run out of space to store them while awaiting criminal prosecution. Deputy Chief Gominsky stated he is currently looking at low cost storage alternatives to address this issue. To consider the option of getting rid of them while case 4 13A-6 is pending, a forensic audit has to be completed which costs $10,000.00 He expressed that the city will continue to hemorrhage money and time spent if this issue is not addressed. Council committee suggested ensuring public awareness of enforcement and closures that are being done of these illegal gambling businesses. 7. 911 calls made from the Courtyard Shelter— Deputy Chief Ken Gominsky and OCFA Division Chief James Henery OCFA Division Chief James Henery shared calls for service to the Courtyard shelter have decreased from last year that average 3 calls a day to now 1.6 calls a day. This drop is in result of outreach that was done with the Midnight Mission group in educating how to properly utilize 911. The majority of calls for service coming in are for basic life support instead of the use of paramedics. Spike in calls last year was a result of removals done from Plaza of the Flags and Santa Ana Riverbed. ACTION Chairman Villegas requested statics on average number of calls for services Care Ambulance responds to Courtyard Shelter. 8. Update on Citywide Homelessness Response - Homeless Services Manager Hafsa Kaka Homeless Services Manager Hafsa Kaka presented to the Council Committee with an updated overview of recent projects that have taken place to address homelessness as of October 2018: commencement of Link shelter (200 beds), creation of data dashboard that is updated daily with currently enrollment of 180 people to 150 bed nights, Operation Dignity & Operation Safe Passage lead by Santa Ana PD QOLT and City of Santa Ana Point in Time Count. Additionally, Hafsa shared that city staff is regularly meeting at Santiago Creek and railroad to ensure people are getting into shelters and enforcement continues. ADDITIONAL PUBLIC COMMENTS Thomas Gordon, concerned constituent, shared his opinion on continued problem in regards to graffiti and staff efforts to enforce ordinance. He encouraged staff to have more community paint out days. Evangeline Gawronski, concerned constituent, expressed her opinion on graffiti problem and how businesses need to be held accountable for improperly securing spray cans in stores. She would like to know which department would cite business for not abiding by this law. Esther Fonseca, concerned constituent, expressed that the graffiti removal program is working in her neighborhood. She mentioned that in various times she has called, staff has promptly responded and removed graffiti. 13A-7 COMMITTEE MEMBER COMMENTS Vice -Chair Penaloza expressed that issue with old Cypress fire station is high on his radar and will make sure it is also on everyone else's. He agrees with public comment issue of deterioration of this facility needs to be addressed promptly. He will bring this issue to City Council to come up with ways to utilize abandoned properties such as old fire station, which will then deter vandalism and homeless encampments. In regards to police hiring, Vice -Chair Penaloza emphasized the importance of social media to increase public interest and awareness. Vice -Chair Penaloza would like staff to look into an audit of the mySantaAna app in regards to response times for graffiti removal on weekends to adjust scheduling of techs accordingly for availability. ACTION Vice -Chair Penaloza would like Alvaro Nunez to provide update on efforts on legal action against Pacific Railroad before the next Council Meeting. Chairman Villegas thanked and acknowledged staff and community members that worked together in putting together loud music ordinance. He mentioned that citing has not been done due to requirement of second reading of this ordinance but wants to ensure officers are on board to properly cite offenders when responding to loud music calls. In regards to addressing homeless issue, he encouraged funds to be properly utilized to address calls for trash clean up. The Committee members were engaged in the discussions, expressed interest in the presentations, and thanked staff for their hard work and the public for their attendance. ADJOURNMENT — 7:23 P.M. L--6—AVID VALENTIN Chief of Police Ya 13A-8 -�' CITY OF SANTA ANA �' sI "` COUNCIL COMMITTEE REGULAR MEETING AGENDA ECONOMIC DEVELOPMENT, INFRASTRUCTURE, BUDGET AND TECHNOLOGY COMMITTEE MAY 13, 2019 5:00 PM CALL TO ORDER City Hall Ross Annex, Conference Room 1600 20 Civic Center Plaza, Santa Ana, California Committee Members: Jose Solorio, Chair Cecilia Iglesias, Vice -Chair David Penaloza PUBLIC COMMENTS - Members of the public are allowed three minutes to speak on agenda items or matters within the jurisdiction of the Committee. AGENDA ITEMS 1. Approval of Minutes of November 26, 2018 Special Meeting {Strategic Plan No. 5, 11 2. Approval of Minutes of March 11, 2019 Regular Meeting {Strategic Plan No. 5, 1} 3. FY 18-19 Projected Close {Strategic Plan No. 4,1 & 21 (Kristine Ridge, CMO/Kathryn Downs, FMSA) 4. Measure X and Cannabis Revenue & Spending {Strategic Plan No. 4,1} (Kristine Ridge, CMO/Kathryn Downs, FMSA) 5. Preliminary Proposed FY 19-20 Budget {Strategic Plan No. 4,1} (Kristine Ridge, CMO/Kathryn Downs, FMSA) 6. Strategic Plan Update (Kristine Ridge, CMO) 7. Enhanced Infrastructure Financing District Update {Strategic Plan No. 3, 51 (Steven Mendoza, CDA & Joe Dieguez, Kosmont Companies) Santa Ana City Council Miguel k Pulido Juan VJlegas Vicente Samuento CaNd Penalom Jose Solaro Vacant Carina Iglesias Mayor Mayor Pro Tern, Ward 5 Word Ward Ward3 Ward Word moulido0anta-anaam Nmeoa.Q.ntaanaaa vsarmientoiftari a.,ora dpwalmapaanta-ana.om Iaolodo(,l.ntaanaam ciplesias(dwntaana.mp City Hall, 20 Civic Center Plaza . P.O. Box 1988 . Santa Ana, California 92702 Mayor & Council Telephone: 714-647-6900 . Agenda Item Inquiries: 714.6475360 . Website: www.santaana.ora 13A-9 STAFF COMMENTS ADJOURNMENT — The next regular meeting is scheduled for Monday, August 12, 2019 at 5:00 PM If you need special assistance to participate in this meeting, please contact Michael Ortiz, City ADA Program Coordinator, at (714) 647-5624. Please call prior to the meeting date, to allow the City enough time to make reasonable arrangements for accessibility to this meeting. [Americans with Disabilities Act, Title 11, 28 CFR 35.102] The complete Strategic Plan document is available at. htta://www.santa-ana.ora/strategic-planning/ ECONOMIC DEVELOPMENT, INFRASTRUCTURE, BUDGET AND TECHNOLOGY AGENDA 13A-10 CITY OF SANTA ANA CITY COUNCIL COMMITTEE ON ECONOMIC DEVELOPMENT, INFRASTRUCTURE, BUDGET AND TECHNOLOGY REGULAR MEETING MINUTES CALL TO ORDER: ATTENDANCE: MEMBERS ABSENT: MAY 13, 2019 City Hall 20 Civic Center Plaza, Room 1600 Santa Ana, CA 5:00 PM Council Committee members: Jose Solorio, Chair Cecilia Iglesias, Vice Chair David Penaloza None STAFF PRESENT: Kristine Ridge, City Manager Steven A. Mendoza, CDA Executive Director Jack Ciulla, IT Chief Technology Innovations Officer Fuad Sweiss, PWA Executive Director Kathryn Downs, FMSA Executive Director Sergio Vidal, FMSA Assistant Director Daisy Perez, CMO Senior Management Assistant Bianca L. Zurita, CDA Recording Secretary PUBLIC COMMENTS Mr. Peter Katz — Welcomed New City Manager Kristine Ridge. Mr. Katz expressed his concerns and explained that at the last meeting it was discussed whether to add a position or remove a position but not once during the 3-hour meeting was discussed how to bring more revenue into the City. We are not tackling the real issues how to bring more dollars into the City. We need to find new ways, new challenges and new ideas to promote our downtown and bring more revenue into the city. AGENDA DISCUSSION ITEMS Approval of Minutes of November 26, 2018 Special Meeting (Strategic Plan No. 5, 1) 2. Approval of Minutes of March 11, 2019 Regular Meeting (Strategic Plan No. 5, 1) MOTION: Iglesias SECOND: Penaloza VOTE: AYES: Iglesias, Penaloza, Solorio (3) May 13, 2019 1 Economic Development, Infrastructure, Budget & Technology Minutes 13A-11 NOES: None (0) ABSENT: None (0) 3. FY 18-19 Projected Close (Strategic Plan No. 4,1 & 2) (Kristine Ridge, CMO/Kathryn Downs, FMSA) City Manager Kristine Ridge, explained that the city is projecting to close the current Fiscal Year with revenues that were anticipated and expenditures less than what it was budgeted in total. Kathryn Downs, Finance and Management Services Executive Director, presented Budget Summary of the FY 18-19 Projected Close, General Fund Resources and other significant revenues. Council Committee Vice -Chair Iglesias requested to see the paid out amount for employees' separation in the City Manager's office that put the City in the negative. Council Committee Chair Solorio reminded that some of the adult -use retail cannabis revenue should be set aside for youth programs and enforcement. Council Committee Vice -Chair Iglesias requested documents that states what was approved prior to the current Council. Council Committee Member Penaloza requested thatfor clarification and transparency, he would like a breakdown of what each of the projects mean. 4. Measure X and Cannabis Revenue & Spending (Strategic Plan No. 4,1) (Kristine Ridge, CMO/Kathryn Downs, FMSA) Kathryn Downs explained that Measure X is General Fund Revenue can be used for any legal purpose of the City. Council Committee member Penaloza does not feel comfortable using Measure X money to pay staff salaries. City Manager, Kristine Ridge explained that the Police Department is expected to close their year within their current budget and staff is not seeking to make additional transfer. Council Committee member Penaloza requested the information on the number of cars bought through the Vehicle Incentive Program. Council Committee Vice Chair Iglesias requested a breakdown of how much money was spent on Enforcement for each department. She is also requesting to see the list of the non-profit organizations that applied for the CDBG Program but not selected to receive funds. May 13, 2019 1 Economic Development, Infrastructure, Budget & Technology Minutes 13A-12 5. Preliminary Proposed FY 19-20 Budget (Strategic Plan No. 4,1) (Kristine Ridge, CMO/Kathryn Downs, FMSA) Staff held five Budget Community meetings in compliance with the Sunshine Ordinance. A total of 153 participants attended those meetings. At each meeting a survey was taken from the community to better understand the needs of the community. Council Committee members would like to see detail information taken from those surveys. Council Committee Members ensued in conversations how to increase revenue for the City. Council Committee Chair Solorio suggested to dedicate a future meeting on how to generate revenue and proposals. Community Development Executive Director Steven Mendoza explained that HEAP money and S132 monies are used to fund the MOU to address homelessness. City Manager Kristine Ridge explained to Council Committee Members that per their request, they will be receiving a briefing on the MOU and status of the Yale site and the efforts with the County. Council Committee Vice -Chair Iglesias would like to know where the $18 million to address homelessness is coming from. Staff will provide a breakdown for each department. Council Committee Chair Solorio expressed his concerns regarding security to address homelessness. Council Committee Vice -Chair Iglesias feels that the money allocating for Measure X should be for new programs not to fulfilled something that the City should had done with previous funds. Kathryn Downs, FMSA Executive Director presented the proposed FY 19-20 General Fund Budget. Council Committee Vice -Chair Iglesias expressed her concerns regarding the 19-20 Budget. For transparency purpose, she would like to see which projects are ongoing and which have end dates. Jack Ciulla, Chief Technology Innovations Officer of IT, explained that the IT department is working to provide more electronic forms on the City's website. Council Committee Member Penaloza would like to see city forms that will populate data into the city's data base system without having to come in person. May 13, 2019 1 Economic Development, Infrastructure, Budget & Technology Minutes 13A-13 6. Strategic Plan Update (Kristine Ridge, CMO) City Manager Kristine Ridge provided overview goal of the strategic plan for each department. The Sunshine Ordinance requires to hold a public workshop. She recommends to do a retreat with City Council to plan the next Strategic Plan and just update the current Strategic Plan to give enough time to plan the necessary activities to do a thorough Strategic Planning. Council Committee Member Penaloza inquired about the Housing Opportunity Ordinance (HOO) fee. City Manager Kristine Ridge will provide a table indicating what other Cities' HOO fee is compared to that of Santa Ana. Council Committee Vice -Chair Iglesias spoke. Steven Mendoza, CDA Executive Director explained that staff is reviewing the HOO based on previous input from City Council. It will be presented to the Committee and then to City Council within couple of months. 7. Enhanced Infrastructure Financing District Update (Strategic Plan No. 3, 5) (Steven Mendoza, CDA & Joe Dieguez, Kosmont Companies) Steven Mendoza, provided an overview of Enhanced Infrastructure Financing Districts study which was funded by SCAG. Kosmont has completed the study and presented their findings. Joe Dieguez, Senior Vice President of Kosmont Companies and Kimberly Clark from SCAG presented the results of the study. Council Committee Vice -Chair Iglesias would like to see the presentation at a different type of setting to have enough time to take in all the information. Steven Mendoza clarified the intent to bring Kosmont to obtain guidance from the Committee to begin discussion with the County. ITEMS MOVED TO NEXT COMMITTEE MEETING • None STAFF MEMBER COMMENTS: • Kristine Ridge, City Manager — Recommended a presentation on the Opportunity Zone should be done for this committee, a critical component of the Economic Development Plan. May 13, 2019 1 Economic Development, Infrastructure, Budget & Technology Minutes 13A-14 COMMITTEE MEMBER COMMENTS: • Council Committee Vice Chair Iglesias would like for staff to bring to the committee a presentation on the Opportunity Zone. • Council Committee Member Penaloza would like to hold a Special Meeting Mid -June, before the end of the Fiscal Year. Also requesting to bring an item on the Census 2020. NEXT MEETING — Monday, August 12, 2019 ADJOURNMENT —8:25 PM Bianca L. Zur' Recording Secretary, CDA May 13, 2019 1 Economic Development, Infrastructure, Budget & Technology Minutes 13A-15 13A-16 I REQUEST FOR COUNCIL ACTION - CITY COUNCIL MEETING DATE: JULY 2, 2019 TITLE: RECEIVE AND FILE STRATEGIC PLAN MONTHLY REPORTS FOR MAY AND JUNE 2019 (STRATEGIC PLAN NO. 5, 1) RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on ls' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Receive and file the Strategic Plan Monthly Reports for May and June 2019. DISCUSSION The May 2019 monthly reports provide departmental activity in alignment with the stated goals of the Strategic Plan. The report includes tasks, next steps, outcomes and percentage completed for each strategy. The Strategic Plan Monthly Reports are available on the City's website at: STRATEGIC PLAN ALIGNMENT This item supports the City's efforts to meet Goal #5 - Community Health, Livability, Engagement & Sustainability, Objective #1 (Establish a comprehensive community engagement initiative to expand access to information and create opportunities for stakeholders to play an active role in discussing public policy and setting priorities). FISCAL IMPACT There is no fiscal impact associated with this item. 19C-1 19C-2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 2, 2019 CLERK OF COUNCIL USE ONLY: TITLE: APPROVED RECEIVE AND FILE: PUBLIC WORKS ❑ As Recommended As AGENCY CAPITAL IMPROVEMENT ElOr Amended ❑ Ordinance on 1" Reading PROGRAM REPORT FOR JUNE 2019 ❑ Ordinance on 2nd Reading (STRATEGIC PLAN NO. 5, 1) ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO Vol FILE NUMBER CITY MANAGER RECOMMENDED ACTION Receive and file the Public Works Agency Project Status and Monthly Capital Improvement Program Executive Report for June 2019. DISCUSSION The July 2019 Capital Improvement Program (CIP) Executive Summary (Exhibit 1) provides Public Works Agency activity on CIP projects and is also available on the City's website at: https•//www santa ana ore/sites/default/files/pw/documents/Executive-Monthly-CIP-Update-June-2019 pdf The schedule contains considerable information on CIP projects, therefore a summary of the construction activities citywide this Summer and Fall is provided in Exhibit 2, which is a map and corresponding table. STRATEGIC PLAN ALIGNMENT This item supports the City's efforts to meet Goal #5 — Community Health, Livability, Engagement & Sustainability, Objective #1 (establish a comprehensive community engagement initiative to expand access to information and create opportunities for stakeholders to play an active role in discussing public policy and setting priorities). FISCAL IMPACT no fiscal impact associated with this item. Fuad RSweiss, PE, PLS Executi a Director Public orks Agency Exhibits: 1. CIP— Executive Summary Schedule maybe reviewed at: https://www santa-ana ore/sites/default/files/pw/documents/Executive-Monthly-CIP-Update-June-2019 pdf 2. Projects Location Map/Table 19D-1 19 D-2 O Z 0 i Eo I" 11 ° II J a < u � ° i I E= I i i 11 d e 8.8is g 8 8888888888 888888888888 8 a8881�8a Eli.- a c 12 E m '" y L C 5 E_ a L v S fr fr '• -` o��: 6± � A° f o b = c g 6 o= "r' F • F `. � i E �°�, L« tt Y N t_ M � i�� e`=� N M a N a a_ = °���� � 7 g< ' III�IIrllllllll�9lll �11�11111'"' b=I 1111 iiM']iiii 1 88 8888 88888 = 8 888 88 8888 888 c y„ � 6 •C in .O. w n E m_ II E i L_ E i E c E3 c B E c 3 F ENJ Q5 s fEo .F$^.SEr yfrF.4� E u r �5 Sai �- u c c o ¢ E G E y F" . ' b _ � E c ° � _ E e '" � : [; a. .,■-l...........■-as■■■■■.a■ ;!,■■.« , §#§ t;##t§!!;##;!#§■■f§!§§#a§ ,:;a;a; . !!! K!!§!!»«!I!!!!«!!«!;!!#!■ d ||| )....... . § | \ | �| }(()) |! - ��°. ..,......1......1..=.,. .]_.§ _, ({ !!}{/ ! S•, N { !!!;! §[f!�|| !!.!� ({ !|f)\ |f!�| \!2t!ll;., a ..1=•| [{,§,|� [ !!}||!!i;!||, § 19 D-6 CITY OF SANTA ANA SUMMER/FALL 2019 ROADWAY REHAB WORK Map DM: OBIIW2019 Legend: Boxed numbers above correspond to projects numbered on Summer / Fall 2019 Roadway Rehab Work table provided in Public Works Agency Monthly Project Status and CIP Report / 1 1 r July 2019. /a z Miles r� 19 —I,i�BIT 2 U` 19 D-8 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 2, 2019 TITLE: APPROVE AN APPROPRIATION ADJUSTMENT AND AWARD A CONSTRUCTION CONTRACT TO FODDRILL CONSTRUCTION CORPORATION FOR NEW LIGHTING AT SIX PARKS ESTIMATED DELIVERY COST: $724,000 (PROJECT NOS. 18-2683, 18-2684, 18-2685, 18-2686, 18-2687, 18-2689) (STRATEGIC PLAN NO. 6, 1131; 1G) ���%fiM; AFA r,or CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1B1 Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Approve an appropriation adjustment recognizing $195,476 from Residential Development District 1 prior year fund balance and appropriating the same amount into the Residential Development District 1 Acquisition & Development expenditure account. These funds will be added to the existing budget for this project. 2. Approve an appropriation adjustment recognizing $171,604 from Residential Development District 2 prior year fund balance and appropriating $90,604 into the Residential Development District 2 Acquisition & Development expenditure account and $81,000 into the Residential Development District 2 In -Lieu expenditure account. These funds will be added to the existing budget for this project. 3. Award a contract to Foddrill Construction Corporation, the lowest responsible bidder, in accordance with the base bid in the amount of $579,378, for the term beginning upon execution of the contract and ending upon project completion, for construction of the New Lighting at Six Parks Project, and authorize the City Manager and the Clerk of the Council to execute the contract, subject to non - substantive changes approved by the City Manager and the City Attorney. 4. Approve the Project Cost Analysis for a total estimated construction delivery cost of $724,000, which includes $579,378 for the construction contract, $86,906 for contract administration, inspection and testing, and a $57,716 project contingency, to be funded with District 1 and District 2 Acquisition & Development funding and District 2 in -lieu funds. The New Lighting at Six Parks Project will enhance lighting at the following park locations: Angels Park, Cabrillo Park, Cesar Chavez Park, Portola Park, Riverview Park, and Rosita Park (Exhibit 1). The existing 20A-1 Award a Construction Contract to Foddrill Construction Corporation New Lighting at Six Parks July 2, 2019 Page 2 wooden lighting poles at these parks have deteriorated with age. Replacement is required for safety, modernization, and to update existing lighting to adequate levels at these parks. The Scope of Work includes new light pole assemblies, foundations, electrical conduit, wiring, removal of deteriorated wooden light poles, and replacement with new concrete poles with energy efficient LED fixtures. Once completed, these improvements will enhance lighting levels and safety for these parks. Public Outreach and Contractor Participation To provide an opportunity for local vendors to submit bids, a Notice Inviting Bids was advertised in the Orange County Register newspaper on April 27 and May 4, 2019, and bids were received electronically via the City's web -based electronic bidding system, PlanetBids, on May 22, 2019. Through the PlanetBids online portal, vendors may register to receive notifications on all current and future City projects, as well as download contract documents, receive project updates, and submit bids electronically. A total of 577 vendors, including 31 located in the City of Santa Ana, were notified of the project via PlanetBids. 56 vendors requested bidding documents and 6 bids were received; none from Santa Ana contractors. Bid Results Summary RANK BIDDER'S NAME LOCATION BASE BID 1 Foddrill Construction Corporation Chino $579,378 2 California Professional Engineering, Inc. La Puente $670,265 3 VT Electric Inc. Ontario $757,907 4 International Line Builders, Inc. Riverside $764,840 5 M. Brey Electric, Inc. Beaumont $834,957 6 YAKAR Covina $875,750 All 6 bids received were deemed responsive. Foddrill Construction Corporation submitted the lowest responsive bid in the amount of $579,378 (Exhibit 2). Based on the bid analysis and a contractor's reference check, staff recommends awarding the construction contract to Foddrill Construction Corporation in the amount of $579,378 (Exhibit 3). 20A-2 Award a Construction Contract to Foddrill Construction Corporation New Lighting at Six Parks July 2, 2019 Page 3 Proiect Delivery To deliver a complete project, in addition to the construction contract awarded to the lowest responsible bidder, the estimated total construction delivery cost of the project includes construction administration, inspection and testing, along with an allowance for contingencies to account for unexpected or unforeseen conditions. Construction administration and inspection includes construction management; implementation of the City's Community Workforce Agreement requirements; inspection of the Contractor's work to ensure contract compliance, workmanship, and quality; and material testing. As summarized in the table below, the estimated total construction delivery cost of the project is $724,000. Construction Contract $579,378 Construction Administration, Inspection and Testing $86,906 Contingencies $57,716 ESTIMATED CONSTRUCTION DELIVERY COST $724.000 Project funds will cover all staffing costs for delivery of this capital project. No additional or separate funding will be used. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy C (invest resources and technology to extend the service life of existing infrastructure to protect the City's investment and support a high quality of life standard) and Strategy G (develop and implement the City's Capital Improvement Program in coordination with the Community Investment Plan — e.g., neighborhood streets, traffic improvements, etc.) ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review. Categorical Exemption Environmental Review No. ER-2019-43 was filed for the project. FISCAL IMPACT Approval of the requested appropriation adjustment will increase the expenditure budget in the following funds for a total of $367,080: • Residential Development District 1 fund $195,476 (account no. 31113260-66220); and • Residential Development District 2 fund $171,604 ($90,604 in account no. 31213260-66220 and $81,000 in account no. 31213261-66220). As indicated in the Cost Analysis (Exhibit 4), the estimated total construction delivery cost of the project is $724,000, which includes the construction contract, contract administration, inspection, testing, and project contingency. The following table summarizes the expenditure budget by account number and project number to deliver construction of this project: 20A-3 Award,a Construction Contract to Foddrill Construction Corporation New Lighting at Six Parks July 2, 2019 Page 4 Accounting Unit— Accounting Unit, Account No. Fiscal Year Account No. Fund Description Description Amount Project No. FY 2019-20 31113260-66220 Acquisition & A&D District 1, Improvements $140,934 July -June 18-2683 Development Fund Other Than Building FY 2019-20 31113260-66220 Acquisition & A&D District 1, Improvements $149,199 July -June 18-2684 Development Fund Other Than Building FY 2019-20 31113260-66220 Acquisition & A&D District 1, Improvements $101,773 July -June 18-2685 Development Fund Other Than Building FY 2019-20 31213260-66220 Acquisition & A&D District 2, Improvements $56,051 July -June 18-2686 Development Fund Other Than Building FY 2019-20 31213260-66220 Acquisition & A&D District 2, Improvements $98 421 Jul -June 18-2687 Develo ment Fund Other Than Building FY 2019-20 31213260-66220 Acquisition & A&D District 2, Improvements $96,622 July -June 18-2689 Development Fund . Other Than Building FY 2019-20 31213261-66220 District 2 in Lieu A&D District 2, Improvements $81,000 July -June 18-2689 Other Than Building Total 1 $724,000 All Funds are scheduled for expenditure in Fiscal Year 2019-20. 12 Fuad Sweiss, PE, PLS ExecutiAt Director Public Mrks Agency Parks, Recreation, and Community Services FSS/EWG/TC/MO Exhibits: 1. Location Map 2. Bid proposal 3. Construction Contract 4. Cost Analysis APPROVED AS TO FUNDS AND ACCOUNTS: Kathryn Downs, CPA Executive Director Finance & Management Services Agency 20A-4 JECT LOCATION ROSITA PARK PROJECT LOCATION CHAVEZ PARK PROJECT LOCATION 1 CABRLLO PARK SANTA ANAANA p■ W A ■ PROJECT TING 3 T SIX PARKS NEW LIGHTING AT SIX PARKS n.. c ic. PROJECT LOCATION RIVERVEW PARK PROJECT LOCATM PORTOLA PARK (SCALE . NTS) PAGE 1 OF 1 2OA-5 20A-6 City of Santa Ana Page t New Lighting at 6 Parks (1 B-2683 thru 18-2689), bidding on May 22, 2019 2:00 PM (Pacific) Printed t1W=019 Bid Results EXHIBIT 2 Bidder Details Vendor Name Foddrill Construction Corporation Address P.O. Box 826 Chino, CA 91708.0826 United States Respondee Oscar Sevilla Respondee Title Estimator/Project Manager Phone 909591-4095 Ext Email csevllla@foddrllfbonsbuctlon.com Vendor Type License 9 CA DIR Bid Detail Bid Format Electronic Submitted May 22, 2019 1:40:34 PM (Pacific) Delivery Method Bid Responsive Bid Status Submitted Confirmation # 179030 Ranking 0 Respondee Comment Buyer Comment Attachments File Title File Name File Type Fodddll General Forms Foddrlll_General Forms_Slgned.pdf General Forms Fodddll Ownership Affidavit Fcdddll_Ownershlp Affidavit.pdf Ownership Affidavit (Notary Public) - REQ Original Hard Copy Submittal In Addition Fodddll Bid Bond Fadddll_Bid Bcnd.pdf Bid Bond Guaranty (Notary Public) - REQ Original Hard Copy Submittal in Addition Foddrill Non Collusion Affidavit Foddrill_Non-Colluslon Affidavlt.pdf Non -Collusion Affidavit (Notary Public) - REO Original Hard Copy Submittal in Addition Line Items Type Item Code UCM City Unit Price Line Total Comment Base Bid Items 1 NEW LIGHTING AT ANGELS PARK LS 1 $38,368.37 $36,368.37 2 NEW LIGHTING AT CABRILLO PARK LS 1 $70,263.84 $70.263.64 PlanstBids, Inc. 20A-7 City of Santa Ana Page 2 New Lighting at 8 Parks (18-2683 thru 18-2689), bidding on May 22, 2019 2:00 PM (Paciflc) Printed 05/22/2019 Bid Results Type Item Code UCM aty Unit Price Line Total Comment 3 NEW LIGHTING AT CHAVEZ PARK LS 1 $72,945.62 $72.945.62 4 NEW LIGHTING AT PORTOLA PARK LS 1 $133,803.92 $133,803.92 5 NEW LIGHTING AT RIVERVIEW PARK LS 1 $110,886.75 $110,886.75 6 NEW LIGHTING AT ROSITA PARK LS 1 $104,274.27 $104,274.27 7 ADDITIONAL LIGHT POLE" FA 5 $3.316.02 $18,660.10 8 ADDITIONAL LIGHT POLE ASSEMBLY' EA 5 $2,222.58 $11,112.80 9 ADDITIONAL WIRING* LF 300 $16.10 $4,830.00 10 ADDITIONAL CONDUIT* LF 300 $15.75 $4,725.00 11 AS -BUILT DRAWINGS LS 1 $3,687.50 $3,587.50 12 LABOR AGREEMENT OVERSIGHT Ls 1 $10.000.00 $10,666.00 Subtotal $579,378.17 Asterisk Notes (Per Section 3.2 of Standard Specifications) -NOT part of Total Bid Calculation 13 ' = The quantity for this bid Item Is shown forbid comparison only. This bid Item shall not be subject to the "25%" limit as stated In Section 3-2 of the Standard Specifications. The actual amount for this Item will be dictated by the actual quantitiy used, and the Agency reserves the right to Increase or decrease the quanflty of this Item accordingly. EA 0 $16.10 0 14 t = This bid Rem is considered a Specialty Item per Section 2-3.2 of the Standard Specifications. EA 0 $15.75 0 Subtotal 0 Total $579,378.17 PlanotBids, Inc. 20A-8 CITY OF SANTA ANA PROPOSAL PROJECT NO.:18-2683 THRU 18-2689 NEW LIGHTING AT 6 PARKS BID PROPOSAL TO: CITY COUNCIL OF THE CITY OF SANTA ANA FROM: Foddrill Construction Corporation REQUIREMENT: The undersigned bidder declares that they have carefully examined the location of the proposed work, that they have examined the Contract Documents in its entirety and hereby proposes to furnish all material and do all the work required to complete the said work in accordance with said plans (if any) and the specifications for the unit price(s) or lump sum(s) set forth in the following schedule: Item Description Qty Unit Unit Price Amount 1 NEW LIGHTING AT 1 LS $ $ ANGELS PARK 36,368.37 36,368.37 2 NEW LIGHTING AT 1 LS $ $ CABRILLO PARK 70,263.84 70,263.84 3 NEW LIGHTING AT 1 LS $ $ CHAVEZ PARK 72,945.62 72,945.62 4 NEW LIGHTING AT 1 LS $ $ PORTOLA PARK 133,803.92 1 133,803.92 5 NEW LIGHTING AT 1 LS $ $ RIVERVIEW PARK 110,886.75 110,886.75 6 NEW LIGHTING AT 1 LS $ $ ROSITA PARK 104,274.27 104,274.27 7 ADDITIONAL LIGHT POLE* 5* EA $ 3,316.02 $ 16,580.02 8 ADDITIONAL LIGHT POLE 5* EA $ $ 11,112.80 ASSEMBLY* 2,222.56 9 ADDITIONAL WIRING* 300* LF $ $ 16.10 4,880.00 10 ADDITIONAL CONDUIT* 300* LF $ $ 15.75 4,725.00 11 AS -BUILT DRAWINGS 1 LS $ $ 3587.50 3587.50 12 1 LABOR AGREEMENT OVERSIGHT 1 LS $10,000 $10,000 TOTAL BASE BID $ 579,378.17 201X-9 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 18-2683 THRU 18-2689 NEW LIGHTING AT 6 PARKS TOTAL BASE BID $ 579,378.17 The lowest responsible bidder shall be selected based on the total base bid. The City reserves the right to award the Base Bid, and any, all, or none of the add-altemate bid items (if any). * The quantity for this bid item is shown for bid comparison only. This bid item shall not be subject to the "25%" limit as stated in Section 3-2 of the Standard Specifications. The actual amount for this item will be dictated by the actual quantity used, and the Agency reserves the right to increase or decrease the quantity of this item accordingly. t This bid item is considered a Specialty Item per Section 2-3.2 of the Standard Specifications. TIME FOR COMPLETION OF IMPROVEMENTS AND LIQUIDATED DAMAGES The undersigned bidder hereby proposes to complete the Work for the total base bid amount shown above, within ONE -HUNDRED TWENTY (120) working days after the commencement date stated in the Notice to Proceed. The liquidated damages amount, in lieu of the amount specified in Subsection 6-9 of the Standard Specifications, shall be $500 per calendar day. Name of Firm Signature of DI Title Owner/CEO (If an individual, so state. If a firm or co -partnership, state the firm name and give the names of all individual co-partners composing the firm. If a corporation, state legal name of corporation, and names of President, Secretary, Treasurer and Manager, thereof.) P-2 ofP-16 20A-10 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 18-2683 THRU 18-2689 NEW LIGHTING AT 6 PARKS 17 I► 9 : M_ ul_11�11 BIDDER understands and agrees that this Bid Proposal, Contract Documents and subsequent Construction Contract Agreement shall constitute the entire agreement between BIDDER and the AGENCY only after it has been accepted by the City Council, endorsed by the Clerk of the Council with her signature and official seal noting hereon the action of approval of the Council, signed by the Public Works Agency Executive Director or his/her duly authorized agent, and signed by the City Attorney, denoting his approval of the form of this document, and its execution, and when it or an exact copy of it has been either delivered to BIDDER or deposited with the United States Postal Service properly addressed to the BIDDER with the correct postage affixed thereto. BIDDER further agrees that upon delivery (as defined above) of the accepted agreement he/she will furnish AGENCY all required bonds and certificate of liability insurance within ten (10) business days or the funds, check, draft, or BIDDERS bond substituted in lieu thereof accompanying this proposal shall become the property of the AGENCY and shall be considered as payment of damages due to the delay and other causes suffered by AGENCY because of the failure to furnish the necessary bonds and because it is distinctly agreed that the proof of damages actually suffered is difficult to ascertain; otherwise said funds, check, drafts, or BIDDER'S bond substituted in lieu thereof shall be returned to the undersigned. BIDDER understands that a bid is required for the entire work, the estimated quantities set forth in the bid schedule are solely for the purpose of comparing bids, and that final compensation under the contract will be based upon the actual quantities of work satisfactorily completed. The BIDDER also certifies that the bid is a balanced bid. In accordance with Section 7028.15 of the California Business and Professions Code, the undersigned certifies under penalty of perjury that the foregoing is true and correct. Name of Firm Signature of BE Title Owner/CEO (If an individual, so state. If a firm or co -partnership, state the firm name and give the names of all individual co-partners composing the firm. If a corporation, state legal name of corporation, and names of President, Secretary, Treasurer and Manager, thereof.) P-3 ofP-16 20A-11 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 18-2683 THRU 18-2689 NEW LIGHTING AT 6 PARKS CONTRACTOR'S LICENSING AND REGISTRATION STATEMENT The undersigned contractor, or corporate officer, declares under penalty of perjury that he/she and all his/her subcontractors are registered with the State of California Department of Industrial Relations (DIR), and that the following is true and correct. Contractor's Name: Foddrill Construction Corporation Business Address: P.O. Box 826 Chino, CA 91708-0826 Business E-Mail Address: Leonora()foddrillconstruction or osevilla(a foddrillconstruction.com Telephone: (909) 5914095 State Contractor's License No. and Class: 946999, Class A and C-10 License Expiration Date: 05/31/2020 State Dept. of Industrial Relations (DIR) Registration No.: 1000025525 State Dept. of Industrial Relations (DIR) Registrat Signed: Title: Owner/CEO P-4 ofP-16 20A-12 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 18-2683 THRU 18-2689 NEW LIGHTING AT 6 PARKS PREVAILING WAGE COMPLIANCE AND MONITORING STATEMENT Contractor is aware of the requirements of California Labor Code Section 1720, et seq., as well as California Code of Regulations, Title 8, Section 16,000, et seq., ("Prevailing Wage Laws"), which require the payment of prevailing wage rates and the performance of other requirements on "public works" and "maintenance" projects. Since the services are being performed as part of an applicable "public works" or "maintenance" project, as defined by the Prevailing Wage Laws, and since the total compensation is $1,000 or more, Contractor agrees to fully comply with such Prevailing Wage Laws. City shall provide Contractor with a copy of the prevailing rates of per diem wages in effect at the commencement of this Agreement. Contractor shall make copies of the prevailing rates of per diem wages for each craft, classification or type of worker needed to execute the services available to interested parties upon request, and shall post copies at the Contractor's principal place of business and at the project site. Cohtractor shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws. The undersigned certifies that the foregoing is true and correct. Name of Firm Signature of BI] Title Owner/CEO (if an individual, so state) P-5 ofP-16 20A-13 CITY OF SANTA ANA PROPOSAL PROJECT NO.:18-2683 THRU 18-2689 NEW LIGHTING AT 6 PARKS LIST OF SUB -CONTRACTORS Section 4100 et seq. of the Public Contract Code requires listing of all subcontractors with the bid for all subcontract work exceeding the following amount: o Streets, highways including bridge projects: %m% of the bid or $10,000, whichever is greater o Buildings, parks, or other projects: '/z% of the bid Section 1725.5 of the Public Contract Code requires all Subcontractors be registered with the State Department of Industrial Relations (DIR). BIDDER proposes to subcontract certain portions of the work to the firms listed below: Name Bithell, Inc License #/Exp. C-13 225174 exp 06/10/2020 DIR Reg. #/Exp. 1000001155 exp 06/30/2021 Location Covina. CA Phone (626) 33 1 -2292 Type Of Work _Apply Vitrocem Anti -Graffiti Amount $ $8,800.00 Name V&E Tree Service License #/Exp. C-27,C61/D49 654506exp 9/30/20 DIR Reg. #/Exp. 1000001936 exp 6/30/2019 License # 654506 Location Orange, CA Phone (714)997-0903 Type Of Work Tree Pruning Service Amount $ $9,800.00 Name License #/Exp. DIR Reg. #/Exp. License # Location Phone Type Of Work Amount $ Signature of Bidder Name License #/Exp. DIR Reg. #/Exp. Location Phone Type Of Work Amount $ Name License #/Exp. DIR Reg. #/Exp. License # Location Phone Type Of Work Amount $ Name License #/Exp: DIR Reg. #/Exp. License # Location Phone Type Of Work Amount $ P-8 ofP-16 20A-14 CITY OF SANTA ANA PROPOSAL PROJECT NO.:18-2683 THRU 18-2689 NEW LIGHTING AT 6 PARKS The following are the names, addresses, and telephone numbers for THREE public agencies for which the BIDDER has performed similar work within the past three years. 1. Ameron/NOV, 1020 B Street Name and Address of Owner. Name and Telephone Number of person familiar with project. $4,000,000.00 Streetlight maintenance and replacement 11/93 to present Contract Amount Type of Work Date Completed 2. City of Santa Ana Name and Address of owner. Name and Telephone Nun $720,499.33 Contract Amount City of Palmdale Name and Address of owner. of person familiar with project. Security Lighting at 8 Parks Type of Work Arista Hennessey, (661) 267-5458 Name and Telephone Number of person familiar with project. $1,465,206.20 Contract Amount LED Conversion Type of Work July 2017 Date Completed 06/2018-Present Date Completed The following are the names, addresses, and telephone numbers of all brokers and sureties from whom BIDDER intends to procure insurance and bonds. Insurance & Surety, LLC, Agent Gabriel Hill, 4195 Chino Hills Parkway #403, Chino Hills, CA 91709 Lie. 0167797, (909) 703-9396 Cell w i� CITY OF SANTA ANA PROPOSAL PROJECT NO.:18-2683 THRU 18-2689 NEW LIGHTING AT 6 PARKS ADDITIONAL REFERENCES The following are the names, addresses, and telephone numbers for THREE public agencies for which the BIDDER or Subcontractor has performed similar work in the past five years. 1. City of Rancho Cucamonga Name and Address of Owner. Fred Lyn, (909) 774-4035 Name and $613 235.02 Contract Amount 2• City of Yorba Linda Name and Address of owner. Armando Jahr Name and Telephone Number $20,258.75 Contract Amount 3. _ City of Corona Name and Address of owner. person tamiliar with project. LED Conversion Type of Work Type of Work Name and Telephone Number of person familiar with project. $500.647.60 Contract Amount LED Conversion Type of Work 01/2019 Date Completed 11/2018 Date Completed 01/2018 Date Completed The following are the names, addresses, and telephone numbers of all brokers and sureties from whom BIDDER intends to procure insurance and bonds. Insurance & Surety, LLC, Agent Gabriel Hill, 4195 Chino Hills Parkway #403, Chino Hills, CA 91709 Lic. 0167797, (909) 703-9396 Cell CITY OF SANTA ANA PROPOSAL PROJECT NO.:18-2683 THRU 18-2689 NEW LIGHTING AT 6 PARKS NON-DISCRIMINATION CERTIFICATE The undersigned contractor or corporate officer, during the performance of this contract, certifies as follows: The Contractor shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Contractor shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2. The Contractor shall, in all solicitations or advertisements for employees placed by or on behalf of the Contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. The Contractor shall send to each labor union or representative of workers with which he/she has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the Contractor's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The Contractor shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. The Contractor shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 6. In the event of the Contractor's non-compliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the Contractor may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Execution Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law. CITY OF SANTA ANA PROPOSAL PROJECT NO.: 18-2683 THRU 18-2689 NEW LIGHTING AT 6 PARKS The Contractor shall include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the administering agency, the Contractor may request that the United States enter into such litigation to protect the interests of the United States. 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended, no discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any contractor of public works violating this Section is subject to all the penalties imposed for a violation of the hh jpter. Signed: Title: Owner/CEO Firm: Foddrill Construction Corporation Date: 05/20/2019 P-13 ofP-16 20A-18 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 18-2683 THRU 18-2689 NEW LIGHTING AT 6 PARKS STATEMENT REGARDING APPRENTICESHIP REQUIREMENTS The undersigned BIDDER is familiar with the requirements of Section 1777.5 of the State Labor Code regarding employment of apprentices, and understands that contractors on contracts exceeding $30,000 or 20 working days shall: 1. Apply to the joint apprenticeship committee administering the apprenticeship standards of the craft or trade in the area of the site of the public work for a certificate approving the contractor under the apprenticeship standards for the employment and training of apprentices in the area or industry affected. 2. Employ the number of apprentices or the ratio of apprentices to journeymen stipulated in the apprenticeship standards. 3. Contribute to the fund or funds in each craft or trade in which he/she employs journeymen or apprentices on the public work, in the same amount or upon the same basis and in the same manner as the other contractors, except contractors not signatory to the trust agreement shall pay a like uut to the Ca ' mia irenticeship Council. Signed: Title: Owner/CEO Firm: Foddrill Construction Comoration Date: 05/20/2019 P-14 ofP-16 20A-19 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 18-2683 THRU 18-2689 NEW LIGHTING AT 6 PARKS STATEMENT REGARDING "ANTI -KICKBACK" REQUIREMENTS The undersigned is submitting this proposal for performing by contract the work required by these bid documents, agrees to comply with the Copeland "Anti -Kickback" Act (18 USC 74) as supplemented in the Department of Labor regulations (29 CFR, Part 3). This act provides that each contractor or subcontractor shall be prohibited from inducing, by any means, any person employed in the construction or repair of public work, to give up any part of the compensation to which he/she is 3ise entitled. `'��j Signed: Title: Owner/CEO Firm: Foddrill Construction Corporation Date: 05/20/2019 P-15 ofP-16 20A-20 CITY OF SANTA ANA PROPOSAL PROJECT NO.:18-2683 THRU 18-2689 NEW LIGHTING AT 6 PARKS PUBLIC CONTRACT CODE SECTION 10162 OUESTIONNAIRE In conformance with Public Contract Code Section 10162, the BIDDER shall complete, under penalty of perjury, the following questionnaire: Has the BIDDER, any officer of the BIDDER, or any employee of the BIDDER who has a proprietary interest in the BIDDER ever been disqualified, removed, or otherwise prevented from bidding on, or completing a federal, state, or local government project because of a violation of law or a safety regulation? Yes No X If the answer is yes, explain the circumstances in the following space. 2��P21 WORKERS' COMPENSATION INSURANCE CERTIFICATION As required by California Labor Code Section 1860 and 1861, the Contractor certifies as follows: I am aware of the provisions of Section J700 of the Labor Code, which requires every employer to be insured against liability for worker's compensation or to undertake self-insurance in accordance with the provisions of the Code, and I will comply with such provisions before commencing the performance of the work of this c t tract. Signed: Title: Owner/CEO Firm: Foddrill Construction Corporation Date: 05/20/2019 20A-22 CITY OF SANTA ANA EXHIBIT 3 CONSTRUCTION CONTRACT PROJECT 18-2683, 18-2684, 18-2685, 18-2686, 18-2687, AND 18-2689 NEW LIGHTING AT SIX PARKS PROJECT This CONSTRUCTION CONTRACT is made and entered into this 2nd day of July, 2019 by and between the City of Santa Ana, California, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "CITY"), and Foddrill Construction Corporation (hereinafter "CONTRACTOR'). WITNESSETH: The CITY and the CONTRACTOR, for the consideration hereinafter named, mutually agree as follows: 1. CONTRACTOR agrees to perform all the work and furnish all the materials at its own cost and expense necessary to construct and complete in a good and workmanlike manner and to the satisfaction of the City Engineer of the CITY, the New Lighting at Six Parks Project (hereinafter referred to as the "WORK OF IMPROVEMENT") identified in and in accordance with the Contract Documents prepared by the City's Public Works Agency and approved by the City Council. 2. The complete Construction Contract consists of the "Contract Documents" as defined by the Standard Specifications for Public Works Construction and which include the following: • Notice Inviting Bids • Information to Bidders • Bid Proposal • Bid Bond • Contract Form • Contract Bonds • General Provisions • Special Provisions • Technical Provisions and Project Plans • Community Workforce Agreement • Appendices In case of conflict between the Contract Documents, the precedence of documents shall be as established in the Standard Specifications for Public Works Construction. 3. CITY agrees to pay and CONTRACTOR agrees to accept in full payment to complete the WORK OF IMPROVEMENT the sum total amount not to exceed Five Hundred Seventy -Nine Thousand Three Hundred Seventy -Eight Dollars and Seventeen Cents ($57%378:17), as set forth and identified in the BID PROPOSAL, which is attached hereto and incorporated herein as Exhibit "A." The BID PROPOSAL contains a schedule of unit price(s) or lump sum(s) based on approximate quantities only, and the City does not expressly or by implication agree that the actual amount of work will correspond therewith, but reserves the right to increase or decrease the amount of any class or portion of the work or to omit portions of the work as may be deemed necessary or advisable. rev. 09/01/2017 20 A -23 Page 1 of 4. CONTRACTOR agrees to complete the WORK OF IMPROVEMENT within the time specified in the Time for Completion of Improvements section of the BID PROPOSAL (Exhibit "A") including commencing construction within the timeftame therein specified after issuance of a Notice to Proceed. 5. The CONTRACTOR will pay, and will require all subcontractors to pay, all employees on the WORK OF IMPROVEMENT a salary or wage at least equal to the prevailing salary or wage established for such work as set forth in the wage determinations for this work in accordance with applicable State and Federal law. 6. If applicable, the CONTRACTOR shall adhere to the CITY'S Community Workforce Agreement (CWA), a pre -hire collective bargaining agreement, which establishes the labor relations policies and procedures for CONTRACTOR to follow in the crafts persons employed to complete the WORK OF IMPROVEMENT as more fully described in the CWA. The CWA may be found on the City's website at: hqp://www.santa-ana.org/pwa/documents/CWA.pdf CONTRACTOR shall, after award of this Contract, furnish two bonds to be approved by the CITY, one in the amount of One Hundred Percent (100%) of the Contract price, to guarantee the faithful performance of the work (Performance Bond), and one in the amount of One Hundred Percent (100%) of the Contract price to guarantee payment of all claims for labor and materials furnished (Payment Bond). This Contract shall not become effective until such bonds are supplied to and approved by the CITY. 8. CONTRACTOR shall, prior to the release of the performance and payment bonds or the retention payment, furnish a warranty performance and payment bond (Warranty Bond). Said Warranty Bond shall also be required as a condition of project acceptance. For projects up to Five Hundred Thousand Dollars ($500,000), the Warranty Bond amount shall be the greater of Ten Thousand Dollars ($10,000) or Twenty Percent (20%) of the final contract price. For projects above Five Hundred Thousand Dollars ($500,000), the Warranty Bond amount shall be the greater of One Hundred Thousand Dollars ($100,000) or Ten Percent (10%) of the final contract price. 9. CONTRACTOR shall, after award of this Contract, famish Certificates of Liability Insurance and Worker's Compensation Insurance as outlined in the General Provisions, to be approved by the CITY. // 20 A -24 Page 2 of 3 IN WITNESS WHEREOF, the parties hereto have executed this Construction Contract on the day and year first above written. ATTEST: NORMA MITRE-RAMIREZ Acting Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By:. �� J FUNK Assistant City Attorney RECOMMENDED FOR APPROVAL: FUAD SWEISS, PE, PLS Executive Director Public Works Agency CITY OF SANTA ANA KRISTINE RIDGE City Manager CONTRACTOR: Foddrill Construction Corporation NAME: TITLE: 20A-25 Page 3 of 3 20A-26 COST ANALYSIS CONSTRUCTION OF PROJECT NO. 1�Z683--THRU,18=2689: NEW LIGHTING AT SIX PARKS ' Construction Contract $ - `579,378.00 Contract Administration, Inspection and Testing $ -86,906.00_ Contingencies $ 57,716.00 TOTAL ESTIMATED CONSTRUCTION COSTS $ 724;000.00- 1Wl:ll iffil 20A-27 20A-28 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 2, 2019 TITLE: AUTHORIZE THE SUBSEQUENT LOCAL AREA DESIGNATION AND RECERTIFY LOCAL WORKFORCE DEVELOPMENT BOARD UNDER THE WORKFORCE INNOVATION AND OPPORTUNITY ACT FOR TWO YEAR PERIOD - JULY 2019 TO JUNE 2021 (STRATEGIC PLAN NO. 2,4) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1$ Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the Mayor and City Clerk to sign the application for Subsequent Local Area Designation and Local Board Recertification for a two-year period from July 1, 2019 to June 30, 2021. WORKFORCE DEVELOPMENT BOARD ACTION At its regular meeting on May 16, 2019, by a vote of 13:0 (Alegre, Baetz, Korthuis, Smith absent), the Workforce Development Board approved the recommended action. DISCUSSION The California Employment Development Department (EDD), released Directive WSD 18-14 outlining procedures regarding subsequent designation of Local Workforce Development Areas (Local Areas) and recertification of Local Workforce Development Board's under the Workforce Innovation and Opportunity Act (WIOA). WIOA Section 106 required Local Areas to apply for initial designation and the Governor to approve requests for Local Areas that had performed successfully and had sustained fiscal integrity. After the period that a Local Area was initially designated, WIOA Section 106 calls for a subsequent designation process and requires the Governor to approve a request for any subsequent designation from a Local Area, if the area performed successfully, sustained fiscal integrity, and engaged in the regional planning process as described in Section 106 (c)(1). WIOA Section 107 provides criteria for the recertification of Local Boards. Specifically, it requires the Governor to certify one Local Board for each Local Area in the state once every two years. It 21 A-1 Designation And Recertification Of Local WDB Under WIOA For a Two -Year Period July 2, 2019 Page 2 states that, in order to W recertified, the Local Board must have met WIOA membership requirements, met or exceeded performance accountability measures, and achieved sustained fiscal integrity. The City received initial designation as a Local Area and certification of its Workforce Development Board by the California Workforce Development Board (State Board) in July 2016. Since then, the City and its Workforce Development Board has fulfilled these requirements and are eligible to submit an application for Subsequent Local Area Designation and Local Board Recertification (Exhibit 1) under WIOA. Acting under the authority of the Governor, the process for subsequent designation and recertification of Local Boards under WIOA is overseen by the State Board and will be effective from July 1, 2019, through June 30, 2021 ensuring the continuation of WIOA funding and services to Santa Ana residents and businesses. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's effort to meet Goal #2 - Youth, Education, Recreation, Objective #4 (Partner with groups and organization to promote education, senior services, job training and development for all Santa Ana residents). FISCAL IMPACT There is no fiscal impact associated with this action. -:fs- Steven A. Mendoza Executive Director Community Development Agency Exhibit: 1. Application for Subsequent Local Area Designation and Local Board Recertification for Program Year 2019-21 21 A-2 EXHIBIT 1 Existing Local Area Application for Subsequent Local Area Designation and Local Board Recertification Program Year 2019-21 Local Workforce Development Area SANTA ANA Page 1 of 9 21 A-3 EXHIBIT 1 Existing Local Area Application for Subsequent Local Area Designation and Local Board Recertification This application will serve as your request for Local Workforce Development Area (Local Area) subsequent designation and Local Workforce Development Board (Local Board) recertification for Program Year (PY) 2019-21 under the Workforce Innovation and Opportunity Act (WIOA). If the California Workforce Development Board (CWDB) determines the application is incomplete, it will either be returned or held until the necessary documentation is submitted. Please contact your Regional Advisor for technical assistance or questions related to completing and submitting this application. Santa Ana Name of Local Area 801 W. Civic Center Drive, Suite 200 Mailing Address Santa Ana, CA 92706 City, State ZIP May 30, 2019 Date of Submission Deborah Sanchez Contact Person 714-565-2621 Contact Person's Phone Number Page 2 of 9 21 A-4 EXHIBIT 1 Local Board Membership The WIOA Section 107(b)(2)(A) through (E) states the requirements for nominating and selecting members in each membership category. The WIOA Section 107(b)(2)(A) requires that business members constitute a majority of the Local Board. The chairperson shall be a business representative, per WIOA Section 107(b)(3). The Local Chief Elected Official (CEO) is required to provide the names of the individuals appointed for each category listed on the following pages, and attach a roster of the current Local Board which identifies each member's respective membership category. Business — A majority of the members must be representatives of business in the Local Area who (1) are owners of businesses, chief executives or operating officers of businesses, or other business executives or employers with optimum policy -making or hiring authority; (li) represent businesses, including small businesses, or organizations; and (III) are appointed from among individuals nominated by local business organizations and business trade association (WIOA Section 107[b][2][A]). Please identify the Local Board chairperson by typing CHAIR after his/her name. Name. Title _: Entity Appointment '. ` Term End: :- W.Dafe Date .. Stacey Sanchez Senior Community CDC Small Business 8/21/2018 5/31/2022 CHAIR Loan officer Finance David Elliott President & CEO Santa Ana Chamber 5/17/2016 5/31/2020 VICE CHAIR of Commerce Greg Lewis Partner LSL CPA's and 5/17/2016 5/31/2020 Advisors Barbara Smith* General Holiday Inn Orange 5/17/2016 5/31/2019 Manager County Airport Andy Wadhera President CalTrend 8/21/2018 5/31/2022 Automotive Marjorie President/CEO The Moote Group 5/17/2016 5/31/2020 Knitter Patrick Owner Sir Speedy Printing 5/17/2016 5/31/2020 Korthuis Darren General Guarantee Chevrolet 5/17/2016 5/31/2020 Rutledge Manager Vacant* 8/21/2018 5/31/2022 Vacant* 8/21/2018 5/31/2022 Vacant* 8/21/2018 5/31/2022 Vacant* 5/17/2016 5/31/2020 Page 3 of 9 21 A-5 EXHIBIT 1 Vacant* 8/21/2018 5/31/2022 "Note: Working with Chamber of Commerce to forward nominations to the WDB to replace business members who have had to resigned due to relocation, work commitments or changes in employment. Anticipate nominations to go before City Council at a July 2019 meeting. Labor— Not less than 20 percent of the members must be representatives of workforce within the Local Area who must include: (i) representatives of labor organizations who have been nominated by state labor federations; (ii) a member of a labor organization or a training director from a joint labor-management apprenticeship program, or if no such joint program exists in the area, such a representative of an apprenticeship program in the area; and may Include: (ill) representatives of community based organizations with demonstrated experience and expertise in addressing the employment needs of individuals with barriers to employment, veterans, or individuals with disabilities; and (iv) representatives of organizations with demonstrated experience and expertise in addressing the employment, training, or education needs of eligible youth and/or out -of -school youth (WIOA Section 107[b][2][B]). California Unemployment Insurance Code (CUIC) Section 14202(b) further requires and specifies that at least 15 percent of Local Board members shall be representatives of labor organizations unless the local labor federation fails to nominate enough members. For a local area in which no employees are represented by such organizations, other representatives of employees shall be appointed to the board but any local board that appoints representatives of employees that are not nominated by local labor federations shall demonstrate that no employees are represented by such organizations in the local area. Name Tit[e ';: Enti ty Appointment -:; . Term,- nd Date Date, .,..: 1. Brent Business Manager Roofers and Water 8/21/2018 , 5/31/2022 Beasley proofers Local 220 2. Robert Ruiz Secretary Laborers Local 652 8/21/2018 5/31/2022 3. Bob Tucker Labor Relations CA School Employ 5/21/2019 5/31/2023 Representative Association 4. Priscilla Organizer UFCW Local 324 4/4/2017 5/31/2020 Luviano 5. Vacant CBO Education — Each Local Board shall include representatives of entities administering education and training activities in the Local Area who must include (i) a representative of eligible providers administering WIOA Title II adult education and literacy activities; (ill a representative of institutions of higher education providing workforce investment activities; and may include (iii) representatives of local educational agencies, and community -based organizations with Page 4 of 9 21 A-6 EXHIBIT 1 demonstrated experience and expertise in addressing the education or training needs of individuals with barriers to employment (WIOASection 107[b][2][C]). Name Title _ Entity . ppoihtment Term.End . Date Date 1. Dr. Linda President Santa Ana College 5/17/2016 5/31/2020 Rose Title 11 Adult Ed 2. Enrique Vice Chancellor Rancho Santiago 5/17/2016 5/31/2019* Perez, JD of Educational Community College - Reappointment Services Higher Education scheduled to go before City Council July '19 Economic and Community Development— Each Local Board shall include representatives of governmental, economic, and community development entities serving the Local Area who must include (1).a representative of economic and community development entities; (11) a representative from the state employment service office under the Wagner-Peyser Act; (iii) a representative of the Vocational Rehabilitation program; and may Include (iv) representatives of agencies or entitles administering programs serving the Local Area relating to transportation, housing, and public assistance; (v) Representatives of philanthropic organizations serving the Local Area; and (E) individuals or representatives of entities as the local CEO in the Local Area may determine to be aoorooriate (WIOA Sertion 1ri7rhir9irr)i and mn Name:. Title: Eritit Y Appointment..; Date Term End Date 1. Dennis Varnum Employment Program Manager III EDD May 31, 2019 May 31, 2023 2. Ignacio Alegre Rehabilitation Supervisor DOR May 21, 2019 May 31, 2023 3. Christine Snapper Division Director Famself sufflciily ency Social Services Agency May 21, 2019 May 31, 2023 4. Dave Elliott President & CEO Santa Ana Chamber 5/17/2016 5/31/2020 Page 5 of 9 21 A-7 EXHIBIT 1 Sustained Fiscal Integrity The Local Area hereby certifies that it has not been found in violation of one or more of the following during PY 16-17 or PY 17-18: Final determination of significant findings) from audits, evaluations, or other reviews conducted by state or local governmental agencies or the Department of Labor Identifying Issues of fiscal integrity or miss expended funds due to the willful disregard or failure to comply with any WIOA requirement, such as failure to grant priority of service or verify participant eligibility; or • Gross negligence — defined as a conscious and voluntary disregard of the need to use reasonable care, which is likely to cause foreseeable grave injury or harm to persons, property, or both; or • Failure to observe accepted standards of administration —Local areas must have ,adhered to the applicable uniform administrative requirements set forth in Title 2 Code of Federal Regulations (CFR) Part 200, WIOA regulations, and state guidance (In alignment with WIOA Section 106[e][21). Performed Successfully The Local Area hereby certifies that it has performed successfully, defined as successfully negotiating PY 18-19 and PY 19-20 performance goals within their designated Regional Planning Unit in the following ways: • Staff from the Santa Ana WDB participated in the joint conference call with CWDB, Anaheim and County WDB staff to negotiate the Orange RPU regional performance measures. Engaged in Regional Planning The Local Area herby certifies that it has participated in and contributed to regional planning and negotiating regional performance measures in the following ways: • Coordinated and participate in the quarterly OC Workforce Leadership Council meetings, mandated partners that were added due to the State revisions to the State Plan, • Shared responsibility for drafting the Revised Regional and Local Plan. • Coordinated and co -hosted the Joint Community Public Hearing meeting. • Participate in the Regional Industry Sector initiative meetings (Mfg., Medical, Hospitality/Tourism/Retail, and IT sectors). Page 6 of 9 21 A-8 EXHIBIT 1 Participated in the joint conference call with CWDB, Anaheim and County WDB staff to negotiate the Orange RPU regional performance measures. Local Area Assurances Through PY 19-21, the Local Area assures that: A. It will comply with the applicable uniform administrative requirements, cost principles, and audit requirements (WIOA Section 184[a][2] and [3]). Highlights of this assurance include: The Local Area's procurement procedures will avoid acquisition of unnecessary or duplicative items, software, and subscriptions (in alignment with Title 2 CFR Section 200.318). The Local Area will maintain and provide accounting and program records, including supporting source documentation, to auditors at all levels, as permitted by law (Title 2 CFR Section 200.508). Note that failure to comply with the audit requirements specified in Title 2 CFR Part 200 Subpart F will subject the Local Area to potential cash hold (Title 2 CFR Section 200.338). B. All financial reporting will be done in compliance with federal and State regulations and guidance. Highlights of this assurance include: Reporting will be done in compliance with Workforce Services Directive WSD16- 13, Monthly and Quarterly Financial Reporting Requirements, (November 28, 2016). All close out reports will comply with the policies and procedures listed in WSD16-05, WJOA Closeout Requirements (July 29, 2016). Note that failure to comply with financial reporting requirements will subject the Local Area to potential cash hold. (Title 2 CFR Section 200.338) C. Funds will be spent in accordance with federal and state laws, regulations, and guidance. Highlights of this assurance Include: Page 7 of 9 21 A-9 EXHIBIT 1 • The Local Area will meet the requirements of the California Unemployment Insurance Code Section 14211, to spend a minimum of 30 percent of combined total of WIOA Title I adult and dislocated worker formula fund allocations on training services. • The Local Area will not use funds to assist, promote, or deter union organizing (WIOA Section 181[b][7]). D. The Local Board will select the America's Job Center of California" operator(s), with the agreement of the local CEO, through a competitive process such as a Request for Proposal, unless granted a waiver by the state (WIOA Section 121[d][2][A] and 107[g][2]). E. The Local Board will collect, enter, and maintain data related to participant enrollment, activities, and performance necessary to meet all CaIJOBSsM reporting requirements and deadlines. F. The Local Board will comply with the nondiscrimination provisions of WIOA Section 188, Including the collection of necessary data. G. The Local Area will engage in and contribute to, regional planning and regional plan implementation (for example, Local Area has participated in regional planning meetings and regional plan implementation efforts, and the Local Board and local CEO have reviewed and approved the regional plan and modifications). H. The Local Area will participate in regional performance negotiations. I. It will comply with CWDB policies and guidelines, legislative mandates and/or other special provisions as maybe required under federal law or policy, including the WIOA or state legislation. J. Priority shall be given to veterans, recipients of public assistance, other low-income individuals, and Individuals who are basic skills deficient for receipt of career and training services funded by WIOA Adult funding (WIOA Section 134[c][3][E] and Training and Employment Guidance Letter [TEGL] 10-09, and TEGL 19-16). Page 8 of 9 21A-10 EXHIBIT 1 Application Signature Page Instructions —The local CEO and Local Board chair must sign and date this form. Include the original signatures in the application package. By signing the application below, the local CEO and Local Board chair request initial designation of the existing Local Area and Initial certification of the existing Local Board. They certify that the Local Area has performed successfully, sustained fiscal integrity during PY 16-2017 or PY 17- 18, and engaged in the regional planning process as described in WIOA Section 106(c)(1). Additionally, they agree to abide by the Local Area assurances Included in this application. Stacey Sanchez Name Chair, Santa Ana Workforce Development Board Title May 30, 2019 Date Page 9 of 9 Local Chief Elected Official Signature Miguel A. Pulido .Name Mayor, City of Santa Ana Title Date 21A-11 21A-12 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 2, 2019 TITLE: AWARD A PURCHASE ORDER IN THE AMOUNT OF $86,400 TO UNITED INTERIORS FOR OFFICE WORKSTATION FURNITURE AND INSTALLATION (SPECIFICATION NO. 19-044) (STRATEGIC PLAN NO. 7,5) CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO 4_4, FILE NUMBER CITY MANAGER RECOMMENDED ACTION Authorize a one-time purchase and payment of purchase order to United Interiors for office workstation furniture and installation services in the amount of $66,400, plus a contingency of $20,000, for a total amount not to exceed $86,400 in the Water Meter Services fund, subject to non -substantive changes approved by the City Manager and City Attorney. The Public Works Agency Water Resources has begun implementation of a reorganization plan. As of FY 2018-19, the Water Quality Section hired three full-time staff to focus on compliance with regulations and monitoring schedules established by the California Department of Public Health. Additionally, staff has been allocated to concentrate on lead sampling in public K-12 schools in the City's service area, expand the cross -connection program, and promote water use efficiency through community outreach. As a result of the reorganization and new staff, the Water Resources Division has a need to provide adequate office and workspace areas. The plans include reconfiguring the existing City Yard Public Works Meter Shop (Room #140), which involves redesigning approximately 1,725 square feet to accommodate 8 new cubicle workstations, meeting space, a meter testing area, and storage space. The proposed furniture is consistent in the manufacturer, style, and configuration of existing City Yard workspaces. Santa Ana Ordinance No. NS-2312 authorizes the City to purchase against contracts from any public agency utilizing a competitive bid process. United Interiors is an authorized Kimball Office Furniture Dealer offering the National Intergovernmental Purchasing Alliance (National IPA) cooperative contract for workstation furniture. The National IPA contract was awarded as a result of open, competitive bidding, and meets the City's requirements. 22A-1 Award a Purchase Order for Office Workstation Furniture and Installation July 2, 2019 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #7 - Team Santa Ana, Objective #1 (establish a culture of customer service and community engagement as the organization's primary focus) and Objective #5 (create a culture of innovation and efficiency within the organization). FISCAL IMPACT Funds in the amount of $86,400 are budgeted for in the FY 2019-20 in the Public Works Water Meter Services account (No. 06017646-63001) as follows: Fiscal Accounting Unit Fund Accounting Unit, Account Amount Year — Account # Description Description FY 19-20 06017646-63001 Water Water Meter Services — $86,400 Fund Miscellaneous Operating Expenses TOTAL AMOUNT: $86,400 APPROVED AS TO FUNDS AND ACCOUNTS: Fuad S. weiss, PE, PLS Kath'ryn Down , CPA Executiv Director a-i Executive Director Public W ks Agency Finance and Management Services Agency FSS/NS/EG/KR 22A-2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 2, 2019 TITLE: APPROVE A CONTRACT AMENDMENT WITH COMMERCIAL CLEANING SYSTEMS FOR JANITORIAL SERVICES AT VARIOUS CITY FACILITIES IN THE AMOUNT OF $236,000 (SPECIFICATION NO. 14-021) (STRATEGIC PLAN NO. 6, 1, C) CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO s FILE NUMBER CITY M NAGER RECOMMENDED ACTION Amend the contract with Commercial Cleaning Systems for janitorial services in the amount of $236,000, for a new total annual amount not to exceed $973,074, and extend the term by four months for a new contract expiration date of October 31, 2019, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION Facility management recently transitioned from the Finance and Management Services Agency to the Public Works Agency. Public Works Agency oversees City facilities in order to maintain clean, safe, and properly functioning buildings. Janitorial services for City Hall, Ross Annex, Santa Ana Regional Transportation Center, Corporation Yard, Santa Ana Main Library, Newhope and McFadden Learning Centers, and six recreation centers are provided by a combination of City staff and a janitorial service contract. On June 17, 2014, the City Council approved the execution of a three-year agreement with Commercial Cleaning Systems with two one-year renewal options to provide janitorial services at the City facilities referenced above. The term of the agreement commenced on July 1, 2014, and will expire on June 30, 2019. To ensure the continued services, staff recommends extending the current agreement terms on a month -to -month basis while staff evaluates the level of service needed and to allow for a new Request for Proposals (RFP) to be issued. Staff anticipates releasing an RFP for janitorial services in the next thirty days. 22B-1 Contract Amendment for July 2, 2019 Page 2 Janitorial Services at Various City Facilities STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 - Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy C (invest resources and technology to extend the service life of existing infrastructure to protect the City's investment and support a high quality of life standard). FISCAL IMPACT Funds in the amount not to exceed $236,000 are in the proposed budget for FY 2019-20 as follows: Fiscal Year Accounting Unit- Fund Description Accounting Unit, Amount Account Number Account Description FYI 9-20 07317101-62310 Public Works Janitorial and $179,556 Agency Housekeeping FYI 9-20 06717650-62300 Public Works — Contractual Services $49,424 SARTC Operations FYI 9-20 01111150-62300 Parks, Recreation Contractual Services $7,020 and Community Services TOTAL $236, 000 Fuad S. Sweiss, PLl, PLS Executive Director Public Works Agency Parks, Recreation and Community Services Agency GUEG APPROVED AS TO FUNDS AND ACCOUNTS: d'�'`}� Kathryn Downs, CPA Executive Director Finance and Management Services Agency 22B-2 REQUEST FOR COUNCIL ACTION [d YMLd•1111L [4314J)14:111 111I. [Cl J-y" JULY 2, 2019 TITLE: AWARD A THREE-YEAR BLANKET ORDER CONTRACT TO SMART & FINAL STORES LLC FOR SUNDRY FOOD AND PAPER GOODS IN THE AMOUNT OF $45,000 ANNUALLY (SPECIFICATION NO. 19-046) (STRATEGIC PLAN NO. 2, 2; 5,4) CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 15'Reading ❑ Ordinance on 2"dReading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER CITY MANAGER RECOMMENDED ACTION Award a blanket order contract to Smart & Final Stores LLC for sundry food and paper goods for a three-year period expiring June 1, 2022, with provisions for two one-year renewals exercisable by the City Manager, in an annual amount of $45,000, for a total amount not to exceed $225,000 if renewal options are exercised, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION Various City agencies purchase snacks, refreshments, and other various food -related items to provide to participants during City -sponsored events. In addition, a variety of supplies and food items are provided at community events including but not limited to: presentations, workshops, meetings, trainings, programs, and grand openings. These items are generally needed in an expeditious manner. This is a partial list of activities by City agency that will utilize the proposed Smart & Final contract: Agency Activity Community Development Agency Community Redevelopment Housing Commission meetings, Arts & Culture Commission meetings and Workforce Development Board meetings Parks, Recreation & Community Services Agency Summer Camp, After School Adventures, Project PRIDE and Senior Social Activities Planning & Building Agency Com-Link meetings Police Department Parentlreen Academy and Santa Ana Police Athletic & Activity League Public Works Agency Water Conservation Youth Poster Contest and consultant -led staff trainings Santa Ana Library Teen Space and Summer Reading Program 22C-1 Contract Award to Smart & Final for Sundry Food and Paper Products July 2, 2019 Page 2 Smart & Final is a local Santa Ana vendor offering the convenience of a charge account, to obtain supplies in bulk. As a result of its close proximity, it is an efficient way for the City to obtain a variety of supplies for City events and programs at a reduced cost. As such, staff recommends approval of this blanket order contract. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #2 Youth, Education, Recreation, Objective #2 (expand youth programming) and Goal #5 Community Health, Livability, Engagement & Sustainability, Objective #4 (support neighborhood vitality and livability). FISCAL IMPACT Funds for the duration of the contract period, an amount not to exceed $45,000 annually, will be included in various departmental Miscellaneous Operating Expense account (no. 63001). APPROVED: Kathryn Downs, CPA Executive Director 0" Finance and Management Services Agency 22Ci-2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 2, 2019 TITLE: AWARD A CONSTRUCTION CONTRACT TO ALL AMERICAN ASPHALT IN THE AMOUNT OF $1,716,649 FOR THE LOCAL STREET PREVENTATIVE MAINTENANCE FY 2018-19 PROJECT ESTIMATED DELIVERY COST: $1,900,000 (PROJECT NO. 19-6942) (STRATEGIC PLAN NO. 6, 1B; 1C; 1G) CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on V Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER CITY MAIVAGER RECOMMENDED ACTION Award a construction contract to All American Asphalt, the lowest responsible bidder, in accordance with the base bid in the amount of $1,716,649, for construction of the Local Street Preventative Maintenance FY 2018-19 Project, for the term beginning upon execution of the contract and ending upon project completion, and authorize the City Manager and the Clerk of the Council to execute the contract subject to non -substantive changes approved by the City Manager and the City Attorney. 2. Approve the Project Cost Analysis for a total estimated construction delivery cost of $1,900,000, which includes $1,716,649 for the construction contract, $115,351 for contract administration, inspection and testing, and a $68,000 project contingency (approximately 4% of the construction contract amount), paid with Measure M2 Local Fairshare funding. DISCUSSION The City's Pavement Management Program has been developed to identify the preventive maintenance requirements for the City's street network. The local street segments recommended for the Fiscal Year 2018-19 Local Street Preventative Maintenance Capital Improvement Project have been identified as high priorities for slurry seal (Exhibit 1). The recommended work consists of preparing the roadway by performing minor pavement repairs, including localized replacement of asphalt concrete pavement, followed by slurry seal resurfacing, crack seal, striping, and signage. The improvements also include replacement of damaged concrete curbs, gutters, sidewalks, and curb ramps. Once completed, these improvements will improve the City's overall pavement condition, enhance the visual appearance of the street, upgrade ride quality, and further comply with Americans with Disability Act standards. Public Outreach and Contractor Participation To provide an opportunity for local vendors to submit bids, a Notice Inviting Bids was advertised in the Orange County Register newspaper on May 8 and 15, 2019, and bids were received electronically via the City's web -based electronic bidding system, PlanetBids, on May 29, 2019. Through the PlanetBids online 23A-1 Award Construction Contract to All American Asphalt Local Street Preventative Maintenance FY 2018/19 Project July 2, 2019 Page 2 portal, vendors may register to receive notifications on all current and future City projects, as well as download contract documents, receive project updates and submit bids electronically. A total of 451 vendors, including 27 located in the City of Santa Ana, were notified of the project via PlanetBids. 25 vendors requested bidding documents and 4 bids were received, including 1 from a Santa Ana contractor. Bid Results Summary RANK BIDDER'S NAME LOCATION BASE BID 1 All American Asphalt Corona $1,716,649 2 Hardy & Harper, Inc. Santa Ana $1,810,000 3 R.J. Noble Company Orange $1,942,225 4 Excel Paving Co Long Beach $1,995,985 All 4 bids received were deemed responsive. All American Asphalt submitted the lowest responsive bid in the amount of $1,716,649 (Exhibit 2). Based on the bid analysis and a contractor's reference check, staff recommends awarding the construction contract to All American Asphalt in the amount bid (Exhibit 3). Project Delivery To deliver a complete project, in addition to the construction contract awarded to the lowest responsible bidder, the estimated total construction delivery cost of the project includes construction administration, inspection, and testing, along with an allowance for contingencies to account for unexpected or unforeseen conditions. Construction administration and inspection includes construction management; implementation of the City's Community Workforce Agreement requirements; inspection of the Contractor's work to ensure contract compliance, workmanship, and quality; and material testing. As indicated in the Cost Analysis (Exhibit 4) and as summarized in the table below, the estimated total construction delivery cost of the project is $1,900,000. Construction Contract $1,716,649 Construction Administration, Inspection, and Testing $115,351 Contingencies $68,000 ESTIMATED CONSTRUCTION DELIVERY COST $1,900,000 Project funds will cover all staffing costs for delivery of this capital project. No additional or separate funding to be used. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 — Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy B (equitably maintain existing streets and associated assets in a state of good repair so they are clean, safe, and aesthetically pleasing for all users); Strategy C (invest resources and technology to extend the service life of existing infrastructure to protect the City's investment and support a high quality of life standard); 23A-2 Award Construction Contract to All American Asphalt Local Street Preventative Maintenance FY 2018/19 Project July 2, 2019 Page 3 and Strategy G (develop and implement the City's Capital Improvement Program in coordination with the Community Investment Plan). ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review. Categorical Exemption Environmental Review No. ER-2018-105 was filed for the project. FISCAL IMPACT As indicated in the Cost Analysis (Exhibit 4), the estimated total construction delivery cost of the project is $1,900,000, which includes the construction contract, contract administration, inspection, testing, and project contingency. The following table summarizes the funds budgeted to deliver construction of this project: Accounting Unit - Accounting Unit - Fiscal Year Account No. Fund Description Account No. Amount Project No. Description Measure M2 Local FY 2019-20 03217662-66220 Measure M-Street Fairshare; July -June (19-6942) Construction Fund Improvement Other $1,900,000 Than Buildin Total $1,900,000 All Funds are scheduled for expenditure in Fiscal Year 2019-20, and have been included in the FY 19-20 budget. APPROVED AS TO FUNDS & ACCOUNTS: Fuad S. S eiss, PE, PLS Kathryn Downs, Executive irector Executive Director Public Wor s Agency Finance and Management Services Agency Exhibits: 1. Location Map 2. Bid 3. Construction Contract 4. Cost Analysis 23A-3 23A-4 MR ENTATV "NTE CE NEIGHBORHOODS: / / 21-ARTESIA PILAR 4- EW 46 -NNEW LARVA HORIZONS / C 57-CASA BONITA 92-NON-NEIGHBORHOOD 41 / / 4 INTSI EDINGER AVE SANTA ANA PROJECT 19-6942 P WA Exhibit 1 LOCAL STRET PREVENTATIVE MAINTENANCE FY 2018/19 23A-5 23A-6 City of Santa Ana Pago 1 Local Street Preventative Maintenance FY 2018-19 (196942), bidding on May 29, 2019 2:00 PM (Pacific) Printed 05/29/2019 EXHIBIT 2 Bid Results Bidder Details Vendor Name All American Asphalt Address 400 E. Sbtth Street Corona, CA 92878 United States Respondve Maurice Ramirez Respondee Title Project Manager Phone 951-736-7500 Ext. 242 Email mramlrez@allamedcanasphaltoom Vendor Type CADIR License 9 267073 CA DIR Bid Detail Bid Format Electronic Submitted May 29, 2019 1:36:34 PM (Pacific) Delivery Method Bid Responsive Bid Status Submitted Confirmation g 179993 Ranking 0 Respondee Comment Buyer Comment Attachments File Title File Name File Type Proposal General Farms Online Santa Ana Proposal.pdf General Forms Ownership Affldavh Online Santa Ana Ownership AffidaAtpdf Ownership Affidavit (Notary Public) - REQ Original Hard Copy Submittal In Addition Bid Bond Online Santa Ana Bond.pdf Bid Bond Guaranty (Notary Public) - REQ Original Hard Copy Submittal In Addition Non-Cdluslon Online Santa Ana Non-Cdluslon.pdf Non -Collusion Affidavit (Notary Public) - REQ Original Hard Copy Submittal fn Addition Line Items Type Item Code UOM oty Unh Price Llne Total Comment Base Bid Items 1 Undasslfled Excavallon' CY 600 $187.00 $112,200.00 2 Cold Milling' SF 228400 $0.30 $68.520.00 PlanotBlds, Inc. City of Santa Ana Page 2 Local Street Preventative Maintenance FY 2018-19 (19-6942). bidding an May 29. 2019 2:00 PM (Pacific) Printed OW2912019 Bid Results Type Item Code UCM City Unit Prim Line Total Comment 3 Asphalt Concrete (AC Pavement)' TN 2500 $97.00 $242,500.00 4 Construct 6° PCC Pavement with (3-day) Cure Including Dowels* CY 420 $395.00 $165.900.00 5 Rubberized Emulsion Aggregate Slurry (REAS) Type ll TN 1240 $699.00 $866,760.00 6 Construct PCC Curb & Gutter (A-2-6)' LF 600 $30.00 $15.000.00 7 PCC Curb Ramp' SF 3000 $9.70 $29,100.00 8 Construct PCC sidewalk (T=4')• SF 1000 $5.30 $6.300,00 9 PCC Cross Gutter/Splash Pad with (3-day) Cure and Dowels` SF 3000 $10.45 $31,350.00 10 Root Shave' EA 20 $430.00 $8,600.00 11 Adjust Manhole Frame & Cover to Finished Grade EA 22 $560.00 $12,320.00 12 Adjust Water Valve Frame & Cover to Finished Grade EA 25 $460.00 $111500.00 13 Crack Sealing LS .. ...... .. .... _........ __. ...._... .. ..._.... ..,....._,.,._...._-_. 1 ._.................._..... $41,999.00 _........._..........,........,................ $41,999.00 14 Protection of Surface Utility Frames and Covers ...... ....._.,... LS 1 $3.500.00 $3,500.00 15 Remove Existing Striping, Pavement Legends, and Markers LS _ ... ........... _ ..... ...... ._..............._.........__._......_..._.—...._............__...—....___.-.___..._.__.__...__.___................_._............_..._'____..._ 1 $20.000.00 $20,000.00 16 Furnish & Install Traffic Loop Type D t .... EA . ...... .. .. ... __ .. ... ._...... ..... ...._..... 12 _......... _.... ..... $300.00 $3.600.00 17 Signing & Striping LS 1 $65,000.00 $65,000.00 18 Project Advertisement Sign LS 2 $750.00 $1,500.00 PlanotBids, Inc. City of Santa Ana Page 3 Local Street Preventative Maintenance FY 2015.19 (19-6942), bidding on May 29, 2019 2:00 PM (Pacl0c) Printed 05/29/2019 Bid Results Type Ram Code uCM Oty Unit Price Line Total Comment 19 Labor Agreement Oversight LS 1 $12,000.00 $12,000.00 Subtotal $1,710,049.00 Asterisk Notes (Per Section 3.2 of Standard Specifications) • NOT part of Total Bid Calculation 20 • - The quantity for this bid Item Is shown for bid comparison only. This bid Item shall not be subject to the 025%0 limit as stated In Sec0on 3.2 of the Standard Specifications. This bid Item shall net be subject to the W%" limit as stated In Section 3-2 of the Standard Specifications. The actual amount for this Item will be dictated by the actual quantltly used, and the Agency reserves the right to Increase or decrease the quantity of this Item accordingly. EA o 0 0 21 t = This bid Item is considered a Specialty Item par Sectlon 2.3.2 of the Standard Specifications. EA 0 0 0 Subtotal e Total $1,710.649.00 PlanetBids, Inc. MAYOR Miguel A. Pulido MAYOR PRO TEM Juan Villegas COUNCILMEMBERS Cecilia Iglesias David Penaioza Vicente Sannlento Jose Solorio CITY OF SANTA ANA Public Works Agency — Design Engineering 20 Civic Center Plaza, M-36 a P.O. Box 1988 Santa Ana, California 92702 y .santa-ana.ora 1 714.647.5013 May 20, 2019 ADDENDUM NO. ONE CITY MANAGER Kristine Ridge CITY ATTORNEY Sonia R. Carvalho ACTING CLERK OF THE COUNCIL Norma Mitre -Ramirez SUBJECT: PROJECT NO. 19-6942: Local Street Preventative Maintenance FY 2018-19 The following changes have been made to the subject project: Specifications 1. Page 27 -1.11 CRACK SEAL AND PATCHING, Add the following: "Contractor shall notify the Engineer immediately after crack seal has been made and shall obtain approval from the Engineer. Slurry seal shall not be applied without the approval of the crack seal" 2. APPENDIX H, Location Map and Striping Plans, Replace Appendix H with the attached entire set of Appendix H. All other terms and conditions remain the same. FOR THE CITY O TA ANA Edwin "William" Galvez, P.E. City Engineer SANTA ANA CITY COUNCIL h4 AnuGCo I Juan Vregim i Virn4e 6amienb j aaA4Geblou I Jme so j MOM i Wyw Pro Tam.WazC$ I WwdI i %Ve 2 j Wad] I.yAiroamleanaJsdalonymm neav Vemnl Ce6tia 191 Ma 4 WaA6 i Clolnias'dsenlo-anauo 23A-10 SANTA ANA PWA LOCALSTRET 17TH ST EDINGER AVE LOCATION MAP FY 2018-19 NANCE 4EIGHBORHOODS !1-ARTESIA PILAR IB - BELLA VISTA 16 - NEW HORIZONS A - CASA BONITA 12 - NON -NEIGHBORHOOD 4 INTS) 23A-11 PA ��lTCiN � 1CTH ST TIN ST 6TH ST Nc 25-2] SHEET T 7 21 m 5 I .-b][cx left n. ST HA LN N O61]5 — — — — WASXINGTON AVE 150' torn ST YIC CENTER DR IBTn ST) a _ g � C o N � SiX ST C g r I i i • W1 i a r C RTx sT LL 1ST ST C NOTES ® INSTALL DOUBLE YELLOW LINE PEP CITY OF SINTA ANA STD. PLAN 11256-1 DETAIL 'X'. INSTALL 12' LIMIT LINE © IWXITE THERMOPLASTIC IF NOT SPECIFIEDI ® SEE OR EXHIBITY Of TTACKED. PLAN NUMBER ® INSTALL YELLOW CENTER LINE PER CIiY DF SANTA ANIL STp. PLAN 11259-2 DETAIL '6'. INSTALL LEGEND 1WNITE THERMOPLASTIC IF NOT SPECIFIED) INSTALL DOUBLE YELLOW RPM LINE PER CITY OF SANTI ANASTO. PLAN 112SC DETAIL 1'. INSTALL 12' CROSSWALK ® 1MITE THERMOPLASTIC IF NOT SPECIFIED) 10 NNSTALL STOP BAR AND/DR STOP LEGEND. AS SANTA ANA PROJECT 19-6942 P W A LOCAL STREET PREVENTIVE MAINTENANCE MLlG�iouS ACENCY 4 (NTS) 23A-12 1ST ST n �MCFADDEN AVE LEGEND. ® SLURRY SEAL COLD MILL OPCD IMPROVEMENTS SEE PCC LIST TABLE SANTA ANA PWA PUBLIC MES AGENCY NOTES Q INSTALL DOUBLE YELLOW LINE PER CITY OF 6ARTA ANA STD. PLAN 11259-1 DETAIL '4'. INSTALL W LIMIT LINE © )WHITE THERMOPLASTIC IF NOT SPECIFIED) ® OREEXHIBIY OF T ATTACHED. SANTA PLAN NUMBER © INSTALL YELLOW CENTER LINE PER CITY � SANTA ANA STD. PLAN 1125E-2 DETAL "6'. INSTALL LEDEND I WHITE THERMOPLASTIC IF HOT SPECIFIEUI INSTALL DOUBLE YELLON RPM LINE PER CITY OF SANTA ANA STD. PLAN 1125C DETAIL "I'. INSTALL 12' CROSSWALK ® )WHITE THERMOPLASTIC IF NOT SPECIFIEDI 11 INSTALL STOP BAR AND/O<i STOP LEGEND. AS PROJECT 19-6942 LOCAL STREET PREVENTIVE MAINTENANCE FY 2018-19 4 (NTS) 23A-13 YELLOW J � III IL Y 1IJI/�IIII 51H SI 1IIII�1L,1 L-J a YELLOW Lr•+� SANTA ANA BLVD YELLOW `� ]RO ST ]RD ST a LJ LL Q E 1ST ST LEGEND ® SLURRY SEAL COLD MILL PCC IMPROVEMENTS SEE PCC LIST TABLE SANTA ANA PWA NRLIC W643 AGENCY NOTES- Q INSTALL DOUBLE YELLOW LINE PER CITY OF SANTA ANA STD. PLAN 1125E-1 DETAIL 'A'. INSTALL 12 LIMIT LINE WN ITE THERMOPLASTIC IF NOT SPECIFIE01 ® SEEEYNIBI TTOF ASANTA ANA PLAN NUMBER ® D. INSTALL YELLOW CENTER LINE PER CITY CF SANTA ANA STD. PLAN 1125E-2 DETAIL '6'. T INSTALL LEGEND (WHITE THERMOPLASTIC IF HOT SPECIFIED) 0 INSTALL DOUBLE YELLOW RPM LINE PER CITY D< SANTA ANA STD. PLAN 1125C DETAIL 1'. INSTALL 12' CROSSWALK ® )WHITE THERMOPLASTIC IF HOT SPECIFIED) 11 INSTALL STOP BAR ANO/OR STOP LEGEND. AS NEEDED. PROJECT 19-6942 LOCAL STREET PREVENTIVE MAINTENANCE FY 2018-19 4 (NITS) 23A-14 ® SLURRY SEAL COLD MILL OFCC IMPROVEMENTS SEE PCC LIST TABLE SANTA ANA PWA N&IC WOOS AGENCY MCFADDEN AVE ,u uu i 0 EDINGER AVE © SANTALANASID. PLAN 1125BE1PRETAILY'4"• INSTALL 12' LIMIT LINE © )MITE THERMOPLASTIC IF NOT SPECIFIED) ® OREEXHIBITFATTACHSANTA ED. ANA PLAN NUMBER INSTALL YELLOW CENTER LINE PER CITY CF © SANTA ANA 570. PLAN 1125E-2 DETAIL 'B' INSTALL LEGEND 0 .11E THERMOPLASTIC IF NOT SPECIFIED) INSTALL DOUBLE- YELLOW RPM LINE PERCITY 0 OF SANTA ANA STD. PLAN 1125C DETAIL 1'. INSTALL 12' CROSSWALK ® IWHITE THE, IF NOT SPECIFIED) INSTALO STOP BAN AND/CR STOP LEGEND. AS NEEDE PROJECT 19-6942 LOCAL STREET PREVENTIVE MAINTENANCE FY 2018-19 4 (NTS) 23A-15 1ST ST DUI t I i ] D q WALNUT ST ❑ �NI IE � J a. V Q l I Z �1Ti[y=G1911]:10,VAN A LEGEND.- ® SLURRY SEAL COLD WILL SANTA ANA PWA PUBLIC WWFi AGENCY NOTES ® INSTALL DOUBLE YELLOW LINE PER CITY DF SANTA ANA STD. PLAN 11250-1 DETAIL '�'. 0 INSTALL 12' LIMIT LINE I WNITE THERMOPLASTIC IF NOT SPECIFIED) ®SEE CITY OR EXRIBIIFAI ACHED.A PLAN NUMBER ® SANTAL ANA STD. PL AB IZSa-2PDETAI LY ' 6. (D INSTALL LEGEND I WHITE THERMOPLASTIC IF NOT SPECIFIED) 0 INSTALL DBLE YELLOW APM LINE PER CITY DF SANTA AGUNA 'STD. PLAN 1125C DETAIL 1'. INSTALL 12, CROSSWALK 0 )WHITE THERMOPLASTIC IF NOT SPECIFIEDI INSTALL STOP BAR AND/OR STOP LEGEND. AS PROJECT 19-6942 LOCAL STREET PREVENTIVE MAINTENANCE FY 2018-19 4 (NTS) EXHIBIT 5 23A-16 ( z. tit'fit (' e V i f � a i V up fIr •�Il'ra/ y[ {n.M L• Yfw�y.Yq 23A-17 Ft st;0 A ^. E 1502 N E CONSTRUCTION NOTES 0 INSTALL ROUNOABOU' STRIPING AND YELLOW PEXCO DELINEATORS WITH FLEXIBLE SURFACE MOUNT USING EPDXY ADHESIVE PER DETAIL A. 0 INSTALL BROKEN DOUBLE YELLOW LINES WITHOUT RPM'S AS SHOWN. 0REMOVE EXISTING STOP LEGEND AND LIMIT LINE AND INSTALL YIELD LEGEND AND YIELD LIMIT LINE AS SHOWN. 0 INSTALL YIELD LEGEND AND YIELD LIMIT LINE AS SHOWN. OS INSTALL WHITE LANE LINE WITH TYPE G RPM 6' APART AND WHITE CHEVRON LINES AS SHOWN A' APART. DO NOT INSTALL RPM'S INSIDE RED BOX. © INSTALL WHITE PLASTIC BOT DOTS WITH REFLECTORS 3' APART ON CENTER AS SHOWN USING EPDXY ADHESIVE FOR CONCRETE. O INSTALL DOUBLE YELLOW STRIPING WITH TYPE 0 RPM 6' APART. DO NOT PAINT ON BRICK/CONCRETE CROSSWALK. OB REMOVE EXISTING STEEL POST WITH SIGNS AND PROTECT EXISTING ANCHOR POST AND SLEEVE. INSTALL R1-2• CUSTOM SIGN PER DETAIL B AND OM2-IV ON NEW STEEL POST. O9 REMOVE EXISTING STEEL POST WITH SIGNS AND SLEEVE. INSTALL R1-2 AND CUSTOM SIGN PER DETAIL 8 ON NEW STEEL POST. t0 INSTALL CUSTOM SIGN PER DETAIL B ON NEW STEEL POST AT BEGINNING OF BULB -OUT. a12 INSTALL R1-2 SIGN ON NEW STEEL POST AT BCR. INSTALL RED CURB AS SHOWN. NC C A:EP IY 14A.r' 5 (LEAP t F 41 A PP „yµ "T,TAIN C i. LARAL. I IN ALI S 1616. A' I '.AV':: SIN V1' iv Yf AAf Nt Y PI INi5 S� R iN -Y l ,EPA lAS'IC. 'EIO Yt IN� S.♦ N -1R -ll A-' .. 1 507:. z j �-- - _t .- F 50' rJ \ 4- 12 tE" F// \ = 24"x32" 1429 23A-18 1 r 1 1 � r i 1 1 I f 1 I - 1 I s t i I f 1 it :Ilf K.y- i S Lo ca, i�il z 1 777 04. 1 I 1 j' _E; I 23A��J •�w'nn111"s ` f� ' S ' r.l �i. IA go-il"m I - L �,� P , iilllill Ii IV A �louoM� �� Win ra =s> (fi-e j ixm s) t q e t � 1 ; �11 � V, Y _ � • � E jl 9 i ' Ji Jlt�ii�/J ! E aRl p J� • 1� .y ! Y!! 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F• L tad f1FD4l d01336) 3 MHO.LVM LL Dtl d0133B) 317/91Y1Y srww�rww n,R�nv�:r JI/ttiT7�JIdLJOi17'�9tY? l�iJ M71P�• 23A-24 JpY�f+•fI1J- I rYwtwwie ', BORCHARD AV owl a EXHIBIT D 51 N ECR Iti o N O 6 v p N 2a N N N ` n 7T N \ S 2a - 'v W U x 3 _ _ i . a ' 1435. is &saw* :. BORCHARD AV N 01 INSTALL RJ-2 INp Left Turn) SIGN ON$$ NELWLLS TEE L[ POST. LL EE LL (r " �NTYAOk $ANTI ANANSTONI IZ�BEIP. ® INSTALL WHITE TE LANE DROP LINE MITNOUT II PNSB 1RWC TY A SANTA A A STO w 10 NSSST EAEL $PE AL poRDER RApSE SIGN r a ® 7NRT0 �S(PHIENGER L0A01 NG ONLY ._, � �N�T1�4 T1��D�L,�N1TeL ENE A�-SNQMN. 9 EDINGER AV 23A-25 • 1 r�J 1 i 'I IIVV i i r ! F j �yi O la.rd .a aL rr ... ..y _ by a•.rrr�.l�. 23A-26 I i! i II p Sjjjt'1`i tF3f ;8 3•Li Y ' a td F�°•°a §i ' i I' f T A F 3 } La5 7u� o < — ;yt IF q }; °1 3nv LHCfB L 'j AI71 1 ice' �tla� W.J 9 5 I I y � 3 22 III? It :. f It 3Atl LsoldLH O P y! 000000000 EOOOSJCi - ! pl - --_----------_—_---------------------_—__-- vu,a.wo�.ew aYa,.woaem �vYyww,.w mowwoa°.na .qnw BMt.nr-r ac rv7lHbf�l9� �, 1 vlWV Sa C'�7 L�A-L CITY OF SANTA ANA PROPOSAL PROJECT NO.: 19-6942 LOCAL STREET PREVENTATIVE MAINTENANCE FY 2018-19 BID PROPOSAL TO: CITY COUNCIL OF THE CITY OF SANTA ANA FROM: All American Asphalt REQUIREMENT: The undersigned bidder declares that they have carefully examined the location of the proposed work, that they have examined the Contract Documents in its entirety and hereby proposes to furnish all material and do all the work required to complete the said work in accordance with said plans (if any) and the specifications for the unit price(s) or lump sum(s) set forth in the following schedule: Item Description Qty Unit Unit Price Amount I Unclassified Excavation* 600 CY $ $ 187.00 112,200.00 2 Cold Milling* 228,400 SF $ $ 0.30 68,520.00 3 Asphalt Concrete (AC Pavement)* 2,500 TN $ $ 97.00 242,500.00 4 Construct 6" PCC Pavement with (3-day) 420 CY $ Cure including Dowels* 395.00 1$65,900.00 5 Rubberized Emulsion Aggregate Slurry 1,240 TN $ $ (REAS) Type Il* 699.00 866,760.00 6 Construct PCC Curb & Gutter (A-2-6)* 500 LF $30.00 $ 15,000.00 7 PCC Curb Ramp* 3,000 SF $ $ 9.70 29,100.00 8 Construct PCC sidewalk (T=4")* 1,000 SF $ $ 5.30 5,300.00 9 PCC Cross Gutter/Splash Pad with 3,000 SF $ 10.45 $ (3-day) Cure and Dowels* 31,350.00 10 Root Shave* 20 EA $ 430.00 $ 8,600.00 11 Adjust Manhole Frame & Cover to 22 EA $ $ Finished Grade 560.00 12,320.00 12 Adjust Water Valve Frame & Cover to 25 EA $ $ Finished Grade 460.00 11,500.00 13 Crack Scaling 1 LS $ $ 41,999.00 41,999.00 14 Protection of Surface Utility Frames and I LS $ $ Covers 3,500.00 3,500.00 P-1 of P-16 23A-28 CITY OF SANTA ANA PROPOSAL. :.= ` PROJECT NO.t-19942 �, r' LOCAL STREET PREVENTA IVE MAINTENANCE FY 2018-19 Item Description Qty Unit Unit Price Amount 15 Remove Existing Striping, Pavement Legends, and Markers 1 LS $ 20,000.00 $ 20,000.00 16 Furnish & Install Traffic Loop Type D j 12 EA $ 300.00 $ 3,600.00 17 Signing & Striping I LS $ 65,000.00 $ 65,000.00 18 Project Advertisement Sign 2 LS $ 750.00 $1,500.00 19 Labor Agreement Oversight I LS $ 12,000 $ 12,000 TOTAL BASE BID $1,716,649.00 The lowest responsible bidder shall be selected based on the total base bid. The City reserves the right to award the Base Bid, and any, all, or none of the add -alternate bid items (if any). * The quantity for this bid item is shown for bid comparison only. This bid item shall not be subject to the "25%" limit as stated in Section 3-2 of the Standard Specifications. The actual amount for this item will be dictated by the actual quantity used, and the Agency reserves the right to increase or decrease the quantity of this item accordingly. f This bid item is considered a Specialty Item per Section 2-3.2 of the Standard Specifications TIME FOR COMPLETION OF IMPROVEMENTS AND LIQUIDATED DAMAGES The undersigned bidder hereby proposes to complete the Work for the total base bid amount shown above, by October 31, 2019, or within SIXTY (60) working days after the commencement date stated in the Notice to Proceed. The liquidated damages amount, in lieu of the amount specified in Subsection 6-9 of the Standard Specifications, shall be $3,750 per calendar day. Name of Firm All American Asphalt Signature of BIDDER Title Edward J. Carlson, Vice President (If an individual, so state. If a firth or co -partnership, state the firm name and give the names of all individual co-partners composing the firm. If a corporation, state legal name of corporation, and names of President, Secretary, Treasurer and Manager, thereof.) All American Asphalt, Corporation Mark Luer, President, Edward J. Carlson, Michael Farkas, Secretary P-2 of P-16 23A-29 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 19-6942 LOCAL STREET PREVENTATIVE MAINTENANCE FY 2018-19 BIDDER'S STATEMENT BIDDER understands and agrees that this Bid Proposal, Contract Documents and subsequent Construction Contract Agreement shall constitute the entire agreement between BIDDER and the AGENCY only after it has been accepted by the City Council, endorsed by the Clerk of the Council with her signature and official seal noting hereon the action of approval of the Council, signed by the Public Works Agency Executive Director or his/her duly authorized agent, and signed by the City Attorney, denoting his approval of the form of this document, and its execution, and when it or an exact copy of it has been either delivered to BIDDER or deposited with the United States Postal Service properly addressed to the BIDDER with the correct postage affixed thereto. BIDDER further agrees that upon delivery (as defined above) of the accepted agreement he/she will furnish AGENCY all required bonds and certificate of liability insurance within ten (10) business days or the funds, check, draft, or BIDDERS bond substituted in lieu thereof accompanying this proposal shall become the property of the AGENCY and shall be considered as payment of damages due to the delay and other causes suffered by AGENCY because of the failure to furnish the necessary bonds and because it is distinctly agreed that the proof of damages actually suffered is difficult to ascertain; otherwise said funds, check, drafts, or BIDDER'S bond substituted in lieu thereof shall be returned to the undersigned. BIDDER understands that a bid is required for the entire work, the estimated quantities set forth in the bid schedule are solely for the purpose of comparing bids, and that final compensation under the contract will be based upon the actual quantities of work satisfactorily completed. The BIDDER also certifies that the bid is a balanced bid. In accordance with Section 7028.15 of the California Business and Professions Code, the undersigned certifies under penalty of perjury that the foregoing is true and correct. Name of Firm All American Asphalt Signature of BIDDER Title Edward J. Carlson, Vice President — (If an individual, so state. If a firm or co -partnership, state the firm name and give the names of all individual co-partners composing the firm. If a corporation, state legal name of corporation, and names of President, Secretary, Treasurer and Manager, thereof.) All American Asphalt, Corporation Mark Luer, President, Edward J. Carlson, Michael Farkas, Secretary P-3 ofP-16 23A-30 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 19-6942 LOCAL STREET PREVENTATIVE MAINTENANCE FY 2018-19 CONTRACTOR'S LICENSING AND REGISTRATION STATEMENT The undersigned contractor, or corporate officer, declares tinder penalty of perjury that he/she and all his/her subcontractors are registered with the State of California Department of Industrial Relations (DIR), and that the following is true and correct. Contractor's Name: All American Asphalt Business Address: 400 East Sixth Street, Corona, CA 92879 Business E-Mail Address: publicworks0allamericanasphalt.com Telephone: 951-736-7600 State Contractor's License No. and Class: 267073 A, C-12 License Expiration Date: 01/31/2020 State.Dept. of Industrial Relations (DIR) Registration -No.: State' Dept. of Industrial Relations (DIR) Registration -Expiration Date: Signed: 1000001051 06/30/2019 Title: Edward J. Carlson, Vice President P-4 of P-16 23A-31 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 19-6942 LOCAL STREET PREVENTATIVE MAINTENANCE FY 2018-19 PREVAILING WAGE COMPLIANCE AND MONITORING STATEMENT Contractor is aware of the requirements of California Labor Code Section 1720, et seq., as well as California Code of Regulations, Title 8, Section 16,000, et seq., ("Prevailing Wage Laws"), which require the payment of prevailing wage rates and the performance of other requirements on "public works" and "maintenance" projects. Since the services are being performed as part of an applicable "public works" or "maintenance" project, as defined by the Prevailing Wage Laws, and since the total compensation is $1,000 or more, Contractor agrees to fully comply with such Prevailing Wage Laws. City shall provide Contractor with a copy of the prevailing rates of per diem wages in effect at the commencement of this Agreement. Contractor shall make copies of the prevailing rates of per diem wages for each craft, classification or type of worker needed to execute the services available to interested parties upon request, and shall post copies at the Contractor's principal place of business and at the project site. Contractor shall defend, indemnify and hold time City, its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws. The undersigned certifies that the foregoing is true and correct. Name of Firm All American Asphalt Signature of BIDDER Title Edward J. Carlson, Vice President (if an individual, so state) P-5 of P-16 23A-32 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 19-6942 LOCAL STREET PREVENTATIVE MAINTENANCE FY 2018-19 OWNERSHIP AFFIDAVIT STATE OF CALIFORNIA I COUNTY OF ORANGE I SS: CITY OF SANTA ANA I Edward J. Carlson, Vice President being duly shorn, deposes and says: []INDIVIDUAL That lie/she is the pan)' making the foregoing proposal: ❑ PARTNERSI aP That he/she is a member ofthe co -partnership firm designated as: and who has been and is duly vested with the authority to make and execute instruments for the co -partnership by: who constitute the other members of the co -partnership. (� CORPORATION That he is ol: All American Asphalt a corporation which is making the foregoing proposal: []JOINTVENTURE That he is or: one of the parties making the foregoing proposal as a joint venture. mid the helshe has been and is duly vested with the authurit) to execute instruments for an on behalf of the parties making said bid who are: that such a bid is genuine and not collusive or sham, and has not in any manner sought by collusion to secure any advantage against the City of Santa Ana or any person interested in the proposed contract, for It ]Itself or any other person. A�— Signature of Bi der Edward J. Carlson, Vice President Subscribed and sworn to before me this o9404-' day of _ 20 /q -x i�aa� �xr fak6AVA4 Signature of officer Administering Oath (Notary Public) P-6 of P-16 23A-33 CALIFORNIA JURAT GOV CODE § 8202 A notary public or other officer completing this certificate verifies only the identity or the individual who signed the document to which this certificate is attached. and not the lmthrultim accuracy, or validity of that document. State of California County of Riverside Subscribed and sworn to (or affirmed) before me on this 2411 day of May.2019, Date Month By (1) Edward J. Carlson Name of Signer Proved to me on the basis of satisfactory evidence be the person who appeared before me (.) (,) RERECCAANGELA PA.RRA WA =T Noary Puhlic- California R wnlde Ccunty is Commission c 7197458 NameefSigRer My Camm. Expires May 77.2021 J be the peFseR who appeased befM M04 Signature Z4z.,0dxz eXd� ►lace Notary Seal Above Signature ofblotary Public OPTIONAL Though the information below is not required by law, It may prove valuable to person relying on the document and could prevent fraudulent removal and reattachment of this forth to another document Further Description of Any Attached Document Title or Type of Document Ownership Affidavit Document Date: None Number of Pages: 1 Signer(s) Other Than Named Above: None 23A-34 CITY OF SANTA ANA PROPOSAL, PROJECT NO.: 19-6942 LOCAL STREET PREVENTATIVE MAINTENANCE I-T 2018-19 BID BOND Band No. 08597423 Bid Date: 05/29/2019 KNOW ALL PRESENI'that. All American Asphalt as BIDDER, and Fidelity and Deposit Company of Maryland as SURE-rY, are held and finely bound unto the CITY 01' SANTA AN.A. as AGENCY, in the penal sum of Ten Percent of Total Amount Bid— Dollars (S 10% of Bid— ), which is ten percent (10%) of the total amount bid by BIDDER to AGENCY fur the above -stated project, 11or the payment of which sum. BIDDER and SURE. fY agree to be bound, jointly and severally, firmly by these presents. THE CONDITIONS Of-' THIS OBLIGATION ARE SUCK that. whereas BIDDER is about to submit a bid to AGENCY I'or the above -staled project, if said bid is rejected, or if said bid is accepted and a contract is awarded and entered into by BIDDER in the manner and time specified, then this obligation shall be null and void, otherwise it shall remain in full force and cflcct in litvor of AGENCY. IN WITNESS WHERI OP the parties hereto have set their names, titles, hands, and seal this 14th day of May 2019, BIDDER" - 400 East Sixth Street. Corona. CA 92879 - COl V+CYG, •l.6Yt.fOr� t �%ia.��rtsd��.f- - SURETY• Fidelity and Deposit Company of Maryland - 777 S. Figueroa Street, Suite 3900, Los Angeles,.CA 90017 David Wei (213) 270-0500' '2+o c�cv o1oC�n�n� Rebecca Haas -Bates, Attomey-in-Fact Subscribed and sworn to before me "Please See Attached" this _ day of 20_ — Signature: Notary Public in and for the County of State of Provide BIDDER/ SURETY name. address, and telephone number and the name. title. address. and telephone number of authorized representative. 1'-7 of P-16 23A-35 CALIFORNIA ALL-PURPOSE ACKNOWLEDGEMENT CIVIL CODE § 1189 A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached. and not the truthfulness accumev or validity of -that document. State of California County of Riverside On 05/24/2019 before me, Rebecca Angela Parra. Notary Public Data Nan Neon ramp a Tuk V Na txr e Personally appeared Edward J. Carlson Nemaa a svrwtq who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) istare subscribed to the within instrument and acknowledged to me that he/shelihey executed the same in his/hert(hi& authorized cepacity(ies), and that by his/herAt;eir aEatccnANGELA Panto. signature(G) on the instrument the person(s), or the entity upon behalf NolmyPrmrc-Calemoia of which the person(s) acted, executed the instrument. a ro. `'`.• Pivarside County Commission o 2197:Sa I certify under PENALTY OF PERJURY under the laws of the Stale of i✓y Comm.EaF��es May I7, 1011 California that the forgoing paragraph is true and correct. WITNESS my han o 'al seal. Signature M... NM, Saal AGova Sienat ro o Dory P°Clie OPTIONAL Though the information below is not required by law, It may prove valuable to person relying on the document and could prevent fraudulent removal and reattachment of this torn to another document. Description of Attached Document Title or Type of Document Bid Bond Document Date: 05/14/2019 Numberof Pages: One(l) Signer(s) Other Than Named Above: None Capacity(ies) Claimed by Signer(s) Signers Name: Edward J. Carlson Signer's Name: ❑ Individual ❑ Individual X Corporate Officer —Tille(s): Vice President ❑ Corporate Officer —Title(s): ❑ Partner ❑ ❑ Limited ❑ General ❑ Partner 0 ❑ Limited ❑ General ❑ Attorney in Fact ❑ Attorney in Fact ❑ Trustee TO° o11vini° "a'B Top of NwnC rare ❑ Trustee ❑ Other: ❑ Other: Signer is Representing: Signer is Representing: 23A-36 ALL-PURPOSECALIFORNIA .. A notary public or other officer completing this certificate verges only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document. State of California County of Orange On 05/142019 before me, Liliana Gomez, Notary Public Date Here Insert Name and Title of the Officer personally appeared Rebecca liaas-Bates NameKot Signer(s). who proved to me on the basis of satisfactory evidence to be the person(* whose names} is/are subscribed to the within instrument and acknowledged to me that %,alshe/thay executed the same in ha/her/their authorized capacity(LQ, and that by hie(herfthe r signaturet4on the instrument the personK or the entity upon behalf of which the persons) acted, executed the instrument. F�-�?L� uww+acMc Notar9 Puh1¢�Ca!�is,�a `/ x Comriaio� : li+: ili �'��� Ny Ccr•.r.,. Ex:ires uay i7, iea I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. WITNESS my hand and offficialseal. Signature �444,,' Signature oflNotary Public Place Notary Seal Above OPTIONAL Though this section is optional, completing this Information can deter alteration of the document or fraudulent reattachment of this form to an unintended document. Description of Attached Document Title or Type of Document: Bid Bond Document Date: 05/14/2019 Number of Pages: One I Signer(s) Other Than Named Above: All American Asphalt Capacity(ies) Claimed by Signers) Signer's Name: Rebecca Haas -Rates ❑ Corporate Officer — Title(s): 17 Partner — ❑ Limited ❑ General ❑ Individual Ci?Attorney in Fact ❑ Trustee ❑ Guardian or Conservator ❑ Other: Signer Is Representing: Fidelity and Deposit Company of Maryland Signer's Name: ❑ Corporate Officer — Titie(s): ❑ Partner — ❑ Limited ❑ General ❑ Individual ❑ Attorney in Fact ❑ Trustee ❑ Guardian or Conservator ❑ Other: Signer Is Representing aoctwcnxutixu^gcsau^cczzust. ccrc.�ccrn:c<.�.-sax:cscsxccsa.rcr,�crccctzuxeccn 02014 National Notary Association - www.NaficnalNotary.org • 1-800-US NOTARY (1-800-876-6827) Item tt5907 23A-37 EXTRACT FROM BY-LAWS OF THE COMPANIES "Article V. Section S. Atiomers-in-Fact. The Chief Executive 011icer, the President, or any Executhe Vim President or Vice President mav, by written instrument under the attested corporate seal, appoint attomeys-in-fact with authority to execute bonds, policies, recognizances, stipulations. undertakings, or other like instruments on behalf of the Company, and may time." authorize any officer or any such attorney -in -fact to affix the corporate seal thereto; and may with or without cause modify of revoke am• such appointment or authority at any CERTIFICATE 1, the undersigned, Vice President of the ZURICH AMERICAN INSURANCE COMPANY, the COLONIAL AMERICAN CASUALTY AND SURETY COMPANY, and the FIDELITY AND DEPOSIT COMPANY OF MARYLAND, do hereby cenify that the foregoing Power of Attorney is still in full fume and effect on the date of this certificate; and I do further certify that Article V. Section S. of the By -Laws ofthc Companies is still in force. This Pincer of Attorney and Certificate may be signed by facsimile under and by authority of the following resolution of the Board of Directors of the ZURICH AMERICAN INSURANCE COMPANY at a meeting duly called and held on the 15th day of December 1998. RESOLVED: -[hat the signature of the President era Vice President and the attesting signature of a Secretary or an Assistant Secretary and the Seal of the Company may be affixed by facsimile on any Power of Attorney... Any such Power or any cer ificate thereof bearing such facsimile signature and seal shall be valid and binding on the Company." This Power ofAttorney and Certificate may be signed by facsimile under and by authority of the following resolution of the Board of Directors of the COLONIAL AMERICAN CASUALTY AND SURETY COMPANY at a meeting duly called and held on the 5th day of May, 1994. and the following resolution of the Board of Directors of the FIDELITY AND DEPOSIT COMPANY OF MARYLAND at a meeting duly called and held on the loth day of May, 1990. RESOLVED: "That the facsimile or mechanically reproduced seal of the company and facsimile or mechanically reproduced signature of anv Vice -President. Secretary, or Assistant Secretary of the Company, whether made heretofore or herealler, wherever appearing upon a certified copy of any power of attontcy issued by the Company. shall be valid and binding upon the Company with the saute force and effect as though manually affixed. . IN -TESTIMONY WI IEREOF. I have hereunto subscribed my name and affixed the corporate seals of the said Companies. This 94N _ jyy.gf May , 2019 . Michael C. Fay, Vice President TO REPORT A CLAIM WITH REGARD TO A SURETY BOND, PLEASE SUBMIT A COMPLETE DESCRIPTION OF THE CLAIM INCLUDING THE PRINCIPAL ON THE BOND, THE BOND NUMBER, AND YOUR CONTACT INFORMATION TO: Zurich Surety Claims 1299 Zurich Way Schaumburg, IL 60196-1056 w�t�y.renonstclaints rrzurichna.cont 800-6264577 23A-38 ZURICH AMERICAN INSURANCE COMPANY COLONIAL AMERICAN CASUALTY AND SURETY COMPANI• FI DF:I.ITY AND DEPOSIT COMPANY OF \IARYLAND POWER OF ATTORNEY KNOW ALL MEN BY THESI: PRESENTS: llhat the ZURICH AMERICAN INSLRANCE COMPANY, a corporation of the State of Kc,a York, the COLONIAL AMERICAN CASUALTY AND SURE I-Y COMPANY, a wrporation of the State ol-Illinois, and the FIDf:LII"1' AND DEPOSIT COMPANY OF MARYLAND a corporation or the State of Illinois (herein collaeti%cly called the "Companies"), be Robert M tvlurruv, %'1ee President. in pursuance of authority granted by Article V. Section S. of the By -Laws ofsaid Companies, %ehich arc set forth on the mcise side hereof mid arc hereby ecnilied to be in full force mud effect on the date hereof, do hereby nominare, constitute, and appoint %YIIIIam SYRRIN, Rebecca IIAAS-HATES. Sergio D. IIECIfARA and Richard ADAI R, all of Irvine, California,, FACIE its true and las,ful agent and Auomey-in-Pace. to make, execute, seat and deli%cr, for, and on its behalf as surety. and as its act and deed: any and all bonds and undertakings, and the execution of such bonds or undertakings in pursuance of these presents. shall be as binding' upon said Companies, as fully and amply, to all intents and purposes, as if they had been duty executed mid acknowledged be the regularly elected officers of the ZURICH AMERICAN INSURANCE COMPANY al its office in New York, New York., the regularly elected oiliccrs of lint COLONIAL AMERICAN CASUALTY AND SURr:TY COMPANY al its office in Owings Mills. Mal) land.. and the regularly elected officers of the FIDELITY AND DEPOSIT COMPANY OF \IARYLANU at its office in Owings Mills, Maryland.. in their o,sn proper persons. The said Vice President does hereby eenifr iliac the "Unct set local on the reverse side hereof is a true copy of Anicle V. Section S. of the By -Lass of said Companies, and is now in force. IN WITNESS %%'HEREOF• the said Vice•hresidem has hereunto subscribed his/her names and affixed the Corporate Seals of the aid ZURICH AMERICAN INSURANCE CO\iPANY, COLONIAL AMERICAN CASUALTY AND SURETY COMPANY, and FIDELITY AND DEPOSIT COMPANY OF MARYLAND, this 29" day of January. A.D. 2019. ATTEST: ZURICH AMERICAN INSURANCE COMPANY COLONIAL AMERICAN CASUALTY AND SURETY COMPANY F-I DEI.ITV ANn DEPOSIT COMPANI.OF MARVI.AND Br: Robes D..lfurrµr Vice Prnidsmr Bc DmrrrE Bron'n Secndun• State ofMaryland County of Baltimore On this 29th Jay or.lantury. A.U. 2DI Y, hetirrc IM subs,•rilwr, a Nmm� PuSIi: of the SWte sl Nan lmN. Juh aummission,vl mIJ yualiliN. Rahrrl Is. Murray. Vice President and Dawn L Brnnn. Secretary ofthe Companies. to me pernmily know to br the indi,'idusls and ntlicers dcKrihed in and oho e,ecuteJ the pneding imwmanh. anJ ac4lm,IcJg,a1 the e,tt'Wiavl ofume, r'd ping Uy me dui) ewm. Jcp,rscth anJ faith, ll>,I hJ,hc if the laid nlTxcr rl th,• Company albre,aid. maul flat the .calf aniced In the rrccading itnlrumcnt are an Ct,gwrmc Scup of said Companies, and that [lie said Cmpowc Seal, and the sigmlum as such ulliceneem dal; amsedmW sutxcribed m the said instrument h)'the authorityand direction ohhe said C'nrrytrninns. IN TESTIMONY WI IEREOf, I hu,e hcnunh, s,•t mw hand and aaised in, Oliieial Seal the da) and year lima abo%c eflacn. j. PII'e' ['Inl]I{Illea• A. Dunn. Now, Public Ss' My C onrtission Ecpires: Jul;9,2019 23A-39 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 19-6942 LOCAL STREET PREVENTATIVE MAINTENANCE FY 2018-19 LIST OF SUB -CONTRACTORS Section 4100 et. seq. of the Public Contract Code requires listing of all subcontractors with the bid for all subcontract work exceeding the following amount: o Streets, highways including bridge projects: %:% of the bid or $10,000, whichever is greater o Buildings, parks, or other projects: Y2% of the bid Section 1725.5 of the Public Contract Code requires all Subcontractors be registered with the State Department of Industrial Relations (DIR). BIDDER proposes to subcontract certain portions of the work to the firms listed below: Nance Pavement Rehab Company Name California Professional Engineering, Inc. License #/Exp. 1051374 3/31/21 License #/Exp. 793907 Exn 4/30/2021 DIR Reg. #/Exp. 1000064823 Exp. 6/30/19DIR Reg. #/Exp. 1000001980 Exp 6/30/2019 Location Costa Mesa Location La Puente Phone 714-238-1444 Phone 626-810-1338 Type Of Work Crack Seal Type Of Work Traffic Loop Amount $ $52,000.00 Amount $ $3,588.00 Name Chrisp Company Name License #/Exp. 374600 Exi) 05/31/2021 License #/Exp. DIR Reg. #/Exp. 1 nnnnnn3rlR Fxn nR/�1 /9n19 DIR Reg. #/Exp. License # License # Location Bloomington Phone 909-746-0356 Type Of Work Striping Amount $ $102,369.00 Name V&E Tree Service License #/Exp. 654506 Exn 9/30/2020 DIR Reg. #/Exp. 1 n00n0193R Fxn R/3n/1 Q License # Location Orange Phone 714-997-n903 Type Of Work Root Shave Amount $ $8,500.00 —Signature-of Edward J.-Carlson, Vice President Location Phone Type Of Work Amount $ Nance License #/Exp. DIR Reg. #/Exp. License # _ Location Phone Type Of Work Amount $ P-8 of P-16 23A-40 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 19-6942 LOCAL STREET PREVENTATIVE MAINTENANCE FY 2018-19 The following are the names, addresses, and telephone numbers for THREE public agencies for which the BIDDER has performed similar work within the past three years. 1. Town of Apple Valley 14955 Dale Evans Pkwy, Apple Valley, CA 92307 Name and Address of Owner. Name and Telephone Number of person familiar with $849,142.00 Rehabilitation Contract Amount Type of Work 11/2018 Date Completed 2. City of Laguna Niguel 30111 Crown Valley Parkway, Laguna Nigel, CA 92677 Name and Address of owner. Frank Borges 949-632-4300 Name and Telephone Number of person familiar with project. $2,211,700.00 Rehabilitation 11/2018 Contract Amount Type of Work Date Completed 3. County of Riverside 2950 Washington Street, Riverside, CA 92504 Name and Address of owner. Justin Robbins 951-955-6885 Name and Telephone Number of person familiar with project. $1,662,671.20 Improvements 08/2017 Contract Amount Type of Work Date Completed The following are the names, addresses, and telephone numbers of all brokers and sureties from whom BIDDER intends to procure insurance and bonds. Firio' y and Deposit Company of Maryland 213-270-0600 777 S. Figueroa St #3900, Los Angeles, CA 90017 (swan M Brown Insurance Millennium_ Corporate Solutions 949-679-7116 5530 Trabuco Rd, Irvine, CA 92620 Edoewood Partners Insurance Center 909-919-7513 3633 Inland Empire Blvd., Suite 640, Ontario, CA 92620 P-9 of P-16 23A-41 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 19-6942 LOCAL STREET PREVENTATIVE MAINTENANCE FY 2018-19 ADDITIONAL REFERENCES The following are the names, addresses, and telephone numbers for THREE public agencies for which the BIDDER or Subcontractor has performed similar work in the past five years. "ity of Newport Beach 100 Civic Center Drive, New Name and Address of Owner. CA 92660 Frank Tran 949-644-3340 Name and Telephone Number of person familiar with project. $3,363,363.00 Improvement 1212016 Contract Amount Type of Work Date Completed 2. City of Perris 101 N. D Address of owner. CA 92570 Name and Telephone Number of person familiar with project. $545,680.00 Improvement Contract Amount Type of Work 07/2016 3. City of Palm Desert 73-510 Fred Waring Dr., Palm Desert, CA 92260 Name and Address of owner. Mark Greenwood, 760-346-0611 and Telephone Number of person $232,620.00 Improvement Contract Amount Type of Work project. Date Completed 12/2017 Date Completed The following are the names, addresses, and telephone numbers of all brokers and sureties from whom BIDDER intends to procure insurance and bonds. Fidelity and Deposit Company of Maryland 213-270-0600 777 S. Figueroa St #3900, Los Angeles, CA 90017 Owen M. Brown Insurance Millennium Corporate Solutions 949-679-7116 563n Trnhnrn PH Iniino (A Edaewood Partners Insurance Center 909-919-7513 3633 Inland Empire Blvd., Suite 640, Ontario, CA 92620 P-10 of P-16 23A-42 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 19-6942 LOCAL STREET PREVENTATIVE MAINTENANCE PY 2018-19 NON -COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) In conformance with Title 23 United States Code Section 112 and Public Contract Code 7106 the BIDDER declares that the bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the BIDDER has not directly or indirectly induced or solicited any other BIDDER to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived, or agreed with any BIDDER or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the BIDDER has not in any manner, directly or indirectly. sought by agreement, communication, or conference with anyone to fix the bid price of the BIDDER or any other BIDDER, or to fix any overhead, profit, or cost element of the bid price, or of that of any other BIDDER, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the BIDDER has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid. `Note: The above Non -collusion Affidavit is part of the Proposal. BIDDERS are cautioned that making a false certification may subject the certifier to criminal .prosecution. , Sicned J. tailson, Vice President State of California County of Riverside Subscribed and sworn to (or affirmed) before me on this ��day of . �. 20,0. by proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me -A \ \east','i"' (lkltt�,(- Notary Public Signature Notary Public Seal P-II ofP-16 23A-43 CALIFORNIA JURAT GOV CODE § 8202 A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document. State of California County of Riverside REBECCA ANGELA PARKA Notary Public -California Riversideccunty N Commission a 2192458 My Ccmm.Evphe:May 12,2021 Subscribed and sworn to (or affirmed) before me on this 24th day of May. 2019. Date Month By (1) Edward J. Carlson Name of Signer Proved to me on the basis of satisfactory evidence be the person who appeared before me (.) (,) Signature"'� AZZ5��2 Place Neu" seal Ature Signature of lVtary Public OPTIONAL Though the information below is not required by law, it may prove valuable to person relying on the document and could prevent fraudulent removal and reattachment of this forth to another document Further Description of Any Attached Document Title or Type of Document Non•Callusion Affidavit Document Date: None Number of Pages: 1 Signer(s) Other Than Named Above; None Top of pomp here 23A-44 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 19-6942 LOCAL STREET PREVENTATIVE MAINTENANCE FY 2018-19 NON-DISCRIMINATION CERTIFICATE The undersigned contractor or corporate officer, during the performance of this contract, certifies as follows: I. The Contractor shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Contractor shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Contractor agrees to post inconspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2. The Contractor shall, in all solicitations or advertisements for employees placed by or on behalf of the Contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. The Contractor shall send to each labor union or representative of workers with which he/she has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the Contractor's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The Contractor shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 5. The Contractor shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 6. In the event of the Contractor's non-compliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the Contractor may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Execution Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law. P-12 of P-16 23A-45 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 19-6942 LOCAL STREET PREVENTATIVE MAINTENANCE FY 2018-19 Tile Contractor shall include the portion of the sentence immediately preceding paragraph (l ) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the administering agency, the Contractor may request that the United States enter into such litigation to protect the interests of the United States. 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Slats. 1939, and as amended, no discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any contractor of public works violating this Section is subject to all the penalties imposed for a violation of the Chapter. Signed: Title: Edward J. Carlson, Vice President Firm: All American Asphalt Date: y Y P-13 ofP-16 23A-46 CITY.OF SANTA ANA PROPOSAL PROJECT NO.: 19-6942 LOCAL STREET PREVENTATIVE MAINTENANCE FY 2018-19 STATEMENT REGARDING APPRENTICESHIP REQUIREMENTS The undersigned BIDDER is familiar with the requirements of Section 1777.5 of the State Labor Code regarding employment of apprentices, and understands that contractors on contracts exceeding $30,000 or 20 working days shall: Apply to the joint apprenticeship committee administering the apprenticeship standards of the craft or trade in the area of the site of the public work for a certificate approving the contractor under the apprenticeship standards for the employment and training of apprentices in the area or industry affected. 2. Employ the number of apprentices or the ratio of apprentices to journeymen stipulated in the apprenticeship standards. 3:- Contribute to the find or funds in each craft or trade in which he/she employs journeymen or apprentices on the public work, in the same amount or upon the same basis and in the same manner as the -other contractors, except contractors not signatory to the trust agreement shall pay a like amount to the California pprenticeship Council. Signed: Title: Edward J. Carlson, Vice President Firm: All American Asphalt Date: 57 � .a/2-'o • s P-I4ofP-16 23A-47 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 19-6942 LOCAL STREET PREVENTATIVE MAINTENANCE FY 2018-19 STATEMENT REGARDING "ANTI-KICKBACK"_REQUIREMENTS The undersigned is submitting this proposal for performing by contract the work required by these bid documents, agrees to comply with the Copeland "Anti -Kickback" Act (18 USC 74) as supplemented in the Department of Labor regulations (29 CFR, Part 3). This act provides that each contractor or subcontractor shall be prohibited from inducing, by any means, any person employed in.the constriction or repair of public work, to give up any part of the compensation to which he/she is.otherwientitled./`�— Signed: Title: Edward J. Carlson, Vice President Firm: All American Asphalt Date: P-15 of P-16 23A-48 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 19-6942 LOCAL STREET PREVENTATIVE MAINTENANCE FY 2018-19 PUBLIC CONTRACT CODE SECTION 10162 QUESTIONNAIRE In conformance with Public Contract Code Section 10162, the BIDDER shall complete, under penalty of perjury, the following questionnaire: Has the BIDDER, any officer of the BIDDER, or any employee of the BIDDER who has a proprietary interest in the BIDDER, ever been disqualified, removed, or otherwise prevented from bidding on, or completing a federal, state, or local government project because of a violation of law or a safety regulation? Yes No X If the answer is yes, explain the circumstances in the following space. P-16 of P-16 23A-49 23A-50 CITY OF SANTA ANA EXHIBIT 3 CONSTRUCTION CONTRACT PROJECT NO. 19-6942 LOCAL STREET PREVENTATIVE MAINTENANCE FY 2018-19 PROJECT This CONSTRUCTION CONTRACT is made and entered into this 2nd day of July, 2019 by and between the City of Santa Ana, California, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "CITY"), and All American Asphalt (hereinafter "CONTRACTOR"). WITNESSETH: The CITY and the CONTRACTOR, for the consideration hereinafter named, mutually agree as follows: 1. CONTRACTOR agrees to perform all the work and furnish all the materials at its own cost and expense necessary to construct and complete in a good and workmanlike manner and to the satisfaction of the City Engineer of the CITY, the Local Street Preventative Maintenance FY 2018- 19 Project (hereinafter referred to as the "WORK OF IMPROVEMENT") identified in and in accordance with the Contract Documents prepared by the City's Public Works Agency and approved by the City Council. 2. The complete Construction Contract consists of the "Contract Documents" as defined by the Standard Specifications for Public Works Construction and which include the following: • Notice Inviting Bids • Information to Bidders • Bid Proposal • Bid Bond • Contract Form • Contract Bonds • General Provisions • Special Provisions • Technical Provisions and Project Plans • Community Workforce Agreement • Appendices In case of conflict between the Contract Documents, the precedence of documents shall be as established in the Standard Specifications for Public Works Construction. 3. CITY agrees to pay and CONTRACTOR agrees to accept in full payment to complete the WORK OF IMPROVEMENT the sum total amount not to exceed One Million Seven Hundred Sixteen Thousand Six Hundred Forty -Nine Dollars and No Cents ($1;7.m649;00), as set forth and identified in the BID PROPOSAL, which is attached hereto and incorporated herein as Exhibit "A." The BID PROPOSAL contains a schedule of unit price(s) or lump sum(s) based on approximate quantities only, and the City does not expressly or by implication agree that the actual amount of work will correspond therewith, but reserves the right to increase or decrease the amount of any class or portion of the work or to omit portions of the work as may be deemed necessary or advisable. rev. 09/01/2017 23A-51 Page 1 of 4. CONTRACTOR agrees to complete the WORK OF IMPROVEMENT within the time specified in the Time for Completion of Improvements section of the BID PROPOSAL (Exhibit "A') including commencing construction within the timeframe therein specified after issuance of a Notice to Proceed. 5. The CONTRACTOR will pay, and will require all subcontractors to pay, all employees on the WORK OF IMPROVEMENT a salary or wage at least equal to the prevailing salary or wage established for such work as set forth in the wage determinations for this work in accordance with applicable State and Federal law. 6. If applicable, the CONTRACTOR shall adhere to the CITY'S Community Workforce Agreement (CWA), a pre -hire collective bargaining agreement, which establishes the labor relations policies and procedures for CONTRACTOR to follow in the crafts persons employed to complete the WORK OF IMPROVEMENT as more fully described in the CWA. The CWA may be found on the City's website at: httl)://www.santa-ana.org/Twa/documents/CWA.pd 7. CONTRACTOR shall, after award of this Contract, furnish two bonds to be approved by the CITY, one in the amount of One Hundred Percent (100%) of the Contract price, to guarantee the faithful performance of the work (Performance Bond), and one in the amount of One Hundred Percent (100%) of the Contract price to guarantee payment of all claims for labor and materials furnished (Payment Bond). This Contract shall not become effective until such bonds are supplied to and approved by the CITY. 8. CONTRACTOR shall, prior to the release of the performance and payment bonds or the retention payment, furnish a warranty performance and payment bond (Warranty Bond). Said Warranty Bond shall also be required as a condition of project acceptance. For projects up to Five Hundred Thousand Dollars ($500,000), the Warranty Bond amount shall be the greater of Ten Thousand Dollars ($10,000) or Twenty Percent (20%) of the final contract price. For projects above Five Hundred Thousand Dollars ($500,000), the Warranty Bond amount shall be the greater of One Hundred Thousand Dollars ($100,000) or Ten Percent (10%) of the final contract price. 9. CONTRACTOR shall, after award of this Contract, famish Certificates of Liability Insurance and Worker's Compensation Insurance as outlined in the General Provisions, to be approved by the CITY. %I 23A-52 Page 2 of 3 IN WITNESS WHEREOF, the parties hereto have executed this Construction Contract on the day and year first above written. ATTEST: NORMA MITRE-RAMIREZ Acting Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: lit, -f.L JCKAN FUNK Assistant City Attorney RECOMMENDED FOR APPROVAL: FUAD SWEISS, PE, PLS Executive Director Public Works Agency CITY OF SANTA ANA KRISTINE RIDGE City Manager CONTRACTOR: All American Asphalt NAME: TITLE: 23A-53 Page 3 of 3 23A-54 COST ANALYSIS CONSTRUCTION OF THE PROJECT NO. 19-6942: LOCAL STREET PREVENTATIVE MAINTENANCE FY 2018-19 Construction Contract $ °1,716,649:00 Contract Administration, Inspection and Testing $ 115,351.00- Contin encies $ 68,000.00 TOTAL ESTIMATED CONSTRUCTION COSTS $ —1,900,000.00 =rlC11:3hi! 23A-55 23A-56 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: JULY 2, 2019 TITLE: APPROVED AWARD $474,770 OF WORKFORCE ❑ As Recommended INNOVATION AND OPPORTUNITY ACT [IAmended ElOOrrdinance on 15' Reading FORMULA YOUTH FUNDS FOR ❑ Ordinance on 2nd Reading FISCAL YEAR 2019-20 ❑ Implementing Resolution {STRATEGIC PLAN NO. 2,4) ❑ Set Public Hearing For CONTINUED TO FILE NUMBER dITY MANAGER RECOMMENDED ACTION Authorize the City Manager and the Clerk of the Council to execute agreements to award a total of $474,770 in youth program funds as part of the Workforce Innovation and Opportunity Act for a one year term beginning July 1, 2019 through June 30, 2020, subject to non -substantive changes approved by the City Manager and City Attorney: a. Orange County Children's Therapeutic Arts Center to provide occupational skills training in the areas of office administration, childcare worker certification, career technical training in partnership with Santa Ana College, paid work experience, employment preparation, tutoring, mentoring, counseling, civic engagement and supportive services, for 26 youth in the amount of $199,770; b. Charitable Ventures of Orange County dba Project Kinship to provide training in customer service, forklift operator, guard card, and silk screening, provide job preparation, paid work experience, mentoring, counseling, civic engagement, internships, post -secondary education resources, prepare participants to enter training in the electrical and welding certificate programs, and supportive services for 20 youth in the amount of $160,000; c. Orange County Conservation Corps to provide alternative secondary education that leads to a high school diploma, offer credential training in forklift operations, safe food handling, customer service, state guard cards, provide job preparation, paid work experience, post- secondary education resources, and supportive services for 14 youth in the amount of $115,000. 25A-1 Award $474,770 July 2, 2019 Page 2 of WIOA Formula Youth Funds For FY 2019-2020 WORKFORCE DEVELOPMENT BOARD ACTION At its regular meeting on May 16, 2019, by a vote of 13:0 (Alegre, Baetz, Korthuis, Smith absent), the Workforce Development Board approved the recommended action. DISCUSSION Under the authority of the Workforce Innovation & Opportunity Act (WIOA), the Santa Ana Workforce Development Board (WDB) and its Youth Council are required to procure and fund Youth Service Providers to provide WIOA services to local eligible at -risk youth between the ages of 16 to 24 years old. The Santa Ana WDB authorized the release of a Request for Proposal (RFP) in November 2018 seeking organizations to provide WIOA youth services and to establish a list for a four year procurement cycle from July 1, 2019 to June 30, 2023. Eight organizations submitted proposals totaling more than $1.3 million. The proposals were reviewed, discussed, and ranked by the RFP Review Committee which was comprised of three Youth Council members. The Youth Council recommended establishing a ranking order to fund Youth Providers as funding becomes available. On April 24, 2019, the state released Information Notice WSIN 18-32 with tentative WIOA Formula Allocations for Program Year 2019-20 for the purpose of planning and budgeting as the state has not yet received its federal Notice of Award. Santa Ana's youth allocation for PY 2019-20 is $785,103 and is a 9% reduction from PY 2018-19. Staff recommends to award contracts as follows: Organization Services # of Youth Contract Served Amount OC Children's Therapeutic Serve Youth with disabilities & foster Arts Center youth; Exec. Admin Cert; Childcare 26 $199,770 Worker Cert; Paid WEX Charitable of Ventures of Serve Probation Youth, Guard Card; Orange County Forklift Cert; Silk Screening; Paid WEX 20 $160,000 dba Project Kinship Serve Probation Youth, Construction OC Conservation Corps Training; Forklift Cert; Customer 14 $115,000 Service Cert; Paid WEX Total 60 $474,770 25A-2 Award $474,770 of WIOA Formula Youth Funds For FY 2019-2020 July 2, 2019 Page 3 The Youth Providers will be required to meet the six WIOA Performance Indicators, WIOA requirement that at least 75% of the contract amount is spent on Out -of -School Youth, 20% of youth funds are used for work experience activities, and collectively the youth services incorporate the mandated 14 WIOA Elements. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's effort to meet Goal #2 - Youth, Education, Recreation, Objective #4 (Partner with groups andorganizations to promote education, senior services, job training and development for all Santa Ana residents). FISCAL IMPACT Funds for these agreements are anticipated to be available in the WIOA Youth, Payment to subagent account (no. 12318750-69135) upon City Council's adoption of the fiscal year 2019-2020 budget. Fiscal Year Accounting Unit Fund Description Accounting Unit, Amount on FY19-20 July -June 12318750-69135 Workforce Innovation & WDB Youth Council - $ 474,770 Opportunity Act (WIOA) Payment to Subagent Total Contract Amount $ 474,770 Steven A. Mendoza Executive Director APPROVED AS TO FUNDS AND ACCOUNTS: Kathryn Downs, CPA Executive Director Community Development Agency Finance and Management Services Agency Exhibits: 1. Agreement with OC Children's Theraputic Arts Center 2. Agreement with Charitable Ventures of Orange County dba Project Kinship 3. Agreement with OC Conservation Corps 25A-3 25A-4 EXHIBIT 1 Workforce Innovation & opportunity Act Youth Program Provider Orange County Children's Therapeutic Art Center 2019-2020 EXHIBIT A 25A-5 EXHIBIT 1 AGREEMENT UNDER THE WORKFORCE iNNO17ATFON AND OPPORTUNiTY ACT THIS SUBANVARD AGREEME<NT, made and entered into this I" day of July, 2019, by and between the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the Constitution and laws of the State of California ("CITY") read Oranm County. Therapeutic Arts Center, a non-proCt corporation identified by the assigned Data Universal Numbering System (DUNS) Number 014317940 ("SUBRECTPiENT"), RECITALS: A. CTT'Y has been designated a Local Workforce Development Area (LN1•'DA) under the Workforce Innovation and Opportunity Act of 2014, Public Law 1-113-128 ("the Act"), Catalog of Federal Domestic Assistance (CFDA) Number 17.259 and Federal Award Identification Number (FAIN) AA253421455A6. B. The State of California has created the LWDA to administer the Act programs operated by the State of California pursuant to the Act. C. As a LWDA, CiTY is entitled to receive federal funds to establish programs to increase the employment, retention and earnings of Participants, and increase occupational skills attainment by Participants, and as a result, improve the quality of the workforce, reduce welfare dependency, and enhance the productivity and competitiveness of the nation ("said pros arrr"). D. SLBRECIPIENT is experienced in operating workforce development programs for at -risk youdr that pmvide preparation for secondary and post -secondary education, occupational training, and employment skills for entry into the labor market. R. SL-BRECIPIF,NT is willing to operate said program pursuant to the Act and California law. WHEREFORE, for and in consideration of the respective and mutual covenants and pmmises hereinafter contained and made, and subject to all the terms and conditions hereof, the parties hereto do hereby agree as follows: 1. SLBRECIPIENT'S OBLIGATIONS A. SL;BRECIPIENT agrees to provide the following services pursuant to said program, as more specifically set forth in SUBRECIPIENT'S Program Narrative contained in "Exhibit A", as required to be responsive to the Federal Funding Accountability and Transparency Act (FFATA) per 2 CPR §200.33 1 (a)(1)(ix), and in the Performance Indicators contained in "Exhibit B", per 2 CPR §200.331(d) and 2 CFR §200.328, both attached hereto and by this reference incorporated heroin. SUBRECJPTFNT'S failure to provide said stelvices may be grounds for CITY to readjust the level of payment to SUBRECIPIENT otherwise provided for hereinafter, 25A-6 Page 1 of 17 EXHIBIT 1 B. SUBRFCiPT,TT agrees to provide benefits to individuals who participate in the activities and services funded by this Agreement ("Participants") in accordance with the standards and requirements set forth in the Act. C. SI:13RECiPIEN7 agrrees to perform the services' set forth herein in a professional, timely and diligent manner, D. SL'BRECIPIEN'1' shall provide wages and benefits to Participants in accordance with the standards anti requirements of the Act, including Section 191 of the Act. E. SUBRECiPIENT shall adhere to the Labor Standards described in the Act, including Section 181 of the Act. F, SUBRECIPIENT agrees to comply «ith the "Complaint Handling Procedures Under the WiOA", attached hereto as "Exhibit C" and incorporated herein as though fully set forth in 20 CPR 658.411. SU3RECIPiENT shall advise Participants of their rights to file complaints under the Act mid the procedures for resolution of any complaints. CITY's procedures for handling complaints alleging a viclation of the Act, regulations, grants, or other agreements under the Act shall be followed and any decision of CITY, the State or the federal government relating to the complaint shall be binding and followed by SUBRECIPIENT. SUBRECIFIENTS who are employers shall operate a grievance system that incorporates CITY's procedures for resolution of complaints relating to the terms and conditions of employment; these procedures shall be approved in writingby CITY. G. As a condition of this uwurd of financial assistance under the Act to SUBRECIPIENT from Crl"Y, SUBRECIPIENT assures, with respect to operation of all programs or activities flwded with fiords provided pursuant to the Act; and all agreements or arrangements to caiTy out such programs or activities, that it will comply frilly with the nondiscrimination and equal opportunity provisions of the Act (Section 188) and compliance with F,qual Employment Opportunity provisions in Executive Order (E.O.) 11246, as amended by E.O. 11375 and supplemented by the requirements of 41 CFR Part 60; the Nontraditional Employment for VV''omcn Act of 1991; Title VI of the Civil Rights Act of 1964, as amended; section 504 of the Rehabilitation Act of 1973, as amended; the Age Discrimination Act of 1975, as amended; the Americans with Disabilities Act of 1990; and with all applicable requirements imposed by or pursuant to regulations implementing those laws, including, but not limited to, 29 CFR Parts 33 and 37. The United States, the State of California and CITY have the right to seek judicial enforcement of tbis assurance, H. SUBRECiPIENT agrees that no participant(s) shall commence training prior to the approval of funding pursuant to Section 123 of the Act. T. SUBRECIPIENT agrees to the following accounting, monitoring, auditing, and review requirements: 1. SUBRECIPIENT agrees to maintain such records and submit such reports, data and information, on the form and containing such information, at such times as CITY may request or require regarding the performance of SUBRECIFIENT'S services or activities, costs or other data, including but not limited to, Participants' attendance, payroll records and job duty statements. 2 5A-7 Page 2 of 17 EXHIBIT 1 2. SUBRFCiP1FNT ugrues to forward to the Santa Ana WORK Center Administrative office, S01 W. Chic Center Dr., Suite 200, Santa Ana, California 927U1 completed Workforce Innovation and Opportunity Act Application form and supporting documents; a complete Workforce Innovation and Opportunity Act Enrollment; any subsequent updates; Workforce Innovation and Opportunity Act Youtln Test Scores form; Workforce Innovation and Opportunity Act Exit forms upon completion/termination of active enrollment of participant; and the Workforce Innovation and Opportunity Act Follow -Up form within 15 days following 30, 60, 90,180, 270, and 360 days of cxit. SUBRECIPIENT agrees to enter information on the StFrte of California's CalJobs database system as instructed and requested by the Santa Ana WORK Center Administration. 3. CITY, the State of California and the United States government and/or their representatives shall have access for purposes of monitoring, auditing and examining of SUBRECIPIENT'S activities, performance, books, documents, papers, records of SUBRECIPTENT SUBRFCIPIFNTs, bookkeepers, accountants, employees and Participants related to this Agreement. Such agencies or representatives shall also schcdulo on -site monitoring at their discretion. Monitoring activities may also include, but are not limited to, questioning employees and Participants and entering any premises or onto any site in which env of the services or activities funded hereunder are conducted or in which any of the records of SZ;BRECIPIENT are kept (2 CFR §200330). Nothing herein shall be construed to require access to any privileged or confidential information as set forth in federal or state law. 4. In the event SI;BRECIPIENT does not make the above -referenced documents available within the City of Santa Ana, California, SUBRECIPIENT agrees to pay all necessary and reasonable expenses incurred by CITY in conducting any audit at the location where said records and books of account are maintained. 5. All accounting records and evidence pertaining to all costs oC SUBRFCTMENT and all documents related to this Agreement shall be kept available at the location where SUBREC'iPIENT conducted the program, as well as in the County of Orange, for the duration of this Agreement and thereafter for three (3) years after completion of an audit. Records which relate to (a) complaints, claims, adminiWutive proceedings or litigation arising out of the performance of this Agreement, or (b) costs and expenses of this Agreement to which CITY, the State of California or the United States Government take exception, shall be retained beyond the three (3) years until resolution of disposition of such appeals, Litigation, claims, or exceptions. J. Without prejudice to any other section of this Agreement, SUBRECIPIENT shall, where applicable, maintain the confidential nnature of information provided to it concerning Participants in accordance with the requirements of federal and state law. Notwithstanding the foregoing, SUBRECIPIENT agrees to submit to CITY, the State of California and.'or the United States Government or their representatives, all records requested for administrative purposes, including audits, examinations, monitoring and verification of records submitted by SUBRI?CiPTUNT, costs incurred and services rendered hereunder, K. SUBRECIPIENT agrees to complete a monthly Invoice form showing iit detail the amount of money already expended by SUBRECCLPIF,KT hereunder, as this is a cash reimbursement contract. Accounting records must be supported by such source documentation as invoices, bills, 2 5A-8 Page 3 of 17 EXHIBIT 1 statements, proof of payment, such as cancelled checks, payment confirmations, account statements, paid bills, payroll records, time and attendance records, and contract and subgrant award doctuments (2 CFR §200.101(b)(2)). SUBRECIPIENT agrees to submit the above -stated documents to the WDB Administrative Office, 801 W. Civic Center Dr., Suite 200, Santa Ana, California, 92701, by the tenllm (10tb) day of the month following the month in which SUBRECIPIENT1'S services are performed. Should SUBRECIPIENT fail to deliver said documents to CITY within thirty (30) days of said deadline, CITY shall provide SUBRECIPIENT with written notice of such deficiency. If said deficiency is not corrected within thirty (30) days of mailing such written notice, CITY shall have the option to deobligate SUBRLCIPIENT's funds and cancel this Agreement by gi,�nng SUBRECIPrEl\7 ten (10) days written notice thereof. SUBRLCIPIL-'NT shall either return to the CITY excess revenues over costs or use such excess revenues as program income for additional training activities authorized under the Act, L. SUBREC 1 NT agrees to expend all funds in accordance with all applicable federal, state and local laws and regulations. SUBRE•CiPIENI also agrees to pro -Vide, at SUBRECiPTENT'S owu expense, supplies and other costs of said PROGRAM. M. SUBRECIPIENT shall arrange independently for an audit that includes WI0.A funds received from CITY, in accordance with the Act, 2 CPR 200,500. SUBRECIPIENT shall submit one original of each required audit report to CITY within thirty (30) days after the date received by SUBRECIPIENT. Should SUBRECIPIENT fail to comply with these requirements, CITY may, at its option, withhold payment of funds, disallow funds, or suspend additional grant funds. N. SUBRECIPIENT shall not expend funds pursuant to this Agreement to provide services to any participant where costs of training are paid far by any other person or entity. O. SUBRECIPIENT shall comply with the provisions of Uniibnn Guidance 2 CFR Part 200 of the U.S. Office of Management and Budget (QMB) and all other applicable fodcral statutes and executive orders and their implementing regulations, including regulations at 29 CFR Part 97. P. SUBREC.iP1ENT shall comply with the requirements or federal regulations found at 29 CFR Nut 93, which provide that no appropriated funds may be expended by the rceipient of a Federal contract, Taut, loan or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, member of Congress or an officer or employee of a member of Congress in connection kxith awarding of any federal contract, the making of any fedend grant or loan, entering into any cooperative agreement and the extension, renewal, amendment or modification of any federal contract, grant, loan or cooperative agreement. SUBRECIPIENT shall sign a Certification Regarding Lobbying to that effect in a form as set forth in "Exhibit D," attached hereto and by this reference incorporated herein. SUBRECIPIENT shall submit said sighed Certification to CITY prior to performing any of its obligations under this Agreement and prior to any obligation arising on the part of CITY to pay any sums to SUBMCIPIENT under the terms and conditions of this Agreement. Q. SUBRECIPIENT agrees to provide a drug -free work place and to execute a Drug Free Workplace Certification as set forth in "Exhibit E" attached hereto and incorporated herein by this reference. 25A-9 Pago 4 of 17 EXHIBIT 1 R. SUBRACiPIFNT. in accordance with the Child Support Compliance Act, recognizes and acimowlcdges the importance of child and family support obligations and shall fully comply with all state and federal laws relating to child and family support enforcement, including, but not limited to; disclosure of infbimation and compliance with earnings assignment orders, as provided in Chapter 8 (commencing with Section 5200) of Part 5 of Division 9 of the state Family Code; and, to the bast of its knowledge is fully complying with the earnings assignment orders of all employees and is providing the names of all new employees to the New Employee Registry maintained by the California Employment Development Department (EDD). S. SUBRF,.CIPIRNT agrees to comply with all applicable provisions of the Act, and all applicable federal regulations, including, but not limited to, the Code of Federal Regulations, Subtitle A —Office of Management and Budget Guidance for Grants and Agreements, as well as all applicable state and local regulations. T. SUBRFCIPIENT agrees to rernain in compliance with the Certification Regarding Debarment O'Exhibit F"), as required by the regulations implementing Executive Order 12549, Debarment and Suspension, (2 CFR Part ISO), U. SUBRECIPIENT agrees to provide priority of services for veterans and eligible spouses pursuant to 20 CFR Part 1010, and the regulations implementing priority of service for veterans and eligible spouses in Department of Labor job training programs under the Jobs for Veterans Act published at 73 Fed.Reg. 78132 on December 19, 2008. V. SUBRECIPIENT acknowledges that the otlicial name for the statewide system of providing employment and training through the WIOA partnerships and various other local programs i5 "America's Job Center'. To achieve the goals of this grant, it is important that the public has a quick and easy method to identify that the projects or pmgrains they are taking part in are part of the "America's Job Center". SUBRECIPIENT aerccs to place the America's Job Center logo, in accordance with the State of California guidelines for such nse, on all public materials, such as Statements, press relemes, brochures. advei"tisetuentS, reports and other documents describing projects or programs funded in whole or in part with W10A fiords. Mien the America's Job Center logo is used, SU13RECIPIENT may accompany it with the following statement, `The (Progam Name) is a proud partner o f the America's Job Center network". SUBRECIPIENT shall not use the America's Job Center logo in any manner that would imply that the State of California endorses a commercial product, service or activity. 11. CITY'S OBLIGATIONS A. On April 24, 2019, the CITY was awarded a Department of Labor Workforce Innovation and Opportunity Act youth grant of $785,103r00 for fiscal year 2019-2020. CITY agrees to pay to SUBRECIPIENT when, if and to the extent federal funds are received under the provisions of the Act a sum not to exceed 8199,770.00 for SUBRECIPIE,NT'S performance in accordance with the Budget attached hereto as "Exhibit G" and incorporated herein by reference, during the period of this Agreement. Said stun shall be paid after CITY receives invoices submitted by SUBRECIPIENT as provided hereinabove. 2 5A-1 0 Pape 5 of 17 EXHIBIT 1 B. Pursuant to 2 CFR §200.331(a)(4), the Indirect Cost Rate for the SUBRF,CIPIENT's award shall be an approved 'federally recognized indirect cost rate negotiated between the ST.7FRECIPIENT and the Federal government, or, if no such rate exists, either a rate negotiated between the CITY and the SUBRECIPIENT, or a do minimis indirect cost rate as defined in 2 CFR §200.414(b) Indirect (F&A) costs, C. SUBRECIPIENT has the ability to adjust line item amounts in the budget with the approval of the Executive Director, so long as the total Budget amount does not increuse. D. CITY agrees to p -ovide for ou-site monitoring I'MiCws of said progiraut operation at least annually. In addition, monthly desk -top reviews of pertinent information will be conducted. E. CITY has the tight to de -obligate the funds hereunder, and tape such funding back from SUBRBCIFIENT, due to any of the following reasons: (a) lack of performance by SUBRECIPIEIiT; (b) tack of fiscal accountability of. SUBRECIPIENT; or (c) decrease in available funding, III. TERM OF AGREK-NIENT A. This Agreement shall commence on Tidy 1, 2019, and all duties arising under this Agreement shall have been performed by June 30, 2020. The Term of this Agreement may be extended by a waiting executed by the City Manager and the City Attorney. Si:BUCIPIENT acknowledges and agrees that it must provide follow-up services for. one (1) vcar after the Term, whether funded or not. B. STJBRECIPIPNT agrees to comply with the closeout procedures detailed in 2 C-FR §200.343, including the follounng: 1. SUBRECIPIENT must submit; no later than ninety (90) calendar days after the end date of the period oCperfonnance., all Enancial, performance, and other reports as required by the terms and conditions of the Federal award; 2. Unless the CITY authorizes an extension, SLBRECTPTENT must liquidate all obligations incurred under the Federal award not later than ninety (90) calendar days after the end date of the period of performance as specified in the terms and conditions of the Federal award; 3, SUBRECIPMNT must promptly refund anybalances ofunobligated cash that the CITY paid in advance or paid and that is not uuthorized to be retained by SUBRECIPIENT for use in other projects (See ONM Circular A-129 and 2 CFR §200.345); 4. SUBRECTPIENT must account for any real and personal property acquired with Federal funds or received from the Federal government in accordance with 2 CFR §§200.310-200.316 and 200.329; and, 2 5A-11 Page 6 of 17 EXHIBIT 1 5. The CITY should complete all closeout actions for the Federal award no later than one year after receipt and acceptance of all required final reports, IV. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional ma:zner in which Consultant perionns the services which ure. the subject matter of this Agreement; however, the services to be provided by Consultant shall he provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries find wages, employer's social security taxes, unemployment insurance and similar taxes relating to employeeg and shall be responsible for all applicable withholding taxes. V. WORKER'S COMPENSATION AND EMPLOYER'S RIGIITS A. SUBRECTPIENI' shrill use appropriate funds received from CITY to provide workers' compensation to all those hired by SUBRF..C.II'IENT under this Agreement. B. S1:7BRECT EINT shall have the right to hire, dismiss, or promote its employees or contract personncl hired under this A2reorient so long as its luring or dismissal policy or standard does not violate Title VII of the Civil Rights Act of 1964, Fair Labor Standards Act of 1918, or any other applicable law, and SUBR:ECIPIENT maintains itself as an Equal Opportunity employer. VI. APPLICABLE GUIDELINES A. The parties hereto agree that SUBRF..CIPIENt shall comply with all applicable federal and state laws and regulations, including, but not limited to the Performance Indicators (Exhibit D) and general program requirements described in Sections 2 and 116 of the Act, and applicable regndations, and the U.S. Department of Labor guidelines and regulations, including amendments or revisions made during the terns of this Agreement. Said applicable laws are hereby incorporated by reference and made part of this Agreement as though frilly set forth herein. B. SUBRECIPIENI' also assures and certifies that: 1. SGBRECIPIENT acknowledges and confirms that the U.S. Department of Labor has established six (6) performance indicators for youth: (a) Percent of Participants who are in education -''training activities, or in unsubsidized employment during the 21 quarter after exit; (b) Percent of Participants who are in education/training, or in unsubsidimol employment during the 4`h quarter after exit; (c) the median earnings of Participants in umabsidixed employment during the 2"' quarter after exit: (d) Percent of Participants who obtain recognized postsecondary credential or secondary diploma during participation or within 1 year after exit: (e) Percent of Participants who, during the program, are in education or training that leads to a recognized postsecondary czedential or wxtployment and who are achieving measurable skill gains; and, (t) effective in serving employers, 2 5A-1 2 Page 7 of t? EXHIBIT 1 SUBRECIPIEN'T agrees to implement and shall meet any udditional performance indicators that may be subsequently required by the Workforce, Innovation and Opportunity Act or by any other Federal, State, and local law. 2. SI:BRECiPIFNT shall comply with Title VII of the Civil Rights Act of 1964 (F.L. 83-354) and in accordance with Title VT[ of'the Act, requiring that no person Shull, oil the grounds of race, color, religion, sex, ago, handicap or national origin be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under this Agreement. 3. SUBRFC2IF,NT shall comply with any and all fbderal luws limiting the political activity of employees hired under this Agreement. 4. SUBRECIPIENT shall comply virith the requirements that no program under the Act shall involve political activities. 5. RECORD NSPECTTON, SUBRECiP1ENT shall provide the U.S. Department of Labor and the Controller General, by and through any authorized representative, as well as the WTB Administrative Office, access to and the right to examine all records, books, papers or documents relating to the accounting and use of funds under this Agreement for a three-year period from and after the effective date of this Agreement. 6. No person with responsibilities in the operation of any program under the Act shall discriminate with respect to any program participant or any application far participation in such program because of race, creed, color, national origin, sex, political affiliation or beliefs. 7. SUBREC2TENT shall maintain appropriate standards for health and safety in work and training situations. 8. SUBRECIPiENT shall comply with general provisions, assurances, and execute the Assurances and Certifications attaclred hereto as "Exhibit EU and incorporated herein. 9. EQUAL OPPORTUNITY. Any literature distributed by SUBRECiPIENT Cor the purpose of apprising businesses, Participants, or the general public of its programs under this Agreement shall state that its progrunts are supported by the City of Santa Ana and the Santa Ana Workforce Investment Board, and shall state that the program is an "equal opportunity employer. program" and that "auxiliary aids and services are available upon request to individuals with disabilities." 10. Based on the population eligible to be served, or likely to be directly affected by the WTOA program or activity, the services or information may need to be provided in a language other than English in order to allow such population to be effectively informed about or able to participate in the program or activity. Pursuant to 29 CFR 37.35, SUBRECiPTENT must take reasonable steps to provide services and information in appropriate languages after considering the scope of the program or activity, and the size and concentration of the population that needs services or information in a language other than English, 11. SUBRECIMENl' certifies that all property, finished or unfinished documents, data, studies and reporLs prepared or pruchused under this Agreement, will be disposed of 25A-13 YuaeSof 17 EXHIBIT 1 in awordance with the direction of the CITY. in addition, any tools and/or equipment furnished to the SUBRECiPiENT by the CITY and/or purchased by the SUBRECIPIENT with funds pursuant to this Agreement, will be limited to use within the activities outinied in this agreement and mrill remain the property of the United States Goverment an&or CITY. Upon termhuttion of this Agreement, SUBRECIPIENT will immediately return such tools and/or equipment to the CITY or dispose of them in accordance with file direction of tine CITY. 12, SUBRFiCIPIENT certifies that this Agreement does not provide for the advancement or aid to any religious sect, cburch or creed, or secharian purpose, nor does it help to support or sustain any school, coilcgc, university, hospital or other institution controlled by any religious creed, church, or sectarian denomination, as specified by Article XVI, Section 5, of the Constitution of the State of California, regarding separation of church and state. 13. PATENT, COPYRIGHTS AND RIGHTS IN DATA. The SUBRECIPIENT will disclose to the CITY any invention, written product, or computer program developed, or data assembled, as a result of performanco of work under this Agreement, within seventy-four (74) days oC invention, development or assembly. The CITY, State of California, and U.S. Department of Labor will have the right to patent any invention and copyaight any written product or computer program or data generated by KBRECIPIENT. Upon «rcitten request, SUBRECIPIENT will transfer all pertinent infbimation, specifications and right, title and interest to the designated agency. 14, IWEIvT1U_NS, PATBNTS AND COPYRIGHTS. A. Reporting Procedure. If any project produces patentable items, patent rights, processes, or inventions in the course of work under a i=,S. Department of Labor (DOL) grant or agreement, the SUBRECIPIENT shall report the fact promptly and fully to the CiTY. The CITY shall report the fact to the Grant Offileer, at the DOL. Unless there is a prior agreement bctwcon the CTT'Y and the DOL and its representative on these matters, the DOL shall determine whether to seek protection on the invention or discovery, The DOL and its representative shall detennine how the rightsin the invention or discovery, including; rights under any patent issued thereon, will he allouutecl and administered in order to protect the public interest consistent Nvith the "Governmental Patent Policy" (President's Memorandum for Heads of Executive Departments and Agencies, August 23, 1971, and Statement of Government Patent Policy as printed in 36 FR 16889), B. Copyright Polley. 1. Unless otherwise provided in the terms of the grant or agreement, when copyright - able material is developed in the course of or under a D.OL Grant or agreement, the author rid the CITY which developed the work is free to copyright material or to permit others to do so. The SUBI ECIPIENT and the Workforce Development Board (WDB) shall have a royalty -free, nonexclusive and irrevocable license to reproduce, publish, use and to authorize others to use all copyrighted material. 2. The DOL reserves a royalty -free, nonexclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for Federal Government purposes: (a) The copyright in any work developed under any grant, sub -Want, or contract under a grant or subgrant; (b) Any right of copyright to which a grantee, subgpantee or a SUBRECIPILNT purchases 25A-14 Y°e` 9 of EXHIBIT 1 ownership with grant support; and, (c) SUBRECIPIENT shall comply with the requirements of 29 CFR Part 97.34, C. Rights to Data. The DOL and the CITY shall have unlimited tights to any data first procured or delivered tender this Agreement. 15. CLEAN AIR / CLEAN WATER ACT. If the grant hereunder exceeds $100,000, S1 IIRE.CIPIF.NT trust comply with Section 306 of the Clean Air Act [(42 USC 1875(b)]; Section 508 of the Clean Water Act (33 USC 1368); Executive Order 11738 and Environmental Protection Agency ("EPA") regulations (40 CFR Part 35) as any may now exist or be hereafter amended. tinder these laws and regulations, the SUBRECIPMNT assures that: (a) No facility to be utilized in the perfbimunce of the proposed Want has been listed on the EPA List Of Violating Facilities; (b) It will notify CITY prior to award of the receipt of any communication from the Director, Office of Federal Activities, U.S. EPA, indicating that a facility to be Utilized for the grant is under consideration to be listed on the EPA List of Violating Facilities; and, (e) It will notify the CTfY and the EPA about any known violation of the above laws and regulations. 16. SUBRF.CIP NL T agrees tc adhere to the following STANDARDS OF CONDUCT: a. General Assurunce. Everyrew3onable course of action will be taken by SUBRF.CiPTF,NT in order to maintain the integrity of this expendinire of public funds and to avoid favoritism. This Agreement will be administered in an impartial manner, free from errors to gain personal, financial, political gain. SUBRECIPIEN'T, its officers and employees, in administering this Agreement, will avoid situations which give rise to a suggestion that any decision was influenced by prejudice, bias, special interest or desire for personal gain. b. Employment of Former State or CITY Employees. SCIBRECIPIFN will ensure that any of its employees who were formerly employed by the State of California Or CiTY, in a position that could have enabled such individuals to impact policy regarding or implementation of programs covered by this Agreement, will not be assigned to any part or phase of the activities conducted pursuant to this Agreement for a period of not less than two (2) years following the termination of such employment. c. Conducting Business lnvohing Relatives. No relative by blood, adoption or marriage of any executive or employee of SUBRECIPIENT will receive favorable treatment when considered for enrollment in programs provided by, or employment with, SUBRF.CIPIENT, d. Conducting Business lnvohnne Close Personal mends and Associates. Executives and employees of SUBRECIPIENT will be particularly aware of the varying degrees of influence thut can be exerted by personal friends and associates and, in administering this Agreement, will exercise due diligence to avoid situations which give rise to an assertion that favorable treatment is being granted to friends and associates. When it is in the public interest for SUBRECIPIENT to conduct business with 25A-15 Pap 10 of) "I EXHIBIT 1 a friend or associate of an executive or employee of SUBRECIPfENT, tin elected official in the area or a voting or non -voting member of the Workforce Investment Board (WIB), a permanent record of the transaction will be retained. e. Avoidance of Conflict of hiconamic Interest. No executive of employee of SUBRECIPIENT elected official inthe area, or voting; or non -voting member of a WDB, will solicitor accept money or any other consideration Crom a third person, for the performance of an act reimbursed in whole or part by SUBRECIPIENT or CITY, Supplies, materials, equipment or services purchased with Agreement finds will be used solely for purposes assetted or allowed under this Agreement. No voting member of the WDB will cast a vote on the provision oC services or vote on any matter which would prordde direct iivancial benefit to that member or any business or organization which the member directly represents, f. Sagan• and Bonus Limitations. All Subrecipients of WIOA program funds are required to cornply Mth federal requirements regarding the limitations on salary and bonus payments in accordance with Public Law 109-149. Section 7013. ViI. HOLD HARMLESS A. SUBRECIPIENT shall indemnfify and save hannless CITY, its officers, agents and employees, from and against any and all damages to property or injuries to or death of any person or persons, including property and employees or agents of CITY, and shall defend, indemnify and save harmless CITY, its officers; agents and employees, Cron any and ail claims, demands, suits, actions or proceedings of any kind or mature, including, but not by way of limitation, workers' compensation claims, resulting fmm or arising out of the negligent acts, errors or emission of SUBRECIPIENT. its employees or subcontractors. B. SUBRECIPIENT shall hulernnify and save hannlcss CITY; its officers, agents and employees; from and against any and all damages to property or injuries to or death of any person or persons, including property and employees or agents of CITY, Enid shall defend, indemnify and save harmless CiTY, its officers, agents and employees, from and against any and all claims, demands, suits, actions or proceedings therefore, resulting from or arising out of the intentional or malicious acts of SUBRECIPIENT, its cniployces or subcontractors. Vill. INSURANCE 1. Commercial General Liability. SU13RECIPiENT agrees to obtain and keep in force during the teen of this Agreement a policy of comprehensive commercial general liability insurance insuring the State of Califonnia, CITY, and SUBRECIPIENT against any liability for accident, injury or death arising out of or in consequence of this Agreement. Such insurance shall be in an amount not less than One Million Dollars ($1,000,000.00) for any injury to or death of any person or persons in any single accident or occurrence, with $2,000,000 in the aggregate coverage. Said policy of comprehensive general liability insurance shall be endorsed to provide to CITY and to the State of California, Employment Development Department, at least thirty (30) days written notice prior to cancellation; name MY, its officers, agents, employees, and volunteers, and the Slate of California, its officers; empfoyccs, and volrnrteers as Additional Insured; and state that such coverage is primary to 2 5A-16 Page 11 of 17 EXHIBIT 1 any other coverage or self-insurance of the State of California and CITY (in substantially the form as Exhibit I , Additional Insured Endorsement, attached hereto). Governmental entities may substitute a uettificate of self-insurance. 2. Automobile Liability Coverage;, SUBRECIPIENT shall also obtain and maintain, during the effective period Of this Agreement, broad form automobile liability coverage with at least $1,000,000 limit unless reduced by CITY, which applies to both Dwned/leased and non -owned automobiles used by SUBRECIPIENT employees or Participants in perfbrntance of this Agreement; or, in the event that CITY will not utilize such owned/leased automobiles but intends to require employees; Participants or other agents to utilize their own automobiles in the performance of this Agreement; SUBRECTMENT sliall secure and maintain on file from all such employees, Participants, or agents as self -certification of automobile insurance coverage. Governmental entities may substitute a certificate of self-insurance. . 3. Workers' Compensation. If SUBRECIPIENT is an "employer", as set forth in California Labor Code Section 3300 et seq., or utilizes Participants as `'employees;" as set forth in California Labor Code Section 3330 et seq., SUBRECIPIENT shall obtain and keep in force during the term of this Agreement full Workers' Compensation insurance coverage for injuries suffered by Participants. Said insurance policy shall guarantee CITY at least thirty (30) days rRTitlen notice of cancellation or modification. SUBRECIPTENT shall carry medical and accident insurance for those Participants not qualifying as "employees" for Worker's Compensation Coverage, pursuant to California Labor Code Section 3350, et seq. 4. Equipment Coverage. SUBRECIPTENT shall purchase. a policy or policies of insurance covering loss or damage to any and all Equipment provided to Or purchased by SUBRECIPIENT in accordance with this Agreement. Said insurance shall be in the amount of the full replacement value thereof. protiriding protection against the classification of fire, extended coverage, vandalism, malicious mischief, theft, and special extended perils. Govemnental entities may substitute a certificate of sel f-insurance. 5. Youth Protection. To maintain a safe envirctnuent, funded youth providers that scree youth under the age of 18 will need to provide a Youth Protection Policy and proof of Sexual Abuse & Molestation insurance coverage of at least $2,000,000. Youth providers will be held responsible for conducting a background clearance (live -scan) for staff that have direct interaction with youth Participants that are under the age of IS. G. Proof of Insurance, Certificates and endorsements must be submitted and approved by CITY prior to any work under this Agreement. SUBRECIPIF..NT understands that CITY will make no payments under this Agreement until the required certificates acid endorsements have been approved by CITY. IX. CORPORATESTATUS All corporate SUBRECIP1ENTs shall be in good standing, without suspension by the California Smi-etary of State, Franchise Tax Board or Internal Revenue Service. Any change in corporate status or suspension shall be reported itmnediately to CITY. 25A-17 Page 12 of 17 EXHIBIT 1 X. ASSIGNABILITY None of the duties of, or work to be performed by, SUBRECIPIENT under this Agreement shall be subcontracted or assigned to any agency, consultant, or person without the prior written consent of CITY. SUBRECIPIENT must submit all subcontracts and other agreements that relate to this Agreement to CITY. SUBRECIPIENT acknowledges and agrees [hat it must ibllow- procurement regulations for SUBRECIPIENfs (2 CPR §200.317). No subcontract or assigiment shall terminate or alter the legal obligations of SL-BRECIPIENI' pursuant to this Agreement. XI. LAWS COVERIiING THIS AGREE3 ENT In its perioimance under this Agreement, SUBRECIPIENT shall 'fidly comply with the requirements o f the following, whether or not otherwise referred to in this Agreement: 1. The Act and all applicable federal statutes, regulations, policies, procedures acid directives, including but not Ihnited to, 2 CTR 200 and 20 CFR. Parts 651 and 654 2. All applicable State statutes, regulations, policies, procedures and directives; 3. All applicable CITY policies, procedures and directives; 4. All applicable local ordinances and requirements, including use pennits and licensing; 5. Court orders applicable to its operation; and, 6. The terms and conditions of this Agreement. If any of the foregoing is enactod, amended, or revised, SUBRECIPIENT will comply with such or will notify CITY after enactment or modification that it cannot so comply. CITY may thereupon terminate this Agreement, if newssary. MI. EXCLUSIVITY AND ANTENDIKENT OF e1GREENIkNT '!'his Agreement supersedes any and all other agreements, either oral or in writing: between the patties hereto with respect to the employment of SUBRECIPIENT by CITY, and contains all the covenants and agreements between the patties with respect to such employment. Each party to this Agreement acknowledges that no representations, inducements; promises or agreements; orally or otherwise, have been made by any parry, or anyone acting on behalf of any party, which are not embodied herein, and that no other agreement or amendment hereto shall be effective unless executed in �rriting and signed by both CITY and SUBRECIPIENT. 2 5A-1 8 Page 13 of 17 EXHIBIT 1 XUL FRAUD SUBR2CIPIENT shall immediately report to CITY all instances and facts concerning possible fraud, abuse or criminal activity relating to expenditure or receipt of finds tinder this Agreement. X111. CONTINGENCY OF FUNDS SUBRECIPIENT acknowledges that approval of and -liaxding for this Agreement is contingent upon Stale approval, and funds received or obligated from the State of Califomia to CITY, if such approval of finds is not fertheoming, or is otherwise limited, CITY' shall immediately notify SUBRECIPIENT. Within twenty (20) days of receipt of such notice, SUBRECIYIENI' shall modify or cease operations as directed by CITY and negotiate necessary modification to this Ag<eetnent andlor reimbursement of costs incurred hereunder. XV. TER AINATION A. This Agreement maybe terminated by either party at its sole discretion, upon thirty (30) days written notice to the other party. Notice shall be deemed served on the date of mailing, However, SUBRECIPIENT may not terminate this Agreement if undue hardship \01 result to any participant. B. In the event SUBRECRIIEN1 defaults by failing to fulfill all. or any of its obligations hereunder, CTT'Y may declare a default upd terznination of this Agreement by written notice to SUBRECIPIIENT, which default and termination shall be effective on a date stated in the notice which is to be not less than ten (10) days after eortifred mailing or personal service of such notice, unless such default is cured before the effective date of termination stated in such notice. U terminated for cause, CITY shall be relieved of further liability or reslmnsibility under this Agreement, or as a result of the termination thereof, including the payment of money, except for payment for approved expenses incurred for services satisfactorily and timely performed prior to the smiling or service of the notice of termination, and except for reimbunsernent of (1) any payments made for services not subsequently performed in a timely and satisfactory manner, and (2) costs incurred by CTTY in obtaining substitute performance. XVi. DISPUTES Except as otherwise provided in this Agreement, any dispute concerning any question uriging under this Agreement shall be decided by CITY. In such a case CITY shall reduce its decision to writing and mail or otherwise furnish a copy thereof to SUBRECIPIENT. The decision of the City shall be final and conclusive unless within thirty (30) calendar days from the mailing or delivery of such copy, CITY receives from SUBRECIPIENT written request to appeal said decision. Procedures governing the appeal shall be prescribed by CITY andlor the State of California in accordance with the Act and all corresponding regulations and OMB circulars. Pending final disposition of the appeal, SUBRECIPIENT shall act in accordance with CrTY's decision unless the dispute involves a change order. 25A-19 Page 14 of 7 EXHIBIT 1 XVII. BREACH - SANCTIONS If, tlnmugh any cause, SUBRECIPa 1' violates any of the terns and conditions of this Agreement, and/or prior agreements whereby grant funds were received by SUBREC1P1ENT pursuant to this Agreement, or if SUBBREC[P1E.NT reports inaccurately or if any Audit Report makes disallowmices, ST BRECPIENT shall promptly remedy its acts or omissions and/or repay C= all amounts due CITY as a result of SUBICEC1PMNT's violation. For any such failures or violations, CITY shall also have the right at its sole discretion to either: (1) discontinue program supporruntil such time as SUBRECIPTENT fulfills its obligations or remedies all violations of this Agreement or prior agreements; and/or (2) collect outstanding almouuts as determined by CITY due C£1'Y by offsetting or debiting from current claims or invoices, if after thirty (30) Jays' written notice SUBRRCIPIEKT bm failed to repay same or a repayment schedule has not been made, undlor (3) terminate this Agreement by giving written notice to SUBRECIPIENT of such termination in accordance the notice provision in Paragraph XVIII herein below. XVIII. NOTICES All notices, reports and correspondence between the parties hereto respecting this Agreement shall be in writing and deposited in the United States Mail, postage prepaid, addressed as follows: CITY; City of Santa Ana Manager, WDB Administrative Office P.O. Box 1.988 (M-76) Santa Ana, CA 92702 CLERK: Clerk of The City Council City of Santa Ana 20 Civic Center Plaza (N1-30) P.O. Box 1988 Santa Ana, CA 92702- [ 988 Telefacsimilc (714) 647-6956 SUBRECIPIENT: Orange County Therapeutic Art Center 2215 N. Broadway, Santa Ana, CA 92706 Phone: (714) 547-5468 Fax: (714)564-6990 XIX. MERGER This Agreement, together with the attachments hereto, expresses the total understanding of the parties. There are no oral understandings of the parties or terms and conditions other tban as stated herein. 25A-20 Page 15 of17 EXHIBIT 1 XK VALII)Tn' The invalidity in whole or in part of any provision of this Agreement Shall not void or affect the validity of any other provision of this Agreement. XXi. -MISCELLANEOUS PROVISIOM1S a. Each undersigned represents and warrants that its signature haminbelow has the pourer, uuthority and tight to bind their respective parties to each of the terms of this Agrecunent, and shall indemnify C1TY fully, including reasonable costs and attorney's fees, for any injuries or damages to CITY in the evert that such authority or power is not, in fact_ held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. (Signatures on following page) 2 5A-21 Page 16 of 17 EXHIBIT 1 IN WITNESS WHEREOF, the parties hereto have exeej> cd this Agreement the date and year first above- writlen. A'ITTS'I': Norma Mitre Actnig Clerk of the Cotmcil APPROVED AS TO FORM: Sonia R. Carva io City Altomey By: I ' n O. odge Assistant City Attorney RECOMMENDED FORAPPROVAL: Steven A. Mendoza Exectrtivc Director Conummity Development Agency "CITY" am Kristine. Ridge C.ity:Manager "SUBRECIPIEVT" By: — Natrtc: Dr, Ana Jimene Hatni�— Title: Executive Director Tax ID th ,,J3-0930891 25A-22 Page 1701*17 EXHIBIT 1 2019-20 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal 1. Experience/Qualifications (1 page max): A. Agency description -The Orange County Children's Therapeutic Arts Center (OCCTAC) has been in operation for 19 years in the City of Santa Ana, our agency has grown significantly throughout the years, and established strong community partnerships, such as the City of Santa Ana, the Santa Ana Unified School District, the Santa Ana College, the County of Orange, and others. OCCTAC has served over 20,000 youth since the year 2000, rising from 100 students in its first year to more than 6000 youth each yearl OCCTAC prioritizes on serving at -risk youth, foster youth, high school dropout students, homeless youth and youth with disabilities. Our programs integrate youth with and without disabilities in a nurturing, community -based environment, which teaches respect, disability awareness, and full inclusion. B. List the facility address and major cross streets. OCCTAC is located at 2215 N Broadway, Santa Ana, CA. 92706. Our major cross streets are North Broadway and Buffalo. C. Indicate hours of operation for facility - OCCTAC is opened 6 days per week (Monday — Saturday), from 8:30am until 8:00 pm, but closed on Sundays, D. Briefly indicate what makes your facility youth friendly and suitable for the proposed program. OCCTAC is strategically located close to bus terminals for the convenience of the youth; and our facility is compliant with all ADA guidelines and regulations. Our facility, location, hours of operations, and wide variety of programs makes our facility youth friendly and suitable for the proposed WIOA program. E. Provide brief Information on the following elements: 11, Average annual operating budget and sources of revenue - The average annual operating budget for the OC(—IAC is approximately $1,200,000. occrAC's sources of revenue come from a variety of sources, including the Santa Ana Unified School District, the County of Orange, other grants, fee for service, private donations, public donations, and fundralsing. 2. Brief description of staff - OCCTAC is staffed by highly qualified bilingual staff, including: credentlaled teachers, artists, therapists, case managers, counselors, and others. The WIOA Program will be staffed by a full time Case Manager, a Job Developer, a Career Counselor, an Arts/Technology Mentor and a Literacy/Math Tutor. 3. Past experience with WIOA programs or other youth programs - OCCTAC has been serving the Santa Ana youth for19 years; and we have operated W10A progromssince the. yeor2oos! Every year our Youth Employment program grows and demonstrates positive outcomes with the participants. We are very proud of our accomplishments throughout the years! 4. What (rind of impact has your organization made on the youth community - OCCTAC has had a tremendous impact on the Santa Ana youth community. We are very proud of our accomplishments throughout the years. OCCTAC's innovative approach, which combines the arts, education, health and technology programs, provides youth a variety of programs they can engage in. Furthermore, our WIOA program participants always have successful outcomes. In 2017-18, our WIOA participants attained employment/entered education at a rate of 89 %. attained a credential at a rate of 89 %, and attained Literacy and Numeracy gains a rate of 79%. These outcomes demonstrate the commitment and dedication of our wonderful WIOA program staff. 1 25A-23 EXHIBIT 1 2019-20 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal zl Prop osed Program: U image max) A. Provide an overview of the program's main objectives. The WIOA program at OCCTAC is an extension of our current educational services provided to older youth to empower and provide life -changing opportunities for all youth, OCCTAC has been working with WIOA participants since 2005. The program will continue to provide 13 out of 14 WIOA elements: educational services, job training, paid work experience, adult mentoring, literacy & math tutoring, career & educational counseling, occupational skills training and education, supportive services, certificate programs, leadership opportunities, comprehensive counseling, financial literacy, entrepreneurial skills training, labor market information, and activities to help youth prepare for post -secondary education and follow-up services. OCCTAC staff will refer participants to alternative secondary school services with College and Career Preparatory Academy (CCPA) or Santa Ana College School of Continuing Education. The program will take place primarily at our community -based center In Santa Ana. Participants will engage in a variety of educational and job training activities, including classroom and workshop instruction. All participants will be required to meet Individually with key staff, participate in daily and weekly educational trainings, and weekly workshops. In addition, WIOA participants will also engage in weekly "hands-on" work experience and job training opportunities at our agency and other offsite job trainings in the community, Please see below Table 1 for an overview of the program timeline for the entire year. TABLE 1.— Program Timeline Program Time iiie Month 1-2 Ob'ectives: Program Overview, Assessments, Participant Goals Months 3-8 Objectives: Educational Guidance, Tutoring, Vocational Training, Job Training, Workshops & Work Experience -- Ob ectives: Employability/Job Skills & Job Search 2019 — June 30, 2D20 vb.olllev 41YIYICiV 11Q1111_I.Fj. - • Orientation of program and services with Case Manager • Employability/Job skills assessment with Case manager • Basic Skills/Academic levels assessment with Literacy and Numeracy tutor • Career Interest assessment and survey with Career Counselor • Determine Employment and Academic goals • Initiate bi-monthly meetings with Case Manager to discuss goals and service needs of participants • initiate paid work experience • Initiate weekly Leadership/Jab/Life skills workshops • Initiate weekly tutoring of Literacy and/or Numeracy skills • Continue bi-monthly meetings with Case Manager to discuss progress • Continue monthly meetings with Career Counselor for academic guidance • Continue monthly support group with other WICA participants and staff • Continue bi-monthly meetings with case manager to discuss program goals, and for intense employs bility skills and job search training • Continue tutoring, if necessary • Coritlnue monthly life skills training • Continue weekly workshops with WIOA participants and staff B. Please see below In sections 3 —17 a full description of the program. 25A-24 EXHIBIT 1 2019-20 Orange County Children's Therapeutic Arts Center Youth Employment Program - kAJIOA Proposal 3. Population (2 pages max): A. Describe the total number of youth that will be served by this grant. -The WIOA program at OCCTAC will serve a total of 20 WIOA participants. The program will serve 16 out of school youth (ages 16-24) and 41n-school youth {ages 16--21) for a total of 20youth. B. Describe the age range of the youth that will he served —The WIOA program will serve participants as young as 14 and as old as 24 years of age. C. Describe minimum requirements that youth need to have in order to be enrolled into your program. Aside from the basic WIOA requirements of being a Santa Ana Resident (16--24 yrs.), and having a right to work documentation, our participants have to complete the following: 1) complete a background check, 2) obtain a negative TB test, and 3) attend a mandatory orientation session before completing the eligibility documentation. D. Special consideration for organizations that can serve the following youth populations: (80% of Out -of -School youth (required); 10% of youth with disabilities; 10% of foster/emancipated youth; 10% homeless youth and 1046 of youth on probation). See below Table 2 for past Enrollment Numbers and percentages. Table 2- Percentages of Youth Population -served at 6=17. •;.v=.;_,,�D7;16 75% 25% 15% OCCTAC 80% .21�.�' 82% �•...: '�?....:v. .jiul' i ::'•, out of School Youth Youth with Disabilities Foster Youth High School Dropouts 75% 25% 15% _ 50% 52% 5% 0% 159n _ 30% 20% 9% Youth on Probation 5% 0% 0% 0% Homeless Youth 596 5% 1096 4% As seen on Table 2 above, OCCTAC has exceeded the minimum percentage required by this grant in most youth populations/categories, except for foster youth and youth on probation. Therefore, this year we will expand our network and community partnerships to ensure the minimum of 10% for these target populations, and establish new partnerships. One new potential partner is Project Kinship, who serves youth on probation and is located in the same facility wh ere OCCTAC is located! We have had some preliminary conversations on the possibility of getting referrals from them. Furthermore, OCCTAC's ED has scheduled a meeting in February with key staff at the County of Orange, Social Services to discuss the need for more foster youth referrals to our agency. see letter of support from the County, SS - Attachment C. E. Specify how the targeted youth populations (out -of -school, youth with disabilities, foster/emancipated, probation, homeless) will be recruited. OCCTAC has excellent community partnerships that will help us fulfill our enrollment goals and targeted youth populations. See below a summary of youth populations and partners. 25A-25 EXHIBIT 1 20-19-20 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal 1. Youth with Disabilities: OCCTAC has had a strong partnership with the Santa Ana Unified School District, Transition Partnership Program (TPP) during the past 12 years, in order to serve youth with disabilities. As seen in Table 2, OCCTAC has exceeded the 10% minimum and last year served 50% of youth with disabilit!esl We are grateful to our key community partnerSAUSD TPP program staff for all of their referrals and support! 2. Poster/Emancipated Youth: OCCTAC will continue to collaborate with the County of Orange, Social Services, to continue to serve foster/emancipated youth. OCCTAC has been a partner with the County since 2007, We are looking forward to strengthening this partnership and serve more foster/emancipated youth in Orange County this year! I. Youth on Probation: As stated previously, OCCTAC has been in preliminary conversations with the ED at Project Kinship (Steven Kim) on the possibility of collaborating and getting referrals from their program for our WIOA program. Project Kinship recently moved their operations to the same building (2215 N, Broadway — second floor) where OCCTAC agency Is locatedl The mission of Project Kinship is to provide support and training to lives impacted by incarceration, gangs, and violence through hope, healing, and transformation. 4. Homeless Youth: OCCTAC is very excited to collaborate this year with the WISEPIace, an organization that focuses primarily on serving homeless women (youth and adults). WISEPIace will continue to refer homeless youth to OCCTAC's Youth Employment Program, as well refer adults to the various Santa Ana College certificate programs available at OCCTAC. We are very excited aboutthis new community partnershipl In addition to our excellent community partnerships, OCCTAC will continue to conduct community outreach and special communityevents throughoutthe yearto promote our programs and inform the youth in the Santa Ana community aboutthis wonderful WiOA program, See Table 3 for mare information. F. Include a Letter(s) of Support from organizations that have agreed to refer youth to your program as Attachment C. — See attached the following letters from our community partners: 1) Santa Ana Unified School District, TPP —Youth with Disabilities; 2) County of orange, Social Services —Foster Youth; 3) WISEPIace — Homeless Youth;4) Santa Ana College — All Referrals and Services. G. Describe your recruitment plan that will fulfill the requirement of enrolling 100% of youth by the 211d quarter of the program (December 31, 2019). In addition to referrals from our Ivey community partners, we have established a timeline that will help us with our Community Outreach and Recruitment plan in the City of Santa Ana. Please see below Table 3 which summarizes our recruitment plan to ensure 100%of enrollment of youth by 2nd quarter, El 25A-26 WN111IQI111 1 2019-20 Orange County Children's Therapeutic Arts Center Youth Employment Program • WIOA Proposal Table 3 — Community Recruitment Plan to ensure 100% enrollment of youth by 2nd quarter QIAn May :'JG1,y c' Arigugt ':u ptemhet rt tobe . ,' :°5 : Orientation Last Friday of the Last Friday of the i'Last Fridayof:ie Las: Friday of the L=Fridayol't;1e What is WICIAP month month Month Month Month All High Community school Presentations Classes — targeting Youth with cilsabllilles In SAUSD, TPP, Community Outreach Youth Referrals Contact Youth All High Schocl Target Foster, Classes—target:ng • Homeless& Youth with Probation Youth disabilities in In the community SAUSD, I -PP. (county, SS orangewood, bV'sePlace). Summer Community Fain and Events — Provide Flyers to all community agencies In Santa Ana Inform communi partners that we will start taking re`errals staring that where Interested in VWMA 2018-2019year after lull Summer Cornmurlty Felrs and Events — Provide Flyers to all comrrurlty agencies Sn Santa Set a ppofntmants with all youth referred to program as of July With youth w'h prior interest Target Foster, Target Foster, Homeless & ' Homeless & Probatlon Youth Probation Youth in in the the community community (County, SS (County, SS orangewood, omngawood, Rr1APiace wiseP.a[e}, Atwndall back to Provide Provide school events at information at Information at SAUSD and TPP OCCTAC & SAUSD big community partnership Open Houses & events, such as: toramunity Parent/Teacher "A'ochede everts. conferences a:tares" event & appointments with all youth referred to aptointments with youth wl:h prior altetest Set appo:ntm ants with all youth referred to program Set appointments with youth with prior interest set appointments with all youth referred to program 4. Assessment U pa a max): A. Youth Service Providers are required to use the Test for Adult Basic Education (TABE) assessment tool, but may use other assessment tools upon approval. -- OCCTAC will continue to useTABEtesting with all our WIOA participants. H. Describe how your program will conduct assessments for youth participants, elaborate on the type of assessment tools or surveys that will be used. — At intake, all participants will be given a TAKE test to determine the participant's Educational Functional Level in Literacy and Numeracy. The TAKE test will determine the needs of the participants in both academic areas. Additionally, they will aid in the facilitation of the weekly tutoring sessions, All W10A participants will be assessed after 3 months of tutoring to see their progress in each academic/subject area. If the youth goes up by 2 grade levels or more, the youth can take the final Post Test assessment. All participants will continue with the tutoring sessions if they score under 9.1 level. 1.1 25A-27 EXHIBIT 1 2019-20 Orange County Children's Therapeutic Arts Center Youth Employment Program - WlOA Proposal C. Describe knowledge of the barriers that youth encounter — OCCTAC has served many youth with different barriers in life throughout our 19 years of community service! The majority of the barriers include youth with disabilities, youth with basic skills deficient, English language learners, low-income youth, homeless youth, youth in foster care or emancipated, pregnant or parenting youth, high school dropouts and other barriers. OCCiAC is very committed to serving all youth with these barriers. The follovving numbers represent the youth we served during the 2017-18 program year with different barriers. Out of the 20 youth served, 50 % had a disability, 15 % were Parenting Teens, 20% were HS dropouts, 10 %were homeless youth and 5%were foster youth. Currently, we are serving the following youth with the following barriers during the 2018— 2019 program year: 52% have a disability, 17%are Parenting Teens, 9% are HS dropouts, 4%are homeless youth and are foster youth. D. Specify how your organization will address the barriers that youth encounter - OCCTAC WIOA staff is very dedicated and committed to all the youth that we enroll in our Youth Employment (WIOA) program at OCC"[AC. We have offered this WI OA program for the past 14 years to the Santa Ana youth] Our staff is comprised of a, hardworking group of individuals that are passionate about making a difference in the community, and are prepared to address all of the barriers that youth encounter. Our TEAM of dedicated staff guide and mentorthe youth, and assist them during the entire program year. The team is comprised of a Case manager, a Literacy/Numeracy Tutor, a Career Counselor, a Job Developer and Work Experience mentors that help youth attain their educational and career goals. All of the youth are also required to attend monthly job skills/life skills workshops, focusing anywhere from employment attainment/retention, to how to improve and change their own personal lives, and the community in which they live. In addition, to aid in academic barriers that youth experience, all participants will be assigned to an Educational counselor who will provide direction and coaching on any academic aspect, such as scholarship writing and enrollment into an institution of their interest. This service is crucial for all youth participating in the program because it will allow them to learn about various academic paths, including vocational training, HS recovery programs and 4-year institutions, while narrowing down a career of interest and actually committing to a program. Furthermore, all participants will be provided with psychological counseling (if needed), and other important support services, OCCrA's environment is very nurturing, fun and supportive, and provides youth opportunit!esto maintain a high level of involvement in our programs. WIOA youth are supported emotionally throughout the entire year at OCCTAC, and are provided with a positive and welcoming environment that also encourages youth to partake on various leadership roles within the various programs and activities at our agency. These additional activities provide youth with an opportunity to gain self- P 25A-28 EXHIBIT 1 2019-20 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal confidence, self-esteem and leadership skills, Our goal is'to empoweryouth and provide a life changing opportunity through this WIOA program 5. Paid & Unnpald Work Experience - A. Describe in detail the paid and unpaid work experience opportunities that will be offered to the youth such as, Summer employment, Pre -apprenticeship programs, Internships or job shadowing, and On -the -Job training opportunities. Youth will engage in weekly "hands-on" work experience and job training opportunities at our agency and other Community sites. The following tables (Tables 4, 5 & 6), demonstrate the variety of programs that we offer at OCCTAC and at offsfte work experience locations. WIOA participants can choose from any of these programs/fields to fulfill their career goals and work experience. Please see below Table 4 for an overview of the various "hands-on" job - training programs, mentoring and work experience opportunities at OCCTAC. TABLE 4: Mentoring & lob Training Programs at OCCTAC rea Mflning Job Tale Placement & Educational/Training Work Experience Curriculum Health Case Manager Intern OCCTAC, MECCA and SAC Curriculum &Case CommunitySites 'state[ertlficoteProgram Management Health/ Mental Mental Health IMHi Health (MH) Paraprofessional Child Care Worker State Certificate Office/Reception Customer Service Computers Education Education Arts Education Child Care Worker Assistant Tutor/ Instructional Assistant Teaching Assistant Teaching Assistant Technology Assistant Graphic Artist Audio Engineer Intern Film Production Intern OCCTAC, MECCA and OMID sites Early Start & Pre-I:Inder Arts Program at OCCTAC OCCTAC office & Community sites Learning Academy at OCCTAC & SAUSD After County of Orange, Health Care Agency, MH Paraprofessional Certificate SAC Curriculum 'State Certificate Program SAC curriculum "state Certificate Program OCCTAC & HOST. Curriculum Early Intervention/ First Five Early Child hood Early Start Program at curriculum, High Scope & OCCTAC "Hands on Training" After -School Arts Program at OCCTAC and Engage 360 atvarious SAUSD schools Computers/Nledla LAP, at OCCTAC &Santa Ana Business Owners St. Andrews Church Community Sites CA Performing Arts Standards Curriculum and "Hands-on" Arts Training SAC, Digital Media Center OCCTAC currlculums & "Hands-on" Phoroshop, Animation/ Illustration & Graphic design trainingr Recording Technology Training i Softwares_ Pro -Tools & Sybellius 7 25A-29 EXHIBIT 1 2019-20 Orange County Children's Therapeutic Arts Center Youth Employment program - WICIA Proposal Furthermore, W10A youth will be encouraged to participate in additional programs that we have at our agencyto give youth more opportunities and "hands-on" experience on a variety of fields (health, education, arts and technology), so they can gain as much work experience as possible, TABLE 5: Additional Job Training Programs for WIOA_ youth mentored by NON-W IOA staff ". PROGRAM Early Start Program The Early Start program is and early Intervention program Mondays & Tuesdays that integrates very young children (6 months to 3 years of 8:30 am -11:30 am age) with and without special in a natural community Fridays environment with their parents. It aims at enhancing 8:30Elm -10:30am students' cognitive, language, motor and social development. Pre-ICinder Arts The Pre-Klnder Arts program is a bilingual school readiness Wednesdays & Program program that serves children ages 3.4years old. The Thursdays parents and children work together in a creative and 8:30 am -11:30 am nurturing environment by engaging in music, art, literacy, Fridays anddparenting classes to prepare children for school, 10:30--12:30 pm After School Arts The ASA for Life program provides artistic training in the Monday- Friday Program fields of Must(., Visual Arts, Dance, IMusical Theatre, and 3:30 pm -8:00 pm Technology training to at -risk youth, and children with and Saturdays disabilities in the community. 9:00 am - 4:00 pm Therapeutic Arts This program serves children and youth with disabilities of Monday- Friday i Program all ages and special needs, including: learning disability, 3:30 pm -8:00 pm health impairments, physical disability, developmental Saturdays _ disabilities and others. 9:00 am - 4:00 pm Learning Academy R This program provides homework support and tutoring to _ Monday- Friday Tutoring Program students (ages 5 -16 yrs.) in Language Arts (reading and 4:DD- 8:00 pm writing), math, and other academic subjects. i Saturdays OCCTAC Family Wellness Program Senior socialization Program This program provides outreach, prevention, referrals and engagement with individuals at -risk of mental health problems. Other support services include parenting, counseling, and support groups. 'This program provides early intervention and socialization activities to alder adults at -risk of mental health problems. Services are provided at OCCTAC and various Senior Centers in Santa Ana. Monday - Friday 8:30 am -8:30 pm and weekends Monday -Saturdays 8:00am - 8:00pm B. Special consideration will be given to organizations that can prepare youth for targeted in -demand industries as identified In the OC Regional plan: OCCTAC's Youth employment program prepares youth in 2 targeted in -demand industries identified in the OC Regional plan: 1) Healthcare and 2) Technology. C. Special Consideration for organizatlons that offer job training/preparation In the industries of: Science, Technology, Engineering, the Arts and Math. OCCTAC offers job training and preparation in 3 of the Industries mentioned above: 1) Technology, 2) the Arts and 3) Math. 25A-30 EXHIBIT 1 2019-20 Grange County Ch lid ren's Therapeutic Arts Center Youth Employment Program - * JICIA Proposal D. List some of the employers that will assist In the paid and unpaid work experience opportunities. Please see below Table 6 for offsite job trainings for our youth. TABLE 6: Mentoring & Job Training Programs OFF SITE 'T• :F � igMc'' %' ..i T�"1.:; M� "e;..� "College :.""7 T A: c �� I�' Y �Y'iDESCIiIP7�J`�"u'`" J _ . �y� -:g: •.':., `y"I'M'i .`.�.''�, : Sw' Santa Ana CDC Childcare Worker/ Preschool 'reacher Assistant: Intern is Monday— Friday responsible for assisting preschool Teacher and conduct a va rfety of activities with children, including educational, arts & 8:00am- 6:00pm recreational activities, developmental assessments and others. Santa Ana Senior Center Case Manager Assistant! Intern Is responsible for assisting Monday -Saturday CCCTAC Case Manager at the Senior Center or5anta Ana Santa Ana Towers 'Towers, and conduct a vaflety of activities with seniors, 8;00am — G:Oopm Including health related and recreational activities, case management, interviews & assessments and others. State Farm Insurance Administrative Assistant/CustomerService: _ Monday -Friday Intern is responsible for answering phone tails and directing them to their designated department. Intern is also 8:00am-5:00pm responsible for printing, organizing, and filing documents. Intern will be responsible for assisting clients with questions Santa Ana Downtown Office/Reception/Customer Service: Intern Is responsible for Monday -Saturday Businesses making calls to previous and interested clients and Inform on merchandise. Intern is also responsible for answering phone (Days/Times vary) calls and providing assistance to clients and dlrecdng them to the necessa ry department. Intern will also work with clients In person and assist with any questions related to business and Santa Ana Dnwntown Administrative Assistant/ Social Media Intern: Monday -Friday Businesses Intern is responsible for computer literacy, updating social . media, making phone calls to participants to update contact (Days/Times vary) information, and some fundraising. Intern is also responsible for clerical duties such as filing documents, answering phone calls and other tasks. _ • Santa Ana Downtown Graphic Arts Intern/Marketing Intern & Administrative Monday- Saturday Businesses Assistant: Intern Is responsible for assisting in the creation of logos and (Days/Timesvary) flyers for marketing. Intern is also responsible for updating social media and some administrative duties such a filing, _.. organizing, and data entry. E. Include Letters of Commitment from employers as Attachment D. Please see letters attached. F. include a copy of the Work Experience policy as Attachment E. Please see attached OCCTAC's Work Experience Policy. 25A-31 EXHIBIT 1 2019-20 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA proposal 6. Alternative Secondary School Services {3 pages InaxD: A. Describe in detail the alternative secondary school services or dropout recovery services that will be made available for youth. Youth will meet with the Educational Counselor at OCCTAC at least once a month to receive assistance as they decide to pursue their education. Youth and Counselor will meet and create monthly goals, which will lead to youth obtaining their dipfoma/GED. Counselor will provide youth with the various options available to them and will provide guidance along the way. The Counselor and youth will write down the path youth decidesto take. Counselor will check in with youth periodically to ensure that youth is fulfilling all requirements. Prior to meeting with youth, the Educational Counselor will research the alternative secondary school services available near the youth. Counselor wili gather information regarding requirements, costs, rules, schedules, entrance exams, etc. and provide to youth this information. In addition, the counselor will prove youth some examples of alternative secondary school services located in Santa Ana, provided below in Table 7. In summary, the Educational Counselor will meet with each WIOA youth to obtain a better understandingeftheparticipants'needs. During this meeting, the Counselor wil I gather more information relevant to the youth's needs. Together, the Educational Counselor and youth will find the program that best suits the participant. Then, they will call and set up an appointment to meet with the representative of the program. The Counselor will attend this meeting with the youth to advocate for the participant's best option. After this meeting, the participant and the counselor will strategize on how to proceed further. During this period, the youth will also be supported with additional academic /educational services, such as tutoring, study skills, time management, financial literacy and other important life skills topics. Table 7: Alternative Secondary Schools located in Santa Ana College and Career 11699 E. Wilshire Ave., 714) 796-6795 (Preparatory Ste'605 Santa Ana, Academy 2705 Community Day High 804 N Falrvieve St. 14) 796-9000 School Santa Ana CA92703 Study 333 E. walnut St. I7141 565-5400 Santa Ana, CA 92701 High School 154000 Lansdowne 714) 730.7356 Rd. Tustin, CA 92782 I to Ana College — 2900 W. Edinger Ave, 714) 241-5720 ool of Continuing Santa Ana, California cation 92704 hilMmOs Locations —Centennial 9ucatlon Center & Santa no Callezo Continuation School (Credit High school no Program ijt 25A-32 EXHIBIT 1 2019-20 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal B. Describe in detail the activities that will lead youth to attainment of secondary school diploma or equivalent. All Youth will be encouraged to continue their education, since this is such an important factor in their overall Improvement and success in life. Youth will work closely with the Educational Counselor at OCCTAC on a one-on-one basis, and receive encouragement and guidance. All WIOA participants will be encouraged to attend college field trips throughout the year, and be exposed to different college campuses, as well as a wide variety of majors. By visitingthe various colleges, youth will understand betterthe application process aswell as all requirements needed. The WIOA program at OCCTAC will also assist all youth with academic skills and provide all youth with basic skills deficiency a Literacy/Numeracy Tutor to help them improve in the deficient areas. In addition, the Educational Counselor will keep in close communication with the Literacy/Numeracy Tutor, and ensure that every participant is receiving the assistance needed to pass his or her classes, Aside from tutoring, the Counselor will meet with youth during hi -weekly meetings and support youth in developing all the skills necessary to succeed. These meetings will focus on important topics, such as, time management, test -tatting strategies, and study skills. Furthermore, the counselor will also map out a plan that will help youth work towards their academic/educational goals. Youth and Counselor will also set goals and will work together to achieve goals. During every meeting, Counselor will inquire about youth's progress. Counselor will also work closely with the Case Manger, the Career Counselor and the Tutor to ensure that youth is receiving all the necessary assistance needed to Improve in their academic goals, C. Special consideration for organizations that offer dropout prevention or dropout recovery services. As mentioned previously, OCCTAC will continue to collaborate with the Santa Ana Unified School District, TPP, as well as with the Department of Pupil Support Services, headed by Heidi Cisneros. We will continue to work with key counselors like Patrick Yrarrazaval-Correa to enroll in our program targeted Santa Ana youth, and offer dropout prevention or recovery services. 7. Preparation for Postsecondary Education and Trainingapai es Max Note; WIOA only accepts certificates that are accredited by a State recognized educational entity or are recognized by employers. OCCTAC provides State recognized Certificate programs in partnership with the Santa Ana College, Therefore, any employer should recognize these certificate programs. We are extremely grateful for this wonderful partnership with the Santa Ana College. See letters of Support from the Santa Ana College In Attachments C and F. A. Special consideration for organizations that offer preparation for postsecondary education and training In high -demand Industries.000TAC offers youth with and without disabilities preparation for postsecondary education. As state previously, OCCTAC partners with the Santa Ana College to offer youth a variety of career path options, Our WIOA team (Educational and Career Counselors, Case Manager and Literacy/Numeracy Tutor) work together to assist all of the youth enrolled In this program, Because ofthe certificate programs provided at OCCTAC, youth apply to the following positions and receive minimum and above wages. For example, • Micro Center $12,00 + Benefits 11 25A-33 EXHIBIT 1 2019-20 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal • DaikinAC$12.00 • Providence Speech $13.00+Benefits B. Special conslderatior, for organizations that collaborate or partner with postsecondary Institutions to enroll youth in career pathways that lead to an in -demand occupation. OCCTAC partners with the Santa Ana College to enroll youth in career pathways of their choice, Also, we offer a variety of Santa Ana College courses at the OCCI'AC facility, which is very convenient for our youth and other adults to enroll in a variety of college courses taught by SAC faculty at OCCTAC. Some of these courses include the following: Employability Skills, Business Classes, Health Education, Child Development, etc. In partnership with SAC, OCCAC offers 2 State Certificate programs at our agency: 1) Child Worker State Certificate and the Office Cleric/Admin State Certificate), where they can earn a State Certificate in less than a year and the opportunity to find a job in one of these career pathways. C, Identify and/or develop a pathway for youth that can prepare them to obtain a career or occupation that provides livable wages? Please elaborate on the specific pathway(s). Developing a pathway for youth that Can prepare them to obtain a career or occupation is a high priority for OCCTAC. Our WIOA team inspires and motivate our WIOA youth to continue to enhance their educational and career goals, whether they have a disability or not, our goal is for the youth to be more successful in life? Please see below a pathway that we have created at our agency to assist and lead our WIOA participants. Pathway for Post -Secondary Education Participants will; 1. fleet educational counselor and identify interest and possible careers. 2. Research 1Veccssary education and courses to reach a particular career. 3. Visit different campuses and apply to the ones they feel the most comfortable. 4. Take placement exams after being accepted to his or her school. 5. Research major tin MiZA-ieg frements for achievement G. Apply to programs that will. provide additional ser►ice% that youth 'will need while in post secondary education (l'AT?SA, BOG, DSPS,'E0 S eet.) 7. Create educational plan d registration to courses. 12 25A-34 EXHIBIT 1 2019-20 Orange County Children's Therapeutic Arts Center Youth Employment Program - W10A Proposal D. Describe in detail how the program will prepare youth for postsecondary education and training. The WIOA case manager, career and educational counselors meet regularly with each WIOAyouth to discuss job leads, employment opportunities and post -secondary education. The case manager and career counselor helps youth with employment, and the educational counselor helps youth with entering post -secondary education. The career counselor will assess all youth using ONET to learn about their career preference, interests and skills, and then match them with carriers of their choice. Youth will then be able to obtain assistance In researching different majors, vocational training and certificate programs that will allow them to enter into post -secondary education in their field of interest. The Educational Counselor will also provide assistanceto youth in completing all necessary registration and financial aid, scholarships and any important forms to minimize any stress and anxiety on registration or financial burdens. E. How will your organization expose youth to the various post -secondary educational institutions (colleges, universities, vocational training schools, apprenticeships, etc.). All year round, the WIOA youth and staff attend field trips to the various colleges and universities so they can get motivated and encouraged to enroll in any of these institutions with the help of the case manager and the career and educational counselors at OCCTAC. F. Describe the certificates that youth will he able to earn while in your program or within 1 year after exit. As mentioned previously, OCCTAC has a very strong partnership with the Santa Ana College. Currently, we offer 2 State Certificate programs at OCCTAC and all of the courses are taught at OCCTAC's facility by the SAC faculty. Please see below (Table 9) for a brief description of these certificate programs. office Clerk State CeAificate Program Certificate Programs at ACCrAC in partnership with the Santa Ana Colle Brief This program prepares students for an in-depth training In executive secretary/administrative assistant positions. The open-entry/open exit, competency -based format promotes success in a high employment occupational field. The program develops skills in research, report and correspondence preparation, advanced computer sofhvare applications, database management, interactive presentations, customer service and telephone techniques, and other advanced office procedures. • I<eybaard 1 • Intro to Windows • Intro to Ward • Intro to Excel • Employability Skills • Naalgatingthe Internet Child Care Worker 'this progratn nains students in the field of early childhood and State Certificate business development. Students learn haw to start their own private Program business or work at a childcare facility, such as presehooL eta. Students learnbusiness skills, early childhood care and development, health btfomrationrequired forlicensing, and skills necessary for successful operation of a childcare business. Days/Tlmes Monday —Friday Courses are offered various days/times du ring the week (morning, afternoon and evenings) Monday - Friday courses are offered various days/times during the taeek 1s 25A-35 EXHIBIT 1 2019-20 Orange County Children's Therapeutic Arts Center Youth Employment Prograrn - WICIA Proposal In order to earniheir Stutz Certificate rind obtain a Counly,iPOrange (morning, license, students must take the following eoprsos: afternoon and • Early Childhood Care and Development evenings) • Health Education for Childcare Providers • Employability Skills • Hove to Start a Small Business • Business Practices for Family Child Care Providers G. include data and research that supports the industries or pathways listed above. According to O Net Online the following position and many other administration positions considered those with a bright outlook and rising opening. 4.3-4171.00 Receptionist and information clerks 43-6013.00 Medical Secretaries 43-3021.00 Billing and Positing Clerks According to 0 Net online the following position and many other in child worker are considered those with bright outlook and rising opening as well. 39-9011.00 Child care worker 25- 2011.00 Preschool Teachers, except special education. H. Include Letters of intent from training agencies as Attachment F, Please see letters of Support/Intent from the Santa Ana College. In addition to our state certificate programs offered at OCCTAC in partnership with the Santa Ana College, OCCTAC is currently collaborating and with other community partners to incorporate 2 Health Certificate Programs to train our WIOA youth. 1) Mental Health Paraprofessional Certificate: In partnership with the County of Orange, Health Care Agency, OCCTAC staff is trained and certified to offer a "Mental Health Paraprofessional" Certificate, This training is currently being offered to Religious Leaders in the community all over Orange County, and funded by the County of Orange, Health Care Agency. We are researching the possibility of offering this certificate program to our WIOA youth, if they are interested in working in thisfield. 2) Medical Technology Certificate: In partnership with the California School of Health Sciences, OCCTAC is currently in discussions with the owners (past board members) to train our youth in short-term Medical Technology certificates. 8. Tutoring (1 page maxh Note: Youth Service Providers are required to use the Test for Adult Basic Education (TABS) an ALL youth to assess their literacy and numeracy skills. Youth who score 8.9 and below are considered "basic skills deficient" and should receive tutoring or remedial training to improve their literacy/numeracy skills. OCCTAC currently uses and will continue to use TABE test and TABE testing materials with our WIOA participants to improve their literacy and n umeracy skills. 14 25A-36 EXHIBIT 1 2019-20 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal J. Describe in detall the tutoring resources that will be provided to youth. OCCTAC has demonstrated commitment in helping WIOA youth with and without disabilities improve their literacy and numeracy skills as evidenced every year with our participants) Every year at least 80%of all participants increase their literacy/numeracy skills! In summary, our WIOA Literacy and Numeracy tutors meet with each participantat least once a week upon the completion of the initial TABE assessment. Our agency's goal is that each youth Increases by at least two Educational Functional Levels at time of post-test. OCCTAC tutors provide individualized tutoring sessions every week throughout the year to ensure that our youth will be able to increase both their literacy and numeracy skills to be successful in life. In the past, OCCTAC has been very successful in the attainment of these goals, and thus it will continue to assist all participants with and without disabilities achieve higher educational and academic goals to be successful in their educational and career goals. 9. Mentorine t1 page maw K. Specify how your organization will provide mentoring to youth. Our agency has wonderful staff that is dedicated to empowering and supporting our WIOA youth. Not only will our WIOA staff provide mentoring to youth, but all the other OCCTAC staff working In other programs at our agency and in the community, such as (After School Arts, Therapeutic Arts, Early Start & Pre -Kinder Arts, Learning Academy, Family Wellness Program, Senior Socialization Program etc,) Youth will have the opportunity to learn, interview, shadow and receive mentoring from excellent professionals in the fields of Education, Arts, Technology, Health, Psychology, Counseling, Early Childhood Development, Marketing, Business and others. In addition, the youth will gain hands on work experience in these fields, as well as the opportunity to gain insightfrom these professionals regarding the various career and educational paths that youth are interested in pursuing. L. Specify what types of support your organization will offer youth who are facing challenging obstacles such as family dysfunctions, mental health issues, homelessness, low self-esteem, probation, gang issues, parenting issues, etc. OCCTAC. will continue to collaborate with OMID Mental Health Clinic, Pepperdine University, Graduate School of Education and Psychology, California State University, Fullerton and USC, School of Social Work. All institutions refer counseling, psychology and marriage and familytherapy!nternsto OCCTAC, and provide Psychological/ Mental Health Counselingto all our WIOAyouth, If needed, Participants can enroll in individual counseling at OCCTACor in the community. In addition to the psychological counseling provided to youth, all WIOA participants must attend mandatory life skills workshops and trainings on where to obtain additional information and resources in the community. Our Case Mangers will also guide the youth and refer them to these additional community resources and specialists, if needed, Finally, parenting youth will also be able to participate in any of the parenting classes offered at OCCTAC, to help them with parenting Issues, educational support etc. and gain assistance in working through all of these challenges. 15 25A-37 EXHIBIT 1 2019.20 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal M. Will your organization offer mental health services or referrals to mental health agencies, describe. YES. As stated above, OCCTAC has various community partnerships that can offer mental health services to our youth. Thus, our WIQA staff can make direct referrals to provide free mental health services and onsite counseling on a weekly basis for our WIQA youth. N. Describe how your organization will provide or refer youth to comprehensive guidance and counseling for drug and alcohol, etc. In partnership with the community services program, we are he able to provide youth with a workshop on drugs and alcohol, and also provide them information recourses, and referrals if needed, 10.Worksho s: O. Provide information about the followingworkshops and how or when the workshops will be provided to youth in the program: - All participants will be required to attend Life Skills and Job Skills training that will encompass all of the following components. Youth will be asked to attend mandatory workshops to assist them in their overall achievement In this program, as well astheir personal lives. Workshopswill be weekly. Starting in September 2019 and ending in June 2020. OCCTAC Training Series; • Financial Literacy: This workshop series will allow WIQA participants to understand the importance of budgeting their money and savings. They will gain an insight on how to become finlcally stable now in order to further assist them with their career and educational goals. See attachments section for a sample. • Job Skills: This workshop series will allow youth to learn and create materials needed for employment purposes, with the ultimate goal of when completed, they are able to assemble an employment portfolio that can be presented at anyjob fair, interview, and new potential employer. See attachments section for a sample. • Life Skills; This workshop series will help our youth with day to day life skills information to assist them In making healthy and reasonable choices in their lives. See attachments section for a sample. 1. Financial Literacy/ Budget Management — These are one of the most basic and important workshop series that we offer at QCCTAC for several years! As mentioned above, WIQA participant will learn about financial literacy and budgeting, and these workshops will allow our youth to think not only about the present, but of their future. They will learn the basic of opening a checking and savings account, and how to plan for retirement and future expenses. 2. Entrepreneur Skills Training —This workshop will be the perfect opportunity for innovative young adults in Orange County to learn what it takes to be successful when launching their entrepreneurial ventures. They will learn how to do this via three key strategies: Business plan competition, Networking and collaboration. 3. Labor Market Information —This workshop will provide youth with valuable information for today's labor market, so that you can make an educated decision on which career path is best 16 25A-38 EXHIBIT 1 2019-20 Orange County Children's Therapeutic Arts Center Youth Employment Program - WlOA Proposal stilted to their skills and abilities. 4. Family Planning — A representative from Planned Parenthood will provide our WIDA youth with information on birth control methods, family planning and free healthcare services. These workshops are intended to help assist youth with their future and current family stabilities. 5. Worker's Rights/Labor Laws— Participants will be able to learn and understand their rights as an employee in California from things lilce mandatory break times and benefits. Participant will also be able to learn and understand how to ask and receive accommodations that must be provided to those who have same type of learning or physical disability. As well as questions that may not be asked in an interview or after becoming an employee. 6. Analytical Skills at the Workplace —All WIDA youth will be provided with a task analysis and literacy analysis, skills assessments, job profiling, and pre -employment work skills. Each of these sills can provide a path to improve the participant's ability to perform basic job skills in the field or job they have or may have in the future. 7. Health Resources — Participants will be given resources from our community partners, including Planned Parenthood on howto be healthy and safe, and howto obtain medical services. Additionally, our MECCA coalition, Pepperdine University, USC, School of Social Work, and the County of Orange, Health Agency will provide WIOA participants with other health resources and mental health specialists, if needed. S. Professional Communication/Public Speaking Skills— All Youth will be asked to take a training that will allow them to learn the necessary skills for public speaking, including how to speak -to employers and/or new offsite work placements and new potential employers. Also, youth will learn how to create and give oral presentations, as well as how to speak to people when networking for future connections. 9. Navigating the Workplace — Participants will learn how to deal with difficult workplace situations, and the importance of effective communication skills for positive professional relationships and conflict resolution. This will include learning about good and bad forms of communication, suggestions on positive and effective communication, and techniques on how to effectively respond to conflict situations. Participants will then have the opportunity to put their knowledge to the test by reviewing different workplace scenarios where they will change the outcome of the situation. 11.Civic Engagement and/or Leadership Development A. Can your organization offer a civic engagement opportunity or leadership development opportunity for WICA youth and otheryouth in the community, if so, please describe. — Yes, every year we provide our WIDA youth many opportunities for civic engagement and/or leadership development. For example, All WIOAyouth are asked to attend and participate in the youth council meetings, so they can share their personal experiences with the program and 25A-39 EXHIBIT 1 2019-20 Orange County Children's Therapeutic Arts Center Youth Employment Program - W10A proposal contribute ideas/information on how to better serve the youth In Santa Ana. Also, Youth attend other important community events representing OCCTAC and the Santa Ana community, Finally, they are also asked to do presentations to other youth in the community to inspire and share their experience with other youth in Santa Ana and contribute to a better future for our communityl B. Indicate the number of youth that will participate in the civic engagement or leadership development opportunity — All WIOA youth are requested to engage In leadership development opportunities at OCCTAC and the community, through civic engagement and leadership opportunities throughout the year! 12. Supportive Services: A. Will your organization provide supportive services to youth such as gas cards, bus pass, childcare assistance, etc, If so, please describe. — Yes. All youth will be provided with supportive services during all phases of the W10A program. Supportive services are available to those youth approved for the program that show limited resources to meet basic needs, and have expressed to our case manager or educational/career counselor the need for additional support services. WIOA Youth enrolled at OCCTAC are eligible for the following (as long as funds are available): 1. 30 day bus passes; Every month as long as they provide proof of a steady attendance to all WIOA activities and or accomplish employment or educational goals 2. ACCESS Coupon Books: Every other week as long as they p rovide proof of a steady attendance to all WIOA activities and or accomplish employment or educational goals 3, Gas Cards: Every month as long as they provide proof of a steady attendance to all WIOA activities and or need to accomplish employment or educational goals. As well as proof of their license. 4. Academic Supplies: All WIOA participants are eligible for academic supplies, such as: planners, USB drives and backpacks. For students who have entered post -secondary education we are able to purchase some, if not all, of their college course books. For those who have entered a credential program some if not all fees can be paid off. 5. Work Related; All participants are eligible for work related material when needed, to help obtain or keep employment such as portfolios, clothing etc, 6. Child/Dependent Care: Participants may receive assistance with childcare or dependent care through the provision of $50 payment to instltution/childcare provider of their choice. this will enable them to participate in WIOA activities and/or accomplish employment or educational goals, B. Include the Supportive Service Polley as Attachment G. Please see attached OCCTAC Supportive Services Policy for more specific details. 13. Incentives (1 page max): A. Will your organization provide incentives to youth for accomplishing program benchmarks or personal goals, If so, please describe. —yes, WIOA staff will be providing youth with incentives that will encourage them to accomplish their program benchmarks and personal goals, in order to move forward in employment and education. lit 25A-40 EXHIBIT 1 2019-2.0 Orange County Children°s Therapeutic Arts Center Youth Employment Program - WICA Proposal B. Include the Incentive Policy as attachment H. Please see Incentive Policy as attachment H. 14.Follovu-Up Services {3 pages max):. Youth Service Providers are required to provide follow-up services to youth participants 12 months after exit. Follow-up documentation will be required 30 days after exit, 60 days after exit, and 111, 2nd, 31, and 41h quarter after exit. Yes, OCCTAC staff will comply with all WIOA regulations and program requirements. Please see below Table 9 that delineates all follow-up services. A. Elaborate on the types of services that will be provided to youth during each quarter during the 12-month follow-up period. The following table describes the services that can be obtained and provided to youth during any part of their 12-menthfollow up period. Please see below Table 9 for follow-up services. Case Management (Updates and Meetings) Educational Counseling (Updates and Meetings) Employment Services (Job Development Leetings) Credential Services (Registration) _ Supportive Service 30day 60day Monthly Monthl, and as and as needed needed Quartet 1 2"Quarter 3" Quarter A"Quarter and as and as I and as I and As needed needed needed needed Monthly ManthEy Monthly As needed As needed As needed and as and as and as needed needed needed I As Needed As Needed As Needed As Needed As Needed As Needed ; As As As Needed As Needed Asfunds I As As Needed As As funds I As Supportive Services As funds As funds I As funds As funds As funds As funds School Materials} Allow Allow All oev Allow Allow Allow Referrals (Housing, As Needed As As As Needed As Needed As Needo Mental Health, Food Needed Needed Distributions, Health, Counseling, other) _• . _ B. Describe how your organization will provide case management, Job retention services, mentoring, and ensure the participants attain their goals. — All participants are asked to meet with the case managers and the career/educational counselor at least once a month during the first quarter after exit, in order to ensure that youth accomplish and continue meeting their goals. Youth have the option of meeting with the job developer and case manager to gain additional skills and training if needed, and to obtain employment or retain employment after exit. Participants are also contacted via phone or/and e-mail duringthe 1.9 25A-41 EXHIBIT 1 2019-20 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal znd, 3rd, and 4th quarters to get updates from youth on post -secondary education and employment. Furthermore, all Youth are encouraged to come in person to meet with the WIOA staff, attend meetings, and receive additional tutoring, training, and or any other services at OCCTAC, to ensure that youth keep a good GPA in school, and continue to move forward in their employment. C. Describe how your organization will ensure that youth meet the Performance indicators during the follow-up period. --The following Table 10 indicates how often the WIQA staff will contact. youth, and set up meetings/appointments to provide them with additional assistance, and support their goals to retain employment and stay in post -secondary education. . ...,,..u„v—F.c ucercr• uxrodlotir ul�oelc'rces ,: " >::l�-s��>., - ..::,',,;;�:.:. •hall Period'..::,. `: 1" Quarter 2nd Quarter 30 day 60 day F Quarter 4'^ Monthly and As Needed asneaded Quarter Follow Up Case Manager Meetings Monthly and as needed Monthly and as needed As Needed As Needed Monthly and Quarterly and as needed as needed Follow Up Calls/Emails Monthly and as needed Monthly and as needed Quarterly Quarterly and as and as As Needed As Needed needed needed As Needed As Needed Follow Up Job Developer Meetln _ _ As Needed __ As Needed _ Follow Up Educational Counselor Meetings lob development trainings (Resume, cover letter, Monthly and as needed Monthly and as needed Monthly and As Needed as needed _ As Needed As Needed As Needed As Needed As Needed As Needed As Needed As Needed applications, follow calls, Interview assistance etc.) I No service at I As Needed this time Post Secondary Tralnings (Study Skills, FASFA, No service at this time ' No service at this tine As Needed As Needed registration, transferring etc.) D. Describe if your organization will provide youth with Incentives or supportive services during follow-up period to assist youth retention, Yesl OCCTAC will provide youth with both supportive services and incentives while in the process of completing their goals, and after accomplishing an important benchmark. The following table 11 explains when they are eligible to obtain supportive services and/or incentives. Please see Incentives Policyfor details on how many incentives participants can earn for each category. TABLE 11— Su Lort_SeniceslIncenthres for'W1UA Parntleinants durin Fu11u►v-u entives �':' •:,:r',.r;;:.::... <w. $ M ..., Benchmarks,_- ' '" • •' - Post Secondary Earning Accredited Job Search Obtaining Retaining Education credential Employment employment . 30 day Buss pass, 30 day Buss Supportive ACCESS Coupons, pass or Gas Service Gascard— Academic card $25 for reglstering $25 for obtaining- -- Education tofallors rin Post -secondary 20 25A-42 EXHIBIT 1 2019-20 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal _7 classesTcredenYial. for obtaining _secondary Col credential. $25 For $50 for $50 for every quarter Employment scheduling and obtaining they are employed as attending employment. runds allow Intervleva. Work felated Portfolios, clothing and professional tools - I attlree. E. How often will the youth be engaged or receive service during the follow-up period. — AII Youth will be asked to keep in contact with the WIOA team, and meet regularly with the case managers and the educational/career counselors during the entire follow-up period, especially during the I" quarter. After the first quarter, participants will be asked to contact and speak with the case managers and counselors on a quarterly basis. However, youth are encouraged to engage as frequently as possible with the WIOA staff I Depending on the youth's needs, they are able to meet with any WIOA Staff as often as needed. In addition, all youth are given the opportunity to take any credential programs offered at our agency, Life Skills classes, counseling and any workshops/training$ offered during any of their follow up periods. This will provide our youth the opportunity to Continue to be engaged In our center, on a weekly basis. 15.WIQA Performance Indicators A. Include a flowchart or visual aid or brief explanation of how your organization will meet the following WIOA Performance Indicators; How OCCTAC will meet the %of participants who are in education ortraining or unsubsldlzed employment during the 2"1 quarter after exit. August eptem n110 Job Search Start Applingto different positions— Meet with case Research classes to registerfor Summer Meet With Educational Counselor _ Register for summer classes _- with Educational Counselor Apply to different positions and Research classes to register for Fall follow up calls— Meet with Case Session — Meet With Educational Mana er Counselor Set up Interviews and continue to Register for Fall Classes— Meet With send out Applications — Meatwith Educational Counselor -incentives Case Manager --provide provided to youth who register fur Incentives to those who set up classes interviews Practice interview Skills and meet Register for 8week rourses— Meet with Case Manager --Incentives With Educational Counselor - provided to those who obtain incentives provided to youth who employment register for classes 21 25A-43 EXHIBIT 1 2019-20 Change County Children's Therapeutic Arts Center Youth Employment (Program - WiOA Proposal October Continue to meet with Case Classes in session Manager & job Developer as needed [Ilecvem"ir_ Continue to meet with Case Research classes to register for Manager& job Developer as Intersesslon— Meetwitheducational needed counselor as needed JrembProvide Incentives to those who Research classes to register for have.3 consecutive months on the Spring— Meet with educational Ljob counselor as needed 2. How OCCrAC will meet the% of participants who are in education or training or unstibsidized employment during the 4111 quarter after exit. to Ymanti' ,:.:::a F.dddafion :'< s Qry appointments with Case Assist Youth in Registeringto Spring Manager and Job Developer as Classes- Incentive provided to youth Needed who register for classes Set appointments with Case Assist youth in registering to 8 week Manager and Job Developer as courses - Incentive provided to youth Needed who register for classes March Provide youth Incentives for Classes in Session having been employed for 3 consecutive months _t appoin April Setments with Case El a ­sses In Session Manager and Job Developer as Needed May Set appointments with Case Assist youth in researching possible Manager and Job Developer as summer registrations Needed .tune Provide youth Incentives for Assist'youth in registering for having been employed for 3 summer classes _ consecutive months 3. Document the median earnings of participants In unsubsidized employment during the 2rd quarter after exit. During the second quarter after exit, all youth will be asked to fill out a follow-up form which contains information on wages, location of hire, and length of employment: The information on wages will be extracted from all currently employed youth to determine the median earnings of participants during the second quarter. 4. Percent of participants who obtain recognized postsecondary credential or Secondary diploma during participation or within 1 year after exit. At the beginning of the program, the Educational/Career Counselors and the Case Managers will enroll all of the participants in a recognized credential programs, Every month, the Counselors will check on the students' progress. Moreover, the Educational Counselor will build a relationship with the Postsecondary Credential Instructors, and receive a monthly progress report. The Counselors will then schedule 22 25A-44 EXHIBIT 1 2019-20 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal a meeting with those students who have not advanced. For those students who did not complete a credential during the V year of the program, the Counselors will meet with the participants, and re -enroll in a credential program during the 1st quarter follow-up. The Counselor will once again check on the participant's progress, and encourage and support participants to complete credentials. When participants complete their credentials, they receive an incentive during the 2nd quarter of the follow up. During the 3rd quarterfollow up, the Counselors will once again check on the participant's progress. The Counselors will meet with the participants bi-weekly, and make any scheduled changes that will benefit the participants. If participants complete a credential, theywill receive an incentive during the4th quarterfollow up. S. Percent of participants who, during the program, are in education or training that leads to a recognized postsecondary Credential or employment AND who are achieving measurable skills gains. Participants will meet with the educational counselor every month to discuss their educational goals. They will take an ONET assessment that will guide them in figuring out their strengths and weaknesses, as well as potential careers that fall In that category. Furthermore, meetings will be tailored to research majors and schools that contain the adequate resources to be successful. All participants will he enrolled In a credential program at the beginning of the program. The Counselor will meet with participants to receive monthly updates, and verify the participant's progress with the teacher, 6. Effectiveness In serving employers. WIOA Participants are eligible to continue to meet with the Case Manager and Job developer though out the year, and as necessary, to continue to gain employment training to improvetheir work ethics, and job skills to keep moving forward and improving at their current worksites. 16. Prior Outcomes A. If your organizatlon was previously awarded a WIOA contract through the Santa Ana Workforce Investment Board, OC Workforce Investment Board or Anaheim Workforce Investment Board please disclose your organization's past performance outcomes for the past 1-Z years from each WIB If applicable: OCCTAC has been providing the WIOA program to Santa Ana youth for the past 14 yearsl Please see below our outcomes for the last 6 years. OCCTAC PERFORMANCE OUTCOMES (Santa Ana WIsJ Measures Increased Literacy/ Numeracy Skills Entered Employment or Post -Secondary 2012-13 2013-14 ZD14-IS 74% 95% 100% 95% 7395 72% Attained Credential/ 82% 1 17111. 93% Diploma/Certificate �015-16Zolti-1 1 %�0174B 100% 89% 73% 75%7 R% 89% 100% 23 25A-45 EXHIBIT 1 2019-20 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal 27.Fiscal Co_ m eetency A. Descr;be the process used to capture and report fiscal data. All invoices or vendor statements will be Initialed by the Executive Director prior to signingthe check to pay that bill or invoice. After checks are printed and signed, the accountant shall mark "Paid" with the date of payment and check number utilized for payment. All disbursements shall be reviewed and approved by the Executive Director. A monthly review of all disbursements shall be conducted by the Accounting clerk and reviewed by the Executive Director and the Finance Committee for verification of accuracy, documentation and appropriate approval. The Executive Director shall be authorized to expend funds as approved by the Board of Directors underthe organization's annual operating budget. B. Attach a copy of the organization's procurement policies and procedures as Attachment I. Please see attached OCCTAC's Procurement Policies and procedures: C. What systems are used to ensure fiscal accountability, appropriate expenditures, and planned costs. All requests for reimbursement shall be reviewed and approved by the Executive Director and Finance Committee. All reimbursements are subject to budgetary limitations as established In the organization's approved operating budget. No reimbursements are made without appropriate backup documentation. Please see details below of the accounting system used at OCCTAC: • Accounting Method; OCCTAC utilizes a modified accrual -based account methodology, • Cost Allocation Method: Costs are allocated using the Direct Cost Allocation Method (013M Circular A-122). OCCTAC classifies each item to a specific program, department, site, grant or contact that it directly relates to. Indirect expenses like general administration and general expenses are allocated based on the allowable budgeted portion of each program with the remaining portion to the renter's administrative category. CCCTAC shall produce financial reporting for each of the Center's program functions. In consolidation, these programs shall make up the overall financial position of OCCTAC. All transactions (Payments and cash receipts) that occur at the center shall be classified under identified categories and programs. When program funding is split between two or more sources, the cost allocation forthis program shall conform to the budget allocations established in the program. • Budgets: Under the guidance of the Finance Committee and prior to the beginning of each fiscal year, the Executive Director prepares an Operational Budget, including Program Budgets, Tuition fees, Service fee rates, etc., shall be approved by the Board. Any gifts (monetary arotherwise) resulting from fund-raising activities, solicitations and acceptance of gifts or contributions that are presented with restrictions of use shall be approved by the Board of Directors and submitted to the finance committee to verify the appropriate method of accounting and reporting. • Receivables: Receivables shall be aged monthly and delinquent accounts shall be followed up for collection. Receivables from miscellaneous sources shall be reviewed periodically by the Treasurer and significant amounts shall be reported to the Board of Directors. All write-offs shall require approval from the Finance Committee prlorto implementation. The Board shall review all write-offs from uncollectible accounts receivables. 24 25A-46 EXHIBIT 1 2019-20 Orange County Children's Therapeutic Arts Center Youth Employment Program - WICIA Proposal Deposits and Receipt of Monies: Deposit of monies are made on a weekly basis, or whenever more than one thousand dollars (in either cash or check) has been received and recorded by the OCCTAC office. Ali items to be deposited are and shall be stamped "For Deposit Only" to the Account of OCCTAC with the appropriate bank account number. A deposit form for established OCCTAC accounts shall be completed with deposit slip details for cash or multiple checks. A copy of the deposit form, slip and all items to be deposited shall be made for accounting purposes and upon completion of the deposit attached to the deposit slip and turned into the accounting revenue in -box. To ensure appropriate financial controls, the individual making deposits shall not be the same person reconciling the OCCTAC account. All funds received shall be recorded in the accounting system and filed in the locked accounting file cabinet. Disbursements: All disbursements are and shall be made by checks drawn on the established operating checking account for the OCCTAC. All disbursements shall utilize pre -numbered checks used in sequence. Any and all "voided" checks are and shall be mutilated and notes on the voided check stub. At no time shall disbursements be made to "bearer" or to "cash", All banking materials, records, blank checks, and deposit books are and shall be maintained in secure cabinets in the OCCTAC office under the supervision of the Executive. Director and Accounting cleric. Only those individuals authorised to handle check stock as their part of their accounting duties for OCCTAC account shall have access to these banking materials. Disbursements are prepared from original invoices. Each disbursement shall require submission of a purchase request form and appropriate backup documentation. Invoices shall be date stamped upon receipt and marked "approved for payment." Reconciliation of Accounts: All OCCTAC bank accounts are reconciled monthly. A monthly review of all accounts and financial reports are prepared by the Board Treasurer or designated Finance Committee Member. Files and Records: OCCTAC shall maintain hard copy files for all operational and business transactions that occur. Files shall be separated into the following categories; a) Accounting records, b) Grant documentation, c) Tax filings; Donors, d) Legal/Insurance/License/Permits, e) OCCTAC Programs, f) Personnel documents and files, g) Vendor and Client contracts and other documents. OCCTAC maintains electronic and hardcopy redords of all accounting transactions and financial reporting. All electronic records are be copied and stored in a secure, off site location or in a web based file storage system, which is the server. All financial and accounting hardcopy files are stored In secure --lockable file cabinets. Requests for financial documentation get processed through the accounting staff i.e. copy of original document. Original financial documentation remains in the file/s cabinet at all times. D. Describe invoicing process and list qualifications of staff assigned to task. OCCTAC accounting clerk creates monthly WIOA invoices to submit to the City based on expenses Incurred duringthe month. Afterthe Coordinator and the Executive Director review and approve the program expenses, the Accounting clerk enters the data from the participants' stipends and/or time sheets, program staff as well as related expenses into the accounting system to generate an invoice. The invoice will be on the appropriate form provided by the WIOA Contract and submitted for relmbursement. 25 25A-47 EXHIBIT 1 2019-20 Orange County Children's Therapeutic Arts Center Youth Employment Program - WIOA Proposal E. Describe how your organization's financial stability is not dependent on VVIOA funds. The Orange County Children's Therapeutic Arts Center has a variety of funding sources, including: (1) contracts, (2) grants, (3) donations, (4) fee for service, and (5) fundraising. OCCTAC continues to maintain current contracts, as well as enter into new contracts with key community partners. Three years ago, OCCTAC started a new contract with the Santa Ana Unified School District and five years ago with MECCA and the County of Orange, Health Care Agency to provide prevention and family wellness programs. We anticipate a steady revenue increase, as we. continue to grow each year with SAUSD and our MECCA and County partners. in addition, and as part of the OCCTAC's long-term sustainability pla n, the Executive Director and our board of directors have agreed to continue to diversify OCCiAC's funding sources by focusing some more on (1) donor solicitation, and (2) fundraising, and (3) social enterprise ventures. F. Identify the percentage of budget that will go directly to youth (i.e.: work experience payments, direct training, supportive services, incentives, etc.) versus the percentage of overhead and administrative costs. 46% of budget will be directly spent on the youth in the form of work experience, stipends, salaries, direct training, support services, Incentives, etc, for the year2014- z02o. G. Submit most recent 2 years of audited financial statements as Attachment T & U with the Audited Financial Statement Form signed (Attachment S). Please see Financial Audit for year ending 2017. 18. Additional Attachments A. You may include additional documents such as flyers, brochures, training descriptions, and/or testimonials that support your proposal and/or further describe the program, as Attachment W. Please see additional attachments included. Attachments Include WIOA Youth Brochures, Youth Testimonials and other Youth Employment Program forms. 26 25A-48 EXHIBIT 1 OC CHILDREN'S THERAPEUTIC ARTS 2215 N Broadway e Santa Ana, CA 92706.714:547.5468 • Fax 714.564.9690 - www.occtac,org 501(c)3 Federal Tax ID# 3M930891 Purpose: Work Experience Policy WIOA Program 2019 — 2020 To establish guidelines for the WEX youth's paid work experience placements while enrolled in OCCTAC's Youth Employment Program funded through Workforce Innovation and Opportunity Act (W10A). Eligibility & Customer Profile: WEX youth participating in work: experience must have unexpired right to work documents and qualify for the youth employment program by meeting the requirements as outlined in the'Youth Program Eligibility and Application Policy. WEX youth will make a plan with case manager in order to assess the developmental needs and place youth in worksite that best fits the WEX youth's experience and interests. Depending on the program that they work for, WEX youth will be working with children age 6 months to adults 65+ if their worksite is OC Children's Therapeutic Art's Center. Customer profile will vary if WEX youth are placed off -site. General Information: Lunch and Breaks: WEX youth must take a % hour unpaid break after no more than 5 hours of work. They are also entitled to a paid 10- minute rest period every 4 hours. W-2: To be available for all youths that participated in WEX by January 31 for the hours completed the year before. Youths are responsible to update OCCTAC staff on addresses so that their W-2 gets mailed out to the correct address. 25A-49 EXHIBIT 1 �C CHILDREN'S {' THERAPEUTIC ARTS 2215 N Broadway • Santa Ana. CA 92706. 714.547.5468 • Fox 714.564.9690 • www.occlac.org 501(c)3 Federal Tax1D# 33-0930891 Worker's Compensation: WEX youth are all covered under OCCTAC's insurance. If they are ever to become injured or hurt.on the job they Will call the insurance company and go to the provider covered by .the insurance. Work Hours: On average WEX youth will work between 10-20 hours a week. Below are the maximum hours the WEX youth may complete. These numbers are more conservative than California labor laws for youth 17 and under because we do not authorize overtime for any WEX youth. Ages 14-15 Ages 16-17 Ages 18+ Work -Hours 4 7am-7pm from • 5am-10 pm when Anytime. Labor Day eo June 1 there is school the • Not duringschool next:day hours • 5am-12:305rri when • 7am-9pm, from June there+is no school 1 to Labor Day, the, next day Maximum hours 18 hours a week but not 40 hours a week, but 40 hours When school in over: not over: session • 3 hours a day on • 4 hours a day school days Monday -Thursday le 8 hours a day • 8 hours a day Saturday -Sunday Friday -Sunday and and holidays holidays Maximum hours .. 40 hours.a week • 40 hours -a week 40 hours wfierischool.not.in 8 hours a day • 8'hours a day. session 25A-50 EXHIBIT 1 OC CHILDREN'S THERAPEUTIC ARTS 2215 N Broadway • Santa Ana, CA 92706.714,547,5448 • Fax 714.564.9690 • www.occtac.org 501 fc)3 Federal Tax IDJt 3M930891 Timecards and Sign in Sheets: Worksite will have a binder on -site where WEX youth will sign in and out. In order for the timesheets to be valid, youth must have the supervisor.initial every shift. Youth will then complete timesheets to the best of their knowledge and sign them. At the end of every month, youth must turn in sign -in sheets and signed timesheets to coordinator. if WEX youth is unable to.collect sign in sheets, OCCTAC staff may retrieve the sign in sheets from worksite. Paycheck Information: WEX youth will be paid on the_1511 of,every month. Duration and Length of WEX Activity: Based on the availability and needs of WEX youth work experience should be a minimum of 6 weeks and not exceed 45 weeks or 900 hours unless approved by Program Manager. Staff of Santa Ana Workforce Development Board may approve WEX waivers of the 900-hour limitation policy. Waiver requests rrlust be submitted in writing. Youth may not exceed the 900-h6ur'limit prior to the date of waiver approval. Rate of Pay and Payment: During Stipend WEX youth will receive $150.00 for every 10 hours completed for the first 40 hours of work experience. Immediately after that, youth will be compensated at minimum the California minimum wage for every hour worked. 25A-51 EXHIBIT 1 OC CHILDREN'S THERAPEUTIC ARTS 2215 N Broadway • Santa Ana, CA 92706 • 714.547.5468 • Fax 714.564.9690 • www.occtac.org 501fc)3 Foderol Tax 104 33.0930891 Time Frame California Minimum Wage January 1- December 31, 2018 $11.00/ Hour January 1- December31, 2019 $12.00/ Hour Worksite Review: Worksite review will occur three times during their WEX training. Worksite will be monitored for compliance of worksite agreement and safety standards. The purpose will be to ensure that WEX youth is receiving quality training while working in a safe and comfortable environment. OCCTAC staff member is to visit the worksite before training begins to meet with the WEX youth's supervisor and monitor the worksite. Staff is to do a minimum of one visit halfway through training and a final visit a week before training ends, If corrective action is required, worksite supervisor will be informed by OCCTAC staff of any inconsistencies in the worksites operations. A follow-up visit will be made within three to five working days after the findings have been identified, to review corrective action taken by worksite. Allowable Expenditures: WEX funds may be used to pay participant's wages and related benefits for work experience in the public, private, for -profit or non- profit sectors when the participant's objective assessment and individual service strategy indicate that work experience is appropriate. Allowable expenditures beyond wages may include the following: • Classroom training or the required academic education component directly related to the work experience. • Professional development training related to work experience a 25A-52 EXHIBIT 1 OC CHILDREN'S THERAPEUTIC ARTS 2215 N Broadway • Santa Ana, CA 92706. 714547.5468 • Fax 714.564.9690 • Www,occtac.org 5Dl 1c13 Federol Tax ID4 33-0930891 o Orientation sessions for WEX youth and employers • Tutoring with OCCTAC tutor in order to improve skills or meet ISS Goals • Meeting with supervisors or employers outside of scheduled work hours for planning, training, or evaluating progress. Worksite approval Procedures: Worksite approval procedures ensure that the Worksite fits the WEX youth's developmental needs, is a safe environmentforthem to work in, and provides valuable training. OCCTAC staff will visit the worksite, and fill out a worksite safety report depending on the youth's age. They should also present the worksite supervisor with the worksite training agreement and contract outlining the training/ learning objectives for WEX youth. 1. The Worksite location must be safe, appropriate to the WEX youth's age, ADA compliant and EEO compliant. 2. The on -site supervisor must agree to abide by the rules indicated in the worksite training agreement 3. The on -site supervisor must outline training objectives that coincide with the WEX youth's development and capabilities on the Training Plan.,OCCTAC staff will evaluate the proposed Training Plan and suggest appropriate learning objectives when necessary. On -site supervisor must agree to any edits suggested by OCCTAC Staff. 4. Approved: Once the worksite complies by the three conditions stated above the worksite will be approved for paid WEX. S. Not Approved: If the worksite or the on -site supervisor do not comply to the following: safety, ADA and EEO compliance, worksite agreementand appropriate objectives; the worksite will not be approved for paid WEX. 25A-53 EXHIBIT 1 OC CHILDREN'S THERAPEUTIC ARTS 2215 N Broadway i Santa Ana, CA 92706 • 714.547,5468 • Fax 714.564.9690 • www.occtac.crg 501(c)3 Federal Tax IN' 33-0930391 Agency Worksite Agreement Procedures: The worksite agreement procedures ensure that all worksites are evaluated equally and'follow the same procedure. Once Staff deems the worksite safe the staff will meet with the supervisor to explain the different parts of the worksite agreement and complete the documents before the WEX youth's first day of training. Worksite training agreement includes: a) Letter from executive director introducing the objective of our Youth Employment Program funded by WIOA b) Worksite training agreement c) WEX youth responsibilities d) Training plan and worksite schedule. Staff Roles and Responsibilities: A. Complete Worksite safety report to best of knowledge and ensure that worksite is ADA and EEO compliant. B. Complete Agency Worksite Agreement with worksite supervisor. See Agency Worksite Agreement Procedures (page 6). C. Complete all parts of Worksite Approval Procedures (page 5) to ensure that the worksite is the best fit for WEX youth. D. Complete a minimum of three worksite reviews as outlined in Worksite review (page 4). E. Provide age appropriate work sites. F. Meet with worksite supervisors to evaluate WEX youth's work performance and distribute evaluations G. Meet with WEX youth to evaluate the worksite and make plan for developing job skills when necessary H. Assist with job placement at conclusion of WEX training. 25A-54 EXHIBIT 1 OC CHILDREN'S THERAPEUTIC ARTS 2215 N Broadway • Sonia Ana, CA 92706. 714.547.5468 • Fox 714,564.9690- www.occtac.orcd 5011c)3 Federal Tax lDr133-0930891 I. Educate WEX youth on health and safety and make safety plan in case of injuy. WEX Youth Roles and Responsibilities: A. Be willing to commit to learning and working hard B. Be willing to follow work hours, instructions, work policies and rules C. Keep accurate timesheets and submit timesheet to the OCCTAC Youth Employment Program office at the end of each month. D. Immediately report any work related incidents to both the. worksite supervisor and the OCCTAC staff E. Communicate any inappropriate behavior of work related issues to OCCTAC staff F. The WEX youth agrees to call the worksite supervisor a minimum of two hours before his/her shift begins if unable to report to work. G. The WEX youth is required to stay in his/her assigned placement for a period of 2-3 months. After a period of three months, if the WEX youth chooses to continue at the worksite he/she may do so with the approval of the work site supervisor and OCCTAC staff. If participation is extended additional duties and opportunities to acquire new skills should be included, in order, to further enrich the WEX youth's experience at worksite. H. Abide by responsibilities outlined in the worksite training agreement. Worksite Supervisor Roles and Responsibilities: A. Be willing to train and mentor the WEX youth B. Be willing to complete monthly evaluations of WEX youth performance. 25A-55 EXHIBIT 1 OC CHILDREN'S THERAPEUTIC ARTS 2215 N Broadway • Santa Ana, CA 92706. 714.547.5468 • Foz 714.564.9690 • www.occtac,org 501(c)3 Federal Tax IN 33-0930891 C. The worksite supervisor understands this to be an entry level position and the responsibilities assigned shall be entry level. D. Be willing to provide to OCCTAC staff and to the WEX youth a Job Description indicating WEX youth job responsibilities at worksite. E. Give WEX youth appropriate safety training for the worksite F. Give WEX youth timely breaks when appropriate as outlined in the worksite training agreement. G. Abide by the work hours and responsibilities outlined by the worksite training agreement. If any changes are made first they must be approved by OCCTAC staff and stay within the hours outlined above in "general information" section (page 1). H. Be ADA compliant I. Adhere to the Equal Opportunity Grievance Procedures ). Observe California State and Federal Child Labor Laws 25A-56 EXHIBIT 1 OC CHILDREN'S THERAPEUTIC .ARTS 2215 N Broadway - Santa Ana, CA 92706. 714,547.5468 •,Fox 714.564.9690 - www.occtoc.org 5011c13 Federal Tax ID# 33.0930891 Supportive Services Policies and Procedures WIOA Program 2019-2020 Purpose: To establish guidelines for the issuance of supportive services to participants who are identified in need of such services. Goal is to aid participants with their successful completion of OCCTAC's WIOA program, Procedures: F.li giibility: Supportive services are available to those identified as approved WIOA participants; have limited resources to meet -basic needs; and have expressed the need of additional support to OCCTAC's WIOA Program staff. Supportive services will be made available to participants while•they are enrolled in all phases of the WIOA program. These services are contingent upon approval by the Program Coordinator and OCCTAC Director. Provision of supportive service is not an entitlement. Availability of Funds and Assessment ofNeed: The fiscal advisor or the accounting clerk and the Executive Director will verify the availability of funds and notify the Program Coordinator. Supportive services are delivered contingent upon availability of funds, the treed of the participant and given on a first come, first serve basis. Initial assessment on need will be determined by the Case Manager and Hill be reviewed regularly. Logs of services will be kept on a regular basis and service(s) will also be case noted for documentation purposes. Transportation Assistance Guidelines: After identifying the need for transportation assistance and elimiriating other resources, the case manager and the participant will develop a service plan (ISS) and update progress in the case notes. Transportation assistance is defined as the provision of a gas card; bus pass or ACCESS coupon hook. No replacement bus pass, gas card or ACCESS coupon book will be issued in the event the participant loses his/her bus pass, gas card or ACCESS coupon book. 25A-57 x 4k'a, 2215 N Broadway • Santa Ana, CA 92706 = 714.547.5468 • Fox 714,564,9690 www.occlac.org 501(c)3 Federal Tax ID@ 33-0930891 Fingerprinting —Live Scan and TB Test: Participants who work with children and are placed in an educational setting will be required to undergo Fingerprinting —Live Scan through the Department of Justice and show a cleared TB Test, This supportive service will be available for participants on a case -by -case basis and determined by the case manager. Work and School Related Materials: A participant may need to purchase books, fees, school supplies and/or other necessary materials to enable him/her to participate in activities leading to a credential. A participant'may need to purchase work related equipment, attire, tools, or certification for the purpose of obtaining employment and to enable him/her to be successful in employment. Child/Dependent Care Afler identifying the need for assistance and eliminating other resources, the case manager and the participant will develop a sen ice plan (ISS) and update progress in the case notes. Childcare assistance is defined as the provision of $50 payment to institutiotsidayeare%itildcare provider upon receiving an invoice. Participants may receive assistance with childcare or dependent care, which will enable them to participate in activities. Childcare will be limited to a maximum of S50.00 per month per child/dependent. Supportive service available to all youth that enrolled in the program as pregnant or parenting youth. Other: Anv other miscellaneous type expenses not mentioned above may be considered with proper authorization. The request must be fully documented and all receipts in proper order. 25A-58 EXHIBIT 1 Orange County CHrldrLn's'therapeutic Arts Center Procurement iPnlicy 2019-2020 Orange County Children's Therapctitic Arts Center (OCCTAC) has established this Policy to guide its procurement o Fsupplies, equipment, and services. The purpose of this policy is to insure that OCCTAC. makes procurement decisions and payments in an open and Pair manner and to document all purchases when appropriate. A. Code of Cenduci No employee, ol'Ficer, or agent of Orange County Children's Therapeutic Arts Center (OCCTAC) shall participate in the selection or in the award or administration of any procurement if a conflict ofinteroai, real or apparent, would he involved. Such a conflict could arise if the employee. officer, or agent: any member ofhalhis immediate ftunily; his/her partner; or an organization which employs oris about to employ any ofthc above has a financial or other interest in the firth selected For award, No officer, employee, or agent of OCCTAC shall solicit or accept gratuities, favors, or anything of monetary value form contactors, potential contractors, or parties to sub - agreements, except where the financial interest is not substantial or the gift is an unsolicited item of nominal intrinsic value. Any alleged violations ot'these standards of condudt shall be tol'erred to the Executive Director. Where violations appear to have occurred. the oll'ending employee.. officer, or agent shall he subject to disciplinary action, including but not limited to: dismissal or transfer; when violations or infractions appear to he substantial in nature, the mutter may be referred to appropriate officials for criminal investigation and possible prosecution. B. ]Procurement Procedures The officer, employee, or agent responsible for procurement of services, supplies, equipment or construction shall reviewall proposed procurement actions to avoid the purchase of unnecessary or duplicative items. All services and items will be purchased with consideration of these priorities: 1. Best price 2. features and quality of the itom 3. ]'Willingness to meet billing, delivery, and service needs 4. Minority or Women -owned supplier Services and items less than S500: Comparisons of prices, quality, and features can he made by visit, telephone, or by consulting advortisementsand catalogues. All purchases mustbe made within budget 25A-59 EXHIBIT 1 guidelines. Writtenauthorizadonandsalesreceipt confiirmingpaymentmusthckepton file. Service and itcrns costing more than $500 traUtine purchascs)� a. A designated stalFmembcr shall identify two or thre a vcnrla rs who oiler di scourtt or c ompotitively priecdsupplies. Staff shallro utincly "Shop" those vendors, looking for the best overall price on each order --though not necessarily on an item -by -item basis. Once eachyear; thc:staff shall determine tvliichtwo ortbree vendors in the area after the most competitive prices. Written documentation of the research shall be maintained. b. Noth ing in theparagraph above shall I preventstafffrom taking advantage oflower prices from other vendors ivhenevcr better prices are available. c. Whicnpossible, staffshallattempttonegotiatediscountsforlargervolume purchases; and should inquire about discounts forpaying cash. d. Allpuechases mustbemadowithinbudgetguidelines. Writtenauthori7ation and sales receipt confirming payment mtust bekept on file. Seryiee�and Items costing more than SS lUhitieaucnt 2Rt4h sesl- a. A designated staffniembcr shall obtain lyritten quotes or advertisements from three vendors. Purchase decisions shall be made on the basis of the most advantageous purchase for OCCTAC, based on the above criteria. b. Nothing i r1 the paragraph above shall prevent stalTtiom taking advantage of lower prices from other vendors whenever better prices are available. c. Whenpossible, staffshallattempttonegotiatediscountsforiargervolume purchases, and should inquire about discounts forpay ing cash. d. All purchases mustbe made within budget guidelines. Written authorization and sales receipt conftrining payment must be kept on tile. Sole Source ProcureMi nt The use of a sole supplier is discouraged, and requires the written authorization ofthe ExecutiveDircetor. Requestsfors A soureeprocurementmust include the reasonforthe lack of competitive information and justification fortheselection. C. Authorizatian a. StaffAuthorization. The ExecutiveDirectorymayatherorHsdiscretion,giveone or more staff members purchase authority for purchases. 25A-60 EXHIBIT 1 b. funds for all purchases tnust appearin the current board -approved budget. D. Unauthorized Purchases Thepmzhase o fsuppl i es for personal use isprohibited, as is anypurchase made without the approval ofa statfmoriiberhaving purchase authority. lnaddition to beingsubjeetto disciplinary actionunderthopersonnelpolicy andanyrernodi es available undertlwlaw. an unauthorizedptn'chasern-ill heheldpersonal ly liable for the costofthe unauthorized purchase. 25A-61 OC CHILDREN S THERAPEUTIC ARTS 2215 N Broadway - Sanla Ana, CA 92706 - 714.547.5468 • Fax 714.564.9690 - www.acctac.wg 501(cj3 Federal Tax ]DO 33-0930691 Incentive Policy and Procedures WIOA Program 2019 — 2020 Purpose: To establish guidelines for the incentives to participants who successfully commit and complete goals establish during program parti,cipatiori. Goal,is;to aid enrolled youth with their successful completion of OCCTAC's WIOA program. Procedures: All Incentives are based on availability of funding and are processed on a first come first serve basis, Summary of incentives: Current Every two Secondary School $50 Subjects Completed Secondary School Perfect $50 Attendance Credential: $100 Current Enrolled Youth Post -Secondary: Current $100 Enrolled Youth Basic Skills Deficient: Increase $25 in EFL Employment: Current Enrolled $50 Youth Follow -Up Secondary School Credential: $50 Post -'Secondary $25 Employment: Job Search $25 Employment:Obtaining Ernplo meet $50 25A-62 r•"OC CHILDREN"S .,,,,..,,,,THERAPEUTIC ARTS i 4 2215 N Broadway • Santa Ana, CA 92706 714.547.5468 -Fax 714.564.9690 • www,occtac.org 501(c)3 Federal Tax ID# 33-0930891 Incentive descriptions: HS Dropouts: Individuals who are HS dropouts at time of enrollment will be encouraged to attain a HS diploma or GED. Those who enroll Into an institution yielding to a HS diploma or GED will be eligible to receive a $50.00 Gift Card for every two (2) subjects they complete.while enrolled in all phases of the WIOA program. Doing so will encourage these WIOA participants to commit to their educational goal and thus attain a secondary credential within a reasonable amount of time. Case Manager, Career Counselor and school representatives will communicate regularly to ensure that students enrolled Into their institution commit to their schedule to complete missing credits on a timely manner. Youth in Secondary Education: Obtaining Credential: Any youth in secondary education that obtains their High School Diploma or GED during current year or follow up will receive a Gift Card incentive. This is to encourage youth for completing their educational goal of obtaining a credential for finishing theirsecondary education in a timely manner. Because this is a high demand credential by employers we want to use this incentive as a way to help them secure and achieve employment goals. For Current youth: Gift Card incentive will be.$100 For Follow-up youth: Gift Card incentive will be $50. Must be completed before the last day of the 41h quarter after Exit. Attendance: Youth in secondary education will receive a $50 Gift Card incentive for every month of perfect attendance. This is to encourage school attendance and progress towards obtaining their HS Diploma. Basic Skills Deficient [BSD) Youth: WIOA participants that are identified as basic skills deficient upon enrollment will receive weekly tutoring in Math and/or Literacy (see Work Based Learning Policy), To encourage tutoring participation and motivation to improve their Literacy and Numeracy skills; youth will receive a $25 gift card per subject when they increase by at least one EFL (Educational Functioning Level). 25A-63 7 110C CHILDREIK"S THERAPEUTIC ARTS 2215 N Broadway • Santa Ana, CA 92706 •.714.547.5468 • Fox 714.564.9690 • vrwN.occtac.org 50 1 (c)3'Federol Tax ID# 33-0930891 Employment for Currently Enrolled Youth: To motivate youth to complete their employment goals participants will receive a $50 Gift Card incentive when they meet at least one of the following goals and provide supporting documentation of completion: • Turn in application for a job and get an interview • Obtain employment • Employed for 3 consecutive months Employment for Youth in Follow -Up.• • Turn in application for a job and get an interview: $25 Gift Card incentive • Obtain employment: $50 Gift Card incentive • For each quarter employed: $50 Gift Card Incentive Post -Secondary Education for Currently Enrolled Youth: Participants are encouraged to complete their -goals toward post -secondary education so that they may advance in their careers and increase their chances of earning higher hourly wages, Participants will be eligible for a $100 Gift Card. incentive if they have achieved one of the following goals toward post -secondary education and provide supporting documentation of completion. • Obtaining a Credential such as: Associates,Degree or Certificate • Registering for classes for spring or fall semester and FAFSA/Dream Act Application Post -Secondary Education for youth in Follow up: • Obtaining a Credential: $25 Gift Card incentive • Registering for Fall or Spring classes: $25 Gift Card incentive 25A-64 EXHIBIT 1 I , a:rti_._10C CHILDREN'S I THERAPEUTIC ARTS 2215 N Broadway - Santa Ana, CA 92706 - 714.547.5468 -,Fox 714.564.9690 - vnvw.occloc.org 501(c)3 Federal Tax ID# 33-0930891 YOUTII PROTECTION POLICY 2019-2020 These OCCTAC Youth Protection Policy Guidelines are designed to help protect our youth in a proactive manner against verbal and sexual abuse (hereinafter "abuse"). OCCTAC prohibits any form of harassment of applicants, visitors, organization members, employees and especially YOUTH. All persons, including youth are to be treated with courtesy, dignity and.respect at all times, Sexual harassment is defined as unwanted sexual advances or visual, verbal or physical conduct of a sexual nature. The definition encompasses many forms of offensive behavior and includes gender -based harassment of a person of the same sex as the harasser. OCCTAC Staff and Volunteers must be able -to identify abuse when they see it, know their responsibilities to report suspected abuse, and provide a quality of leadership that will ensure that no child becomes the victim of abuse through willful act while participating in OCCTAC. Definition of Abuse Abuse is defined as verbal and sexual abuse, sexual harassment, and inappropriate sexual verbalization The OCCTAC program requires OCCTAC staff and volunteers to provide good supervision, maintain safe surroundings, and ensure a safe and secure environment that eliminate and prevents opportunities for abuse. Touchine Youth. Employees and Volunteers need to be mindful that an affectionate ("harmless") gesture towards a child could be construed as inappropriate by the child or the child's parent. Complementing Youth. A supportive comment or words of encouragement serve as positive reinforcement from the OCCTAC Staff and Volunteers for the youth's accomplishments and good behavior are safer than those cotntnents related to appearance. Rewarding Youth. Should an employee or volunteer wish to give a reward or token gilt to.a child, it should be something that is given to other children in the same circumstances. Otherwise, the child or the parent could misconstrue the gesture. Photos of Youth Members OCCTAC policy prohibits the posting on the Internet of photos of youth identified in any way, such as by name, region, or club affiliation. The publication of photos of youth, identified or not, is permitted in OCCTAC and related publications whose distribution is limited primarily to OCCTAC staff. 25A-65 EXHIBIT 1 OC CHILDREN'S THERAPEUTIC ARTS 2215 N Broadway • Santa Ana, CA 92706. 714.547.5468 • Fax 714.564.9690 • www.occtac.org 501jc)3 Federal Tax DO 33-0930891 Interactions with Children[Youth An adult should NEVER be alone with a child or youth under any circumstances. Reporting Suspected Sexual Abuse The primary reason for reporting sexual abuse is to protect the youth from further abuse. In addition to protecting the youth, reporting abuse can also provide help for the suspected abuser, Who must Report OCCTAC Employees and Volunteers shall assume the primary responsibility for reporting abuse as may arise within the Youth programs. When to Report OCCTAC Staff and Volunteers are required to report abuse if s/he has knowledge of, or observes a youth who s(he knows or reasonably suspects has been the victim of abuse. Therefore, as soon as an employee or volunteer has knowledge of, or observes a child who s/he knows or reasonably suspects has been the victim of sexual abuse, that person must take a report to local child protective services or cognizant law enforcement authorities. No person may impede or.inhibit the reporting duties. In addition, no person making such -a report shall be subject to any sanction for making the report: Any person who violates the rights of an individual to report may be guilty of an.ittfraction punishable'by fine. Reporting Proeedures All employees of OCCTAC are required by law to report any knowledge of child abuse that may be occurring to any student or child that attends our center. Any observed indications of child abuse that would lead you to suspect that there is child abuse present in the child's life, shall be reported immediately. OCCTAC will conduct yearly trainings for staff on child abuse identification procedures. Report Child Abuse to: Orange County Child Welfare Services Agency (OCCWS) 888 N. Main Street ' Santa Ana, CA (714)940-1000 (800)207-4464 2 25A-66 EXHIBIT 1 YSPN MEMBER PERFORMANCE PLAN 2019.2020 W IOA YOUTH POPULATION lc'"-11i 7,6 14 WICIA ELEMENTS I PERFORMANCE MEASURES I mark a "x" next to tna elements pro•vided'n your (Pmv.-ted Berclanarks subject to mange 7rogram Baseline=3Ll X . i. Tuterirrd, study skills :raining, Hropnut prevention _ SL'r'ateglrs 2. Alternative secondary schco! servlcus or drapout X 3. Paid & unpaid work experience that have aradvnilc and Occupadonal components, which may includo: surnmere.-nolOymrnt, pra-apprentkeship, Internships & jolt-shadow.rig, or On -the -Job mining (20% of funds must be used for this element) X 4. Orcuaatlonal s�dlls training —priority for mcagnized credentials al'pned with sectors in- dr: ^nand X S. tdurrt'on offered concurrently A.-ith workforce - prr;paraticn activities — ... _ X 6. Leadeisl•ip dovelapment-cammmnliy sorvice & peer crntered activities X 7. Suhaortive Services S. Adult in.c..moring X T9. Follru, up services for riot less their. 12 aft.nr exit ireauiredi X 10. Comprehensive guidance & counseling drug & a:cohol, X 11. Flnanclal literacy X 12.Crtrepreneurialslc.Ilstreining X 13. Labor marker inforrnadon-carecraerareness and X 114. Activities to help youth prepare for ana tran3liOnto nos:secondary education EXHIBIT 0 1. %of Participants who are In education,/training, or In :insubsidized employrent during the 2"d quarter after exit _ Benchmark: 66% 2. % OF Participants who are in educatian/4ra1ning, or in wsubsldined employment during the 4111 q: aster after exit Benchmark: 54% 3. Tho median earnings or Participants in unsubsidized employment during the 2'id quarter. after exit Benchmark: BL.* "Fending fur.::her•Strtte and Federal guidance._ 4. 1 of participants who, during the program, are in educat!on or tralnih.- that loads to a recognlzed postsecondai y crerl^ntial or employment AND who are achlevin,- measurable skill gains Benchmark; SL'" "Pendi'ny fur[Iirr.StatC and Federa_ i guidonre. S. 90 of Participants vvho obtain n recognized postsecondary credendiiI or secondary diploma during participation On vrithin 1 year after exit _ Benchmark; s4% 6. z"frer .-:ivencss in serving employers Benchtnark:BL" `Pending further Stare and Federal guidance. 25A-67 EXHIBIT 1 COMPLAINT HANDLING UNDER THE Workforce Innovation Opportunity Act Santa Ana Local Workforce Development Area Revised May 20. 2019 EXHIBIT C 25A-68 EXHIBIT 1 Table of Contents 1. Information Regarding Complaints 3 A. Nondiscrimination and Equal Opportunity Complaints— 3 1. PClicy Statement 3 2. Civil Rights _. 4 3. Nondiscrimination laws underWl4A_---� 4 4. Flow to File Your Complaint 5 B. Criminal Complaints 8 II. General Procedures for Handling Non -Criminal Violations of the Act 6 Ill. Procedures for Handling Complaints at the LWDA Level 8 IV. Procedures for Handling Complaints at the State Level 12 V. Procedures for Handling Discriminatlon Complaints by Participants,_,.,_ 15 'VI. Procedures for Handling Disability Complaints by Participants 17 GLOSSARY OF VIIOA TERMS 2 EXHIBIT C 25A-69 EXHIBIT 1 Information Regarding Complaints A. Nondiscrimination and Equal Opportunity Complaints 1. Policy Statement In carrying out the purpose of the Workforce Innovation Opportunity Act (MOA), the City of Santa Ana Local Workforce Development Area (LWDA) will establish programs to prepare youth and unskilled adults for entry into the labor force and•to afford job training to those individuals facing serious barriers to employment. Every effort will be made to provide services necessary for eligible individuals to obtaih productive employment. In implementing WIOA, all contractors in the Santa Ana LWDA will foster equal opportunity and non-discrimination, as provided in State and Federal equal opportunity and non-discrimination laws Including, but not limited to: • Title VI of the Civil Rights Act of 1964 ■ Title VII of the Civil Rights Act of 1964 ■ The Age Discrimination Act of 1975, as amended • Section 503 of the Rehabilitation Act of 1973 • Section 504 of the Rehabilitation Act of 1973 • Title IX of the Education Amendments of 1972 • Section. 1 SS of the Workforce Innovation. Opportunity Act of 2014 In keeping with our commitment, no individual shall be excluded from participation in, . denied benefits of, subjected to discrimination under, or denied employment, in the administration or of in connection with any WIOA funded program because of race, color, religion, sex, national origin, age, disability, or political affiliation or belief. Participation in programs and activities financially assisted in whole or in part under WIOA shall be open to citizens and nationals of the United States, lawfully admitted permanent resident aliens, lawfully admitted refugee, parolees, and other individuals authorized by the Attorney General to work in the United States. No individual will be intimidated, threatened, coerced, or discriminated against because of filing a complaint, furnishing information, or assisting or participating in any manner in an investigation, compliance review, hearing or any other activity related to the administration of WIOA. 3 EXHIBIT C 25A-70 EXHIBIT 1 Administration responsibility for this Equal Opportunity/Affirmative Action (EOIAA) Program is delegated to the Equal Employment Opportunity (EEO) Officer for the Santa Ana local Workforce Development Area. Equal opportunity and non- discrimination, however, will only be achieved through leadership and implementation of a viable Affirmative Action Equal Opportunity Program. 2. Civil Rights No one applying for or enrolled in the Workforce Innovation Opportunity Act (WIOA) programs may be discriminated against because of race, color, creed, disability, national origin, sex, age, political affiliation, or beliefs. This means that -- for any of the characteristics listed above: • You may not be denied the opportunity to enroll in WIOA, • No benefits or services may be denied you for discriminatory reasons. ■ You may not be segregated or treated any differently from other applicants or ' participants, while you are being registered, interviewed, counseled or tested; or . while you are working or attending classes as part of the program, • You must be provided an equal chance to use all facilities available in the program. Fair employment practices must be provided to all staff with regard to recruiting, hiring, transferring, promotions, training; compensation, benefits, layoff, and termination. You have the right to make a complaint if you feel you have been denied any.of the above opportunities. You cannot in any way be penalized forfiling a complaint. Your . WIOA sponsor has established a mechanism for handling complaints and grievances. Your complaint must be filed within 180 days. All complaints will be handled confidentially_ 3. Nondiscrimination Laws under WIOA Title VI of the Civil Rights Act of 1964 Prohibits discrimination on the basis of race, color, national origin, or religion. The Age Discrimination Act of 1976 Prohibits arbitrary discrimination against persons' age 40-70. The Rehabilitation Act of 1973 EXHIBIT C 25A-71 EXHIBIT 1 Prohibits discrimination based on disability, Title IX of the Education Amendments of 1972 Prohibits discrimination in any education or training program or activity receiving federal financial assistance. OTHER CIVIL RIGHTS LAWS: Title VII of the Civil Rights Acts of 1964 Prohibits discrimination in employment based on race, color, religion, sex,. or national origin in all terms and conditions of employment and establishes the Equal Employment Opportunity Commission as the administrative agency. White House Executive Order no 11246 as Amended by Executive Order No. 11375 Creates the office of Federal.Contract Compliance and prohibits discrimination based on race, color, sex, religion, or national origin. Department of Labor. Secreta 's Order no. 4-73 Prohibits discrimination based on sex. Equal Pay Act of 1963 Prohibits pay differential solely because of sex. Emergency Emm to ment Act of 1971 Prohibits discrimination based on race, creed, national origin, political affiliation, or beliefs, 4. How to File Your Complaint a. Put your complaint in writing. b. Have it sworn to before a notary public, if possible. c. Provides details that tell what happened, where it happened and when it happened. d. Give the name and addresses of all persons who were present or who had anything to do with the matter. ...Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief, retaliation and citizenship, must be filed within 180 days of the alleged occurrence directly with: EXHIBIT C 25A-72 EXHIBIT 1 Director Civil Rights Center U.S. Department of Labor, Room N-4123 200 Constitution Ave., NW Washington, D.C. 20210 Complaints on the basis of disability must be filed within 180 days of the alleged occurrence. These complaints must be filed directly with the WIDA administrative. . entity. The WIDA administrative entity shall issue a written decision within 30 days of . the filing of the complaint. If the complaint is still unresolved, an appeal may be made to the Chief of State Workforce Investment Division Office. The Department of Labor, the Civil Service Commission; the Equal Employment Opportunity Commission, and many other offices and agencies are committed to assuring equal employment opportunities for all persons. They will protect you. A case may be taken to court if the other processes do not yield satisfactory results. You may hire your own lawyer, or if you cannot afford one, the court may appoint one for you. It is unlawful for an employer, union, or employment agency to punish you or any witness for attemptirig to present the facts in a case. YOUR CIVIL RIGHTS UNDER THE WORKFORCE INNOVATION OPPORTUNITY ACT . Santa Ana Local Workforce Development Area 801 W. Civic Center Drive, Suite 200 Santa Ana, CA 92701 (714)565-2600 . S. Criminal Complaints In accordance with the WIOA and the implementing code of Federal section 667.600.... Federal handling of criminal complaints and reportfraud, abuse -and othercriminal . activity. "AII information and complaints involving fraud, abuse or other criminal activity shall be reported directly and immediately to the City of Santa Ana and the Secretary of Labor." General Procedures for Handling Non -Criminal Violations of the Act The following procedure is promulgated to meet the requirements of Title 20, of the Code of Federal Regulations, Section 186 through 188 of the WIOA regulations, and Section 181 of the Act (Public Law 105.200: 29 U.S. Code Sec. 2931 et seq.) at the State and LWDA level forthe receipt, investigation, hearing, and resolution of complaints by WIDA participants; sub EXHIBIT C 25A-73 EXHIBIT 1 recipients, applicants for participation, or financial assistance, labor unions, community based organizations, or any other persons. These procedures provide for resolution of non -criminal complaints arising from the operation of the Santa Ana LWDA. A complaint is defined here as a written expression by a party alleging a violation of the Act, regulations promulgated under the Act, recipient grants, sub agreements, or other specific agreements under the Act, including terms and conditions of employment of such participants in employment training programs. All complaints, amendments and withdrawals shall be in writing. These procedures are intended to resolve matters which concern policies, procedures or action(s) arising in connection with WICA programs operated by each LWDA grant recipient... and sub recipient tinder the Act. These procedures shall not be construed as. affecting any other available legal remedy outside of the WIOA complaint process (i,e., disputes regarding terms and. conditions of employment of. any employee who is not a participant), either separately or simultaneously, that a person'may wish to pursue in the resolution of a non-WIOA complaint. Also, these procedures do not restrict the L.WDA grant recipient staff in carrying out informal discussion Procedures do not restrict the LWQA grant recipient staff in carrying out informal discussion and resolution of any problems outside of and without resort to the formal complaint procedure. A. The following principles and rules apply to all complaiMs at all steps of the complaint procedures: All complaints must be made in writing within 180 days of the alleged occurrence, " except complaints alleging fraud or criminal activity. 2. All persons fling a complaint shall be free from restraint, coercion, reprisal, or discrimination. Good faith efforts shall be made to informally resolve the complaint prior to the scheduled hearing. Complainants' have the right to withdraw their complaints (in writing) at any time prior to the hearing. A complainant may amend . his/her complaint to correct technical deficiencles but not to add issues. 3. Complainants shall have the right to be represented at their own expense by person(s) of their choosing at all levels of the complaint process. 4. Upon enrollment into employment or training, participants shall be provided with a' written description of these procedures, including notification of their right to file complaints and instructions for filing. An employer of participants, including private -for -profit employers of participants, may use this or other complaint resolution procedures so long as the participant is informed of the complaint resolution procedure they are to follow and the time frames governing review of complaints are met. EXHIBIT C 25A-74 EXHIBIT 1 A "participant", within the meaning of these.procedures, is an individual who receives employment -training services under a program funded by Santa Ana LWDA. The Complaint Resolution Procedures contained herein (or the alternative procedures which an employer may use) shall be available to participants to resolve disputes regarding items and conditions of employment of such participants in employment training programs. However, such procedures shall not be used to resolve disputes regarding terms and conditions of employment of any mployee who is not a participant, as defined herein; 5. If a complaint does not receive a decision at the LWDA grant recipient level within 60 days of filing the complaint or receives an unsatisfactory decision, the complainant - then has a right to request a review of the complaint by the Governor. Complainants must initially file and exhaust LWDA grant recipient/hearing procedures prior io appealing to the State except where the State determines that the LWDA . grant recipient's procedures are not in compliance with the State's procedures. Ill. . Procedures for Handling Complaints at the LWDA Level A. Receipt Complaints Pursriant to the WIOA regulations found at 20 CPR, Section 683.600, the LWDA administrative entities have the responsibility to conduct hearings and resolve complaints made by. individuals about the administration of programs in the LWDA. "LWDA level" encompasses LWDA administrative entity and employers to which the administrative entity has delegated the complaint resolution. process. The following comprise the guidelines for resolving issues arising in connection with WIOA programs operated by the Santa Ana LWDA including resolutions of complaints arising from actions, such as audit disallowances or the imposition of sanctions taken by the Governor with respect to audit findings, investigations or monitoring reports. 1. Form and Filing of Compliant Official filing date of the compliant is the date the written complaint is received. The filing . of the complaint with the Santa Ana LWDA Equal Employment Opportunity Officer shall be considered as a request for hearing and a decision must be issued within 60 days. The complaint must be in writing and must be signed and dated. The complaint should also contain the following information: a. Full name, telephone number, if any, and mailing address of the complainant; b. Full name, telephone number, and mailing address of the agency involved (respondent); c. Clear and concise statement of facts including dates constituting alleged violation; d. Whal provisions under the Act, regulations, grantor other agreements under the Act, are believed to have been violated; EXHIBIT G 25A-75 EXHIBIT 1 e, Remedy sought by the complainant; and If the complainant is a private or public entity or corporation, and not a natural person, the filing of the complaint must be duly authorized by the governing body of such entity or corporation, The absence of any of the requested information -shall not be a basis for dismissing the complaint. A copy of the complaint must be sent to the respondent and both parties notified of the' opportunity for an informal resolution. At each step of the complaint process, the complainant . must be notified in writing of the next procedural step. 2. Informal Conference Informal conferences will be utilized by the Santa Ana LWDA to resolve complaints; however, such informal conferences shall not extend the time within which a decision must be issued after receipt of a complaint. Attempts at informal resolution will commence with two (2) Weeks of the date of filing of the complaint. a. The EEO Officer will review the case and ascertain facts prior to the conference so that appropriate resolution can take place at the time of this meeting whenever possible. b. Although the complainant should tie encouraged to attend this conference; hislherfailure to do so should not preclude his/her right to request a hearing on the matter. c. If mutually satisfactory resolution results and the Santa Ana LWDA concurs. the EEO Officer will write a brief report for the file stating the issues and resolution. The matter shaft then be considered closed, d. If resolution does not result, the complainant shall be provided the necessary information and assistance to request a hearing if he/she so desires. 3. Requesl for Hearing a. As in the case of the -complaint, the request for a hearing should be put in writing and be filed in person or by mail. A governing board resolution of authorization to appeal should also be submitted when appropriate. The request should be filled with: Jennifer Sommers Sr. Personnel Analyst -- EEO Officer 20 Civic Center Drive, M-24 Santa Ana, CA 92701 (714) 647-5348 EXHIBIT C 25A-76 EXHIBIT 1 b. A hearing will be scheduled by the EEO Officer within thirty (30) days of the date of filing of the complaint. A. Notice of Hearing Upon receipt of the request for hearing, the complainant and the.respondent will be notified in writing of the hearing ten (10) calendar days prior to the date of the hearing. The ten-day notice may be shortened with the written consent of the parties. A decision will be issued by the Santa Ana LWDA within sixty (60) days of the date of filing of the complaint. The hearing notice shall be in writing and contain the following information: a. The date of notice; name of the complainant, and the name of the party against whom the complaint is filed. 6. The date, time and place of hearing before an impartial hearing officer. c. A statement(s) of the alleged vialation(s) d. Advise as to where information or assistance may be obtained, and the name, address, and telephone number of the Santa Ana LWDA Equal Employment Opportunities (EEO) Officer who can answer inquiries. B. Conduct of Hearing The hearing shall be conducted in an informal manner with strict rules of evidence not applicable. Unnecessary technicalities should be avoided. It should provide the flexibility to enable adjustment, to the circumstances presented. 1. The hearing officer shall, have complete independence to obtain facts and make • decisions. The hearing officer shall be in a position to render impartial decisions and thus should not be subordinate to the Santa Ana LWDA or its sub recipients. The hearing officer will be selected from a list of names on file With the EEO Officer. 2. Full regard must be given to the requirements of due process to insure a fair and impartial hearing. 3. The hearing office designated by the. EEO Officer to function in a quasi-judicial capacity should begin the hearing by summarizing the record and the issue and should explain the manner in which the hearing will be conducted, making sure'that everyone involved understands the proceedings. Such explanations should be adapted to the needs of the specific situation. The hearing officer might take testimony under oath or affirmation to give some assurance of veracity to the hearing. 10 EXHIBIT C 25A-77 EXHIBIT 1 4. The burden of proof should be reasonable and flexible, dependent upon the circumstances of the case involved. The hearing officer determines the order of proof, Generally, the party making the complaint has the obligation of establishing his or her case and should be examined first. 6. The party involved should have the right to be represented (at their own expense) he/she so desires. Other he/she is limited to his/her own abilities and those to the hearing officer in obtaining testimony in the case, 6. It is important that the hearing officer obtain the fullest information for the record. If the parties involved; or their representatives, do not know how to ask the right or pertinent questions In pursuing their right to due process, it shall be necessary for the hearing officer to step in to have all the materials and relevant facts elicited. 7. The practice in informal hearings is generally not to apply strict rules of evidence in obtaining facts. However, the quantity of evidence required to support a decision on an issue should be sufficiently credible that the state (or other appropriate agency), upon reviewing the decision, would conclude that the decision is supported by substantial evidence. 8. The hearing officer should attempt to negotiate a resolution of the issue at any time prior to -the conclusion of the hearing, Within ten (10) days of the conclusion of the hearing, the hearing officer will issue a recommended decision to the LWDA for final determination. The recommended decision shall be in writing and may be accepted, rejected or modified by the Santa Ana - Workforce Development Board. C. Issuance of Decision Within sixty (60) calendar days of filing of the complaint, the Santa Ana LWDA shall issue'a. written decision to all parties by first class mail. The final decision shall contain the following information: 1. The name of the parties involved. 2. A statement of the alleged violation and issues related to the alleged violation. 3. A statement of the facts. 4. The decision and the reasons for the decision. 5. A statement of corrective action; if any; to be taken. 6. Notice of the right to request, within ten (i D) calendar days of receipt of the decision, a review of the decision by the State Review Panel. .1.7 EXHIBIT C 25A-78 EXHIBIT 1 D. Record of Hearing An administrative file containing support documents on the complaint resolution process hearing conducted will be retained by the Santa Ana LWDA. The purpose of a record is to serve as substantiation of the process followed by the Santa Ana LWDA on the resolution of the issues and the results. This information would then be available for subsequent review in the event the matter is raised with the State. Such records must be retained for a three- year period.after the grant has been officially closed out. The Santa Ana LWDA's written decision will be included in the record. Evidence received at the hearing, notes by the hearing officer; stenographer's notes and tape recordings may also be used. E. Establishment of Complaint Procedures In accordance with Section 683.600, each employing agency including private -for -profit employers'of participants under the Act is required to establish a complaint procedure for resolving matters relating to the terms and conditions of employment. Employers may operate their own grievance system or may utilize the Santa Ana LWIDA's established procedures under Section 683.600. At a minimum these procedures must include: Written notice, upon enrollment into employment training services, of the scope and availability of such procedures. Employer's grievance procedures shall be set forth in a written document and must meet the regulation mandate that a complaint will be resolved with sixty (G0) days from the date the complaint was filed, A copy of employer's grievance procedure shall be provided to each participant upon enrollment in employment training. Written notice, at the time the grievarce is filed; of the procedures under which the grievance will be processed. Written notification of the disposition of the grievance and a written decision shall be issued within thirty (30) days of the filing of the grievance unless•a present and. long established grievance specifically provides other limits; and 4. Written notification of the participant's right to request a review of the employer's decision by the Santa Ana LWDA and the State Review Panel in accordance with Section 683.600. IV. -Procedures for Handling Complaints at the State Level Section 181 (c) of the Act and the WIOA regulations at 20 CFR, Section 683.600 (d) requires the Governor to establish a State Review process of complaints filed at the LWDA grant recipient level aid of complaints initially filed at the State level. Appeals of decisions issued at the LVVDA level including audit disallowances and sanctions shall be reviewed by the State Review Panel_ The State Review Panel shall review the record tz EXHIBIT C 25A-79 EXHIBIT 1 established at the LWDA level and shall issue a decision based on the information contained therein. Complaints which may be initially filed at the State level will be heard by an independent hearing officer designated by the State Workforce Investment Division (WID), The hearing officer shall conduct a hearing and issue a recommended decision to the State Panel. The recommended decision shall be in writing and may be accepted, rejected or modified by the . -State Review Panel. A. Form and Filing of Complaint. 1. Request for State Review of LWDA Level Decisions On receipt of a complainant's request for review because of an unsatisfactory decision, the State shall provide for an independent state review, 2. Filing of Requests for State Review The State Review. Panel shall re'view all LWDA level decisions when a requestfor review is filed within 10 days of receipt of the adverse decision: Such requests must be filed in writing with the Chief of the WID Office. The request for review should contain the following information: a. Full name, address, and telephone number of the party requesting the review b. Full name, address, and telephone number of the other party c. A copy of the decision d. Brief statement of reasons for review or the section of the LWDA decision to be reviewed including regulatory and statutory citations e. A statement of the relief sought. S. Complainant Responsibility It is the responsibility of the complainant to include in the request for review a written statement setting forth the facts presented at the LWDA hearing which support the requested relief. The Chief, WID, shall mail a copy of the request for review to the other party and to the LWDA. It shall be the responsibility of the LWDA to submit the complete record including a typed record of the hearing to the Chief, WID, within ten (10) days. B. Conduct of Hearings. 1. Request for Hearing at the State Level :. 13 EXHIBIT C 25A-80 EXHIBIT 1 If no decision has been issued at the LWDA level or the State has determined an audit disallowance or imposed sanctions, the complainant may request a hearing. The hearing officer will then issue a recommended decision to the State's Review Panel for final determination. 2. Filing for Request for Review The request for a State hearing shall be filed within ten (10) days after LWDA should have issued a decision or ten (10) days after the issuance of the audit disallowance or sanction. The request shall be filed directly with the Chief of the WID in writing and should include the following: a. Full name, address; and telephone number of the LWDA ' b. Name, address, and telephone number of the LWDA c. Copies of complaints made at LWDA level from which no decisions were issued or sanctions and imposed. d. A statement of basis for the request for hearing. 3, Evidentiary Hearing. Upon receipt of the request for a State level hearing, a hearing before a designated hearing officer will be scheduled. The hearing will be'recorded mechanically or by court reporter. Both parties concerned will have the opportunity to present oral and written testimony under oath, to call and question witnesses in support of his/her position, to present oral and/or written arguments, to examine records and documents relevant to the issue(s),- and to be represented. . The hearing officer shall issue a written decision, which shall be forwarded to the State Review Panel -for final determination. The State Review Panel may accept, reject or modify this recommendation. The decision of the State Review Panel is final except for audit disallowances, which must be approved by the Secretary of Labor C. State Review Panel The State Review Panel will consist of a panel of three representatives from the Employment Development Department: one from the Legal Offices, one from the WID, and one from the Director's office. The panel will issue a written decision, which will be sent to the appropriate parties within thirty (30) days of receipt of the request for State review. 14 EXHIBIT C 25A-81 EXHIBIT 1 Decisions issued by this panel, under the authority of the dovernor, are final. D. Issuance of State Review Decision. The State review will be limited to violations of the WIOA, implementing WIOA regulations or the grant agreement, This review shall be limited to the record established at the LWDA hearing.' V. Procedures for Handling Discrimination Complaints by Participants, A.' Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief, retaliation, and citizenship, where appropriate, must be filed within 180 days of the alleged occurrence. 1_ it is the responsibility of the Santa Ana LWDA's Equal Employment Opportunity (EEO) Officer to determine jurisdiction and to make the complainant aware of and provide assistance in filing a complaint in accordance with the Santa Ana LWDA's procedure under Section II (A). is EXHIBIT C 25A-82 EXHIBIT 1 No faterthan 18o days of al$ged dfscriminr, (ion bViCi'in'-0 days o`. -acei at of unsatisfactory -cision or la :Jays from date I.wl)^. decision should have been :ssuod. Handling of complaints filed of LVVDA level arising In connection with WIOA progroms operated by LWDAs Informal Resolution Process Unsatisfactory Decision or LWDA Decision not issued within 60 days Request for State Review Governor's Uec'.slon issued by State Review Panel If no decision Issued by State Review Panel Appeal to DOL 16 . EXHIBIT C 25A-83 w c N EXHIBIT 1 2. In cases where areas of authority overlap, it is the responsibility of the EEO Officer to advise the complainant of the existence of state, Federal and other proper action agencies; which may also have a bearing. 3. Complainants alleging discrimination under this part will be made aware of their right to file directly with the Office of Civil Rights (OCR), U.S. Department of Labor and applicable procedures. 4. Complainants must file their complaint directly with: Jennifer Sommers Sr. Personnel Analyst— EEO Officer 20 Civic Center Drive, M-24 Santa Ana. CA 92701 (714)647-5348 VI. procedures for Handling Disability Complaints by Participants Complaints alleging discrimination on the basis of disability will be filed and processed under the Department of Labor regulations implementing Section 504 of the Rehabilitation Act of 197'3 at 29 Code of Federal Regulations Section 32. 1, Complaints must exhaust the Santa Ana LWDA's informal resolution procedures before filing their complaint with OCR. 2. Complainants will be made aware of the 180 days requirement in which to file his/her complaint. A. Procedures at the LWDA Level The complainant shall file his/her complaint directly with the Santa Ana LWDA. Upon receipt of the complaint, the EEO Officer shall investigate and gather information concerning the complaint.. 2. An informal conference will be held with the parties concerned in an effort to resolve the. issue(s). The complainant has the right to be present and may be represented during the conference. 3. The Santa Ana LWDA shall issue In writing its decision to the complainant no.later than thirty (30) days after the filing of the complaint. B. Procedures at the State Level 1. The complainant may appeal to the State if he/she is not satisfied with the decision of the Santa Ana LWDA. 17 EXHIBIT C 25A-84 EXHIBIT 1 2. The Complainant must file his/her appeal as a request for review directly with the Chief. WID within ten (10) calendar days after the receipt of the Santa Ana LWDA's decision. 3, The Chief-WID, shall issue a decision no later than thirty (30) calendar days after receipt of the request for review. 4, After the complainant has received a decision or no decision has been received from the Director of Employment Development Department (on behalf of the Governor), the complainant has the right to appeal his/her complaint within thirty (30) calendar days to the Office of Civil Rights (OCR) with the Department of Labor. 1s EXHIBIT C 25A-85 EXHIBIT 1 Jvr jaiCf i.'ial) 180 days al .Paged dlscri!'ninalloa Filed wichln 31) days of LVVDA/Sta:e Deeisior. or 9.1 days fram dale al" initial filing of cornplalrits Filing of complaint on L•ha basis of Disabllitywitlt LWDA ) _ Informal Resolutfon I If no resolution reached Request for hearing NoLicc of Hearing I I erring Conducted I LWDA Derision Ulnsatisfactor Decision or No pecision Statc Review Go•dernor's Decision Appeal to Assistant: Secrotary Depwiment cf Labor 1J EXHIBIT C 25A-86 Day 1 Day145 Ary 50 Days EXHIBIT 1 GLOSSARY OF WIOA TERM AGE DISCRIMINATION ACT — A law passed by Congress In 1975 which prohibits discrimination on the basis of age by any program or activity receiving Federal Funds. APPLICANT — An individual who applies to a subrecipient or contract for services provided. under VVIOA and who has not yet transitioned to the status of participant. ASSESSMENT— Services designed to determine each participant's employability, aptitudes, abilities and interests and to develop a plan to achieve the participant's employment and related goals; also to identify the available employment and traning activities appropriate for the participant. Testing and counseling may also be used during assessment process. CHARGING PARTY (CP). COMPLAINANT, GRIEVANT, OR AGGRIEVED PERSON — The person who charges that he/she. has 'been discriminated against under Department .of Justice nondiscrimination and civil rights regulations and/or guidelines. DISCRIMINATION — In general, a failure to treat all equally, whether intentional or unintentional; the. effect of an action, policy or practice which selects an Individual or class of persons to receive unequal treatment. ELIGIBLE NON -CITIZEN — Lawfully admitted permanent resident, aliens, lawfully admitted refugees, and parolees and other individuals authorized by the Attorney General to work in the United States. EMPLOYER — An employer subject to the provisions of the. Civil Rights Act of 1964, as amended, including state and local governments and any Federal agency subjects to the provisions of Section 717 of the Civil Rights Act; as amended; and any Federal contractor or subcontractor covered.by executive Order 11248. as amended. GRIEVANCE — An allegation that something imposes an illegal obligation or burden or denies some equitable or legal right, or causes injustice . INDIVIDUAL WITH A DISABILITY — Any individual who has a physical or mental disability that constitutes or results in a substantial challenge to employment. INTAKE — Includes screening to determine .eligibility; to select from eligible applicants those individuals who are most in need and can benefit from program services; to complete procedural requirements necessary to enroll an individual into the program and to refer those not enrolled to . other programs. JOINT COMPLAINT — A complaint of employment discrimination covered by Title VII or the Equal Pay Act and by Title VI or Title IX. Individual ;`joint complaints" are normally investigated by EEOC unless OCR has a compelling reason to investigate. "Joint complaints". alleging discrimination in employment and other practices and pattern or practice "joint complaints" are normally investigated by OCR. 20 EXHIBIT C 25A-87 EXHIBIT 1 JURISDICTION — Authority to investigate and resolve complaints against an institution subject to a law or statute which has been assigned to OCR for enforcement, i.e., Title VI, Title IX, etc. PARTICIPANT -- Any applicant who has: (1) Been determined eligible for participation upon intake;' and (2) Who is receiving subsidized employment, training or services (except post -termination services) funded under the Act, following intake; except for an individual who receives only outreach and/or Intake and assessment services. 21 EXHIBIT C 25A-88 EXHIBIT 1 CERTIFICATION REGARDING LOBBYING CERTIFICATION FOR CONTRACTS, GRANTS, LOANS and COOPERATIVE AGREEMENTS The undersigned certifies, to the best of his or her knowledge and belief, that: 1) No Federal appropriated funds have been paid or will by paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. 2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, Bran employee of a member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement; the undersigned shall complete and submit Standard Form-LLL, "disclosure Form to Report Lobbying." in accordance with its instructions. 3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including agreements) and' Lhat all subrecipierifs shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certificationis a prerequisite for making or entering into this transaction imposed by 31 U.S.C. 1352. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure occurring on or before October 23, 1996, and of not less than $11,000 and not more than $11Q,000 for _ each such failure. • • a C G�cldref� occTAC ,nu� Granteel ontractor Organization ) Program Titlei'OgCUr+� Signature v V ' S'„v. Name of Certifying Official Signature EXHIBIT D 25A-89 EXHIBIT 1 Certification Regarding Drug -Free Workplace Requirements The certification set out below is a material representation upon which reliance is placed by the U.S. Department of Housing and Urban Development in awarding the grant. If it is later determined that the contractor knowingly rendered a false certification, or otherwise violates the requirements of the Drug -Free Workplace Act, the U.S. Department of Housing and Urban Development, in addition to any other remedies . available to the Federal Government,'may take action authorized under the Dnrg-Free Workplace Act. CERTIFICATION A. The contractor certifies that it will provide a drug -free workplace by: (a} Publishing a statement notifying employees that the unlawful manufacture; distribution, dispensing, possession or use of a controlled substance is prohibited in the contractor's workplace and specifying the actions that will be taken against employees for violation of such prohibition; (b) Establishing ak drug -free awareness program to inform employees about — (1) The dangers of drug abuse in the workplace; (2) The contractor's policy of maintaining a drug -free workplace; (3) Any available drug counseling, rehabilitation, and employee assistance program: and (4) The penalties that may be imposed upon employees for drug abuse violations occurring'in the workplace; ' (c) Making it a requirement that each employee who will be engaged in the performance of the grant be given a copy of the statement required by paragraph (a); (d) Notifying the employee in the statement required by paragraph -(a) that.. as a condition of employment under the contract, the employee will - (1) Abide by the terms of the statement; and (2) Notify the employer of any criminal drug statute conviction for a violation occurring in the workplace no later than five days after such conviction. (a) Notifying the U.S. Department of Housing and Urban Development within ten days after receiving notice under subparagraph (d)(2) from an employee or otherwise receiving actual notice of such conviction; EXHIBIT E 25A-90 EXHIBIT 1 (f) Taking one of the following actions, within 30 days of receiving notice under subparagraph (d)(2), with respect to any employee who is so convicted - (1) Taking appropriate personnel action against such an employee, up to and including termination; or (2) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency; (g) Making a good faith effort to continue to maintain a drug -free workplace through implementation of paragraphs (a), (b), (c), (d), (e) and (f). B. The contractor shall insert in the space provided on the attached "Place of Performance" form the site(s) for the performance -of work to be carried out with the grant funds (including street address, city, county, state, and zip.code) .the contractor further certifies that, if it is subsequently determined that additional sites will be used for the performance of work under the contract, it shall notify the U.S. Department of Housing and Urban Development immediately upon the decision to use such additional sites by submitting a revised "Place of. . Performance" form, . I -Date Program Operator Signat til EXHIBIT E 25A-91 EXHIBIT 1 DIVISION OF EMPLOYMENT SERVICES PLACE OF PERFORMANCE FOR CERTIFICATION REGARDING DRUG -FREE WORKPLACE REQUIREMENTS Name: , rQrl's -TterapeirhC Ar}s C'err>Pr W1154 l'rI,. Naive of Contra tor: Cen+�� Con-2tractor Number: A19- Date: July J. 2019 - June 30. 2020 The Contractor shall Insert in the space provided below the she(s) expected to be used for the performance of work under the contract covered by the certification: Place of Performance (include street address, city, county; state, zip code for each site): Ala N. 1`3rouc�.r Yr� +eta, 04 `& RO6 Address EXHIBIT E 25A-92 EXHIBIT 1 Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions This certification is required by the regulations implementing Executive Order 12549, Debarment and Suspension, 29 CFR Part 98, Section 98,510, Participants' Responsibilities. The regulations were published as Dart VIJ of the May 16, ]988, federal Register (Pages 19:16U-19211). (Before completing eertificatian, read Instructions which are an integral part of certification). 1. The prospective primary participant, (i.e. grantee) certifies to the best of its knowledge and belief, Nil: it -and its principals: a. Ari not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any federal department or ageniy; b. Have not within a three-year period preceding this proposal been convicted or had a civil judgment rendered against them for commission of fraud or criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state or local) tfansaction or contract under a public transaction; violation of federal or state antitrust statues or commission of embezzlement•, theft, forgery, bribery, falsification or destruction of records, malting false statements, or receiving stolen property. c. Are not presently indicted for or otherwise criminally or civilly charged by a government entity (federal, state or Inca•I) with commission of any of the offenses enumerated In paragraph (1)(b) of this certification; and d. Have not within a three-year period preceding this application/proposal *had one or more public transactions (federal, state or local) terminated for cause or default. 2. Where the prospective primary participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. 0c C\,�.1Anet,ls Grantee/Contractor QrganlzaLion Name and Title of Official Authorized to Certify 3 . on Behalf of the Grantee Date 25A-93 EXHIBIT 1 INSTkUCTION FOR CERTIFICATION 1. By signing and submitting this proposal, the prospective reclpierrt of Federal assistance funds is providing the certification as set out below. . 2. 1'he certification in this clause is a material representation of fact upon which refiance was placed when this transaction was entered into. If It Is later determined that the prospective reciplent of Federal assistance funds knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the Department of Labor (DOL) may pursue available remedies, including suspension and/or debarment: 3. The prospectle recipient of Federal assistance funds shall. provide immediate written notice to the person to which this proposal Is submitted fat anytime the prospective recipient of Federal assistance funds learns that its certification was erroneous wham submitted or has become erroneous by.reason of changed circumstances. 4. The terms "covered transaction", "debarment", "suspended", "ineligible", "lower tier covered transaction", "participant", "person", "primary covered transaction ", ... prfnciple", "proposal", and "voluntarily excluded", as used in this cause, have.the meanings set out fnthe befinitions and Coverage, .sections of rules implementing Executive Order 3.2549. You may contact the person to whom this proposal Is submitted for assistance in obtaining a copy of those regulations. 5. The prospective recipient of Federal assistance funds agrees by selbmittfng this proposal that, should the proposed cuvered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with.a person who is debarred, suspended, declared ineligible, orvoluntarily excluded from participation in this covered transaction, unless authorized by the DOL. 6. The prospective recipient of Federal assistance funds agrees by submitting this proposal, that it will include the clause title "Certification Regarding Debarment, Suspension, Ineligible, orvoluniarily excluded from the covered transaction unless it knows that the certification is erroneous. 7, Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the cerifficatimi required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. S. Exccpt for transaction.5 authorized under paragfaph 5 of these instructions, if a participant in a covered t'ransactioh knowingly enters Into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntary excluded from participation In this transaction, in addition to other remedies available to the Federal Government, the DOL may pursue available remedies, including suspension and/or debarment•. 25A-94 EXHIBIT EUDGET FORM 2019-2020 _ Y _:::��3:,. n•E:.;. Sri Y.;?:.i-.i�`:C'.':•,.,:-it: ���' :�+ y�� .�^• w;��t % t':',':?.":�.fi•?hY>'i;;`..�..'�S,i,C,i ,C:i" .. fC•:i ,rf)iii¢i•iii Sat- r3gw.s.,t•*.^x `"i;�J3.:1_ n :E::, A.-:, 1. Progralh co0rdiaator & case Mandger,83 Fr- Total V;IDA Coer Matca; In Ind .' ::�C:':`-`F�.;':�ty}' c:? �.: `�..1•', �'g.r;:•: -�"``'�Cin ,E'. - `',Si tiaU��'r- Ext. Dimaor 47:vde ka $21%Itf, 30.v:spr-r wk. 529;510.%0 $29_fiL0,O0 $17,989.UU _ 2. 'o:: Developer & Caen k4anagel .88 PTE Aut. Cleik '7:vr-•n.ks ;;- 8i111. 35 hrs. perwk. .;. Career Coins^br.•5? FI F Ornce Mgr. — 43 4a?p(s $18; hrs.251•rs. pr-.-w(. I. I echiolcey Ins—Lrtor .13 F F E 61)0logy Instructors 32+.eeks S20jar. o •Irs, per wk. S3JUC.uU S_3.20.00 551000.CO . 5. Arts iistr.rr1i'.13 FI'@ _ _ UCCTAC Sta` 12 •d1H4?ks 57Dj:v. 5 hrs. pcn, �vl:. f 53,200d•0 S3,7.00.0n $n I.)bp D. LItEI'aCy CO3C.'1 .25 F'.F Fhec. Admin/ 32 wanks $-!1M. 30 hrs. par •mic. S5,440.00 .$5,440.00 Computer 569AD0 \urncrzcy C.oa:h .2!; h11 Chlkl 1.)ev. Certificate 32 suer-<s$1�.f7i1:r. :.iif rs. per wk. $�r,g4U.DU 55.44.7.UC $_28,COb .i!i i, .V>:t'tiS::"x+d',..r ;v'+ !Z' ., fi..... .. AJ01.25 - :k': 'I<i. $3:701.25 ' 1. Pma•arn Ccard!ntor 2,236,0 $3,70_.25 1,0/0-00 _2. Job D2velo�Er & Caoc Nlaragd' _ $2,418.75 52.419.7+ R. _ C8 reer COL i5elor .._ .- 5400.00 4. T"_r.',ndogy lnslru•_tur 625.00' - — .Arcs lnstrwWr $4CU.00 S400.00 21,812,50 :.Iterac:r Coach $68ua S6an.CrD a,u"7b m ' 7. ' .Nurnerrc• Coach $630.D(I $::BU.CO 16:UvU.00 Total Pcrsovel Salaries&Benefits $-.0 7,831.25. $107,831.25 451,470.50 MK.1y, M, }p�.' i y'I r•i\.: •aF : w.'}>. - ',4%'�;r:S:L`'F'"\F"v,'s' - .::IitiOS , -. Phr-ors ParlcirP, r"__s N/A SeCLII'ty ...: ':N/A _ LSnir:Oranm -.. .. - _.. $a,9nn I . Eq.lipn-r-r.: •.coral !a?s' f1jA - Accrue:iig Sc�eio^s _ .. .- _r -- - _ -.. ._ rrcln 'vase _ .. 1711 ire ax.;enses ;cons: rnnb'es; _ $1,500:00 $2,300.G0 .y38,c06 _ $1,5v0.00 N/A 52.3-1-3.00 $17,21i0 I.Ngdl Services' _.. .4ad'ling ServlcEs -.. NIA - $9,0U9 f3^OCi.._ Srad 1"raisin$ _ Staff Cunfe.,crccs N,A Staff T'<lval/vfil^_a,^- $2C'O.00 Vc0.00 N/A $S.S,nOC.DU Pa-ticlF' ..... _ $w,.Dom NIA $12,nf.0,UU Sdpoertivc Sen•ices $1I,i,'20:00 - - N/A - $2,i•JO �'U Participant lrconrivas...; yX:000.0'0 N/A S800.01) Youth Corierences S$OO.OU N/A Irdhw.Cost 511,2E8.75 $11259-79 18,09Y.27 Pallaw Up S5,00.Oc S5,00C•.00 ' N/A Total Olierating Expenses $91,938.75 $91,938.13 $791,633.27 GRAND'rO7Al(Personnel +O eratingl $199,7711.00 199,770.00 1 $693,103.77 25A-95 ttachnnent BUDGET NARRATIVE Organization: orange County Children's Therapeutic Arts Center Fe net 107 831.25 Program Coordinator & Case Manager —.75 FTE for 47 weeks: (Benefits Included) 30 hours a wcok for47 weeks @ $213)0 per Hour The Coordinator will work 30 hours a week for 47 weeks providing: recruitment & eligibility intake, assussment, documentation & rase notes; identify barriers and goals; monitor progress & goals; rneet regularly - . with individual WIA participants to train on employment arid job skills; represent DCCTAC In provider network and youth council reetings; organize and attend OCCTAC—WIA Staff Meetings and dnrument input; organize relative activities. Distribute WEX hours to youth and keep track of all paid hours and supportive service activities. Also, the coordinator wjll provide assistance to youth during follow-ups, and complete any related ddcumentation. Job Developer / Case Manager— .88 fTE for 47 weeks (Benefits included) 35 nours'a Weak for 47 weeks @ 518.00 per flour The Job developer is responsible for creating job opportunities for clients by researching, identifying and soliciting commitments from possiblo sources of employment; and provide clients with soft•skills and job search tralning. Job developer+, will also locate employment opportunities that fit each individual youth depending on barrie r such as Disabelity, probation, or parenting youth. The Case manager portion of this position includes prrnildjrig documentation & case notes; identify harriers and goals; rtionitor progress & goals; meeting regularly with individual WIA participants to train on employment and jab skills; represent DCCTAC in provider network ad youth council meetings; organize and attend DCCTAC- WIAStaff meetings and document input; organize related activities, such as! workshops, mock interviews etc. Career C4unselor—.63 r'f for 43 weeks: (Benefits Included) 25 hours a weel( for43 weeks @ $1.3.00 per hour; The respective position will be responsible for providing educational and career training to all WIA participants; menloring and assisting with related wort( experience placeamnt; observing -arid rlonitoring participants with technical/artistic skills; documenting progress throughout the program; meeting regularly & IndividilallywIi:h WIA participants to train on related curriculum; and attending regular team meetings. Technology Instructor —.13 FIE for32 weeks: (Dereflfs Included) 5 Hours a week for 32 weeks @ 20.00 per hour; The: respective position will be responsible fur providing educational and career training to all WIA participants as it relates to the teclinclogyfield; rnentoring and assisting participantswith related work experience plicements;.observfng and monitoring participants with technical skills; documenting progress throughout the program; meeting regularly& individually with WIA participants to train on related curriculum; ' and attending regular tem teetings. Arts Instructor.13 FTE for32 weeks: (Beneflts Included) 5 Hours a week for 32 weeks @20:00 per hour: The respective position will be responsible for providing educational and career training in the Arts to all WIA participants; mentorfng and assisting particlpantsi with related work experience placerrims; observing and monitoring participants with artistic skills; documentation progress throughoutthe program; meeting regularly & individually with WIA participants to train on related curriculum; and attending regular team meetings.. 25A-96 ttachrlYent A Literacy/lnstructor—.25 FT£ for32 weeks: (Benefits Included) 10 hours a week for32 weeks @$17.00 . The respective position is responsible for assessing the Iltcracy and basic slalIs of all WIA participants; teaching VJIA participants learning and literacy stratLgies; monitoring & documenting literacy progress throughnutthe program; meeting regularly with k-V A participants and attending mgularteam meeting. Numeracy Coach/Instructor—.25 FTE for32 weeks: (Benefits included) 7.0 hours a week for 32 weeks 6$17.00 The respective position will be responsible far assessing the numeric and basir. skills of all participants; ' teaching WIA participant's learning and mathematical problem solving stfategies; monitor & dncumenting progress throughout the program; meeting regularly& Individually with WIA participants to train on related currc-Oum; and aLtending regularteam meetings. (tent $0 00 Ultilitles $fl.OD Phones Moo Internet SD.Dtl Parking Fees $ 50.00 funds allocated for larking fees at CWA Conference, Trainings, and Campus visits. Security_ 5000 Maintenance $0 0o rsurance Eauipment rental Fees $0 0o Accounting Services $0 OD Vehicle Lease S 150000 Funds Allocated for the rental of 2 buses for Field trlps Office Expenses $2.300.00 Office Supplies; as needed for 1 year $960 Office supplies (copy paper, fil(Is, folders, pens, highlighters, paper clips etc.) will be purchased as need by WIOA staff members though out the year in order to assist in administration work and resource information or youth. Office Supplies as needed for workshops and meetings and classes For 1 year $700 good: as needed for Field Trip and Conference: $640 25A-97 .. . ttachment 2 field trips: 2 X $170 = 5340 2 conference trainings $300 TAKE 'rest Material $300 Purchase necessary TARE Test score sheets to asses, students before and after program session Le al Assistant 0 Audit(ne Services $0 QO Staff Training $300 00 Staff Conferences $500 00 MIA conference re.aistration fee for 1 or 2 case managers Staff Travel/Mileaee . t�nn nn Mileage for WIA Staff as needed for 1 year $200 Mileage reimbursement will be made for WIA Staff for driving to WIA required events. Such as YSPN meetings, Staff trainings, driving youth to necessary events (fields trips,' Youth council meetings; City Counell Meetings, VVEX placements, resource or referral appointments} Stipends and Wage$_for 26 Participants 56.QGO Training Stipends (in school — out of school youth) — 26 participants Total stipends S 6,000 After stipends cumpletion: participants paid $12.00 par hour for Work based learning (5 •10 hours per week or as funds become available) supportive Servi S 0.00 Bus pass/Gas voucher: As needed for 26 - participants $6,475.60 12 hus passes @(i5.55each for 6 months 54,725,00 4 gas cards @$50. Each month for 9 months b1,750.00 Funds are allocaled for youth who are in need of transportation related support Work Related supplies: As needed for 26 participants $1,240.00 Work related and Skills building Lools, book, portfolios. Items needed for job interviews, Employment opportunity, employment enhancement trainings and clothing, supplies. Academic Support: As needed for 26 — participants $1,653.00 Tuition Support for certificates or other related academic programs for 22 participants; books for related course work, tutoring supplies, and college field trips and other academic supplies. Fingerprinting/TB Test; as needed for 26 participants $552.00 22 fingerprinting @$16 each 5352.00 and 10 TO test• @$20 each $200.00 Funds allocated for Dept. of Justice Clearance & TO test for employment. Child Care Services $1,500.00 Childcare assistance is defined as the provision of $50 payment to institution/daycare/childcare provider upon receiving an fnvoico.3 youth x $50=$:150x:(0 (months)-g1,500.00 25A-98 ttachrnent Program Incentives 32 000,Q0 High School Drop Outs S50 Inceritive for every two modules or classes complewd leading to a High School Diploma 2 Youth x n (12 modules) =12 x $50 = $ 600.00 Education related Credential 5100 incentive for obtaining a credential. 5 youth x $100 = $500 Basic Skills Deficient $25 incentive per subject when youth increase at least one• EFL. 2.0 youth x $2s lone subject) = $500 Employment $50 incentive when they meet at least one of the following goals and provide supporting documentation of completion: a. Turn in ajob application and get and get an Interview b. Obtain ernployment= $400 Youth Conferences _ 580D.00 CWA conference registration fee for 2 currently enrolled youth Follow Up 55 000 00 Indirect Cost 511 268 ?5 10% de Minimis Program Documents: a. VJIA Youth Sign in Sheet: Participants will log and Lruck all activities and hours accumulated an a day by day basis and have supervisor sigh to confirm time of arrival and departure to their activities. Activities can include Work Base Learnrng Hours, Class training, case management and education counseling meetings, Math/English tutoring sesslorl etc. b. WIA Youth Time Sheet: Participant will turn in a weekly time sheet with all hours accumulated throughout the weeks in activities attended. Youth will be asked to log their task In detail in order to provide proof of activities attended. Activities can in Work Base Learning Hours, Class training, case managementand education counseling meetings, Math/English tutoringsessron and anyother supplemental hours approved by supervisor. c. WIA Staff Time sheet: Staff will turn in a weekly time sheet with hours worked for meetings with WIA youth, WIA administration, teaching a WIA class or Workshop, orTuLoring and preparing for youth appointments, as well as any additional supplemental hours approved by WIA staff supervisor and administrator intended for WIA program purposes only, 46% of budget will be directly spent an youth in the form of paid work experience, stipends, certificates training, college tuition support and other support services. 25A-99 EXHIBIT 1 A,ssurznees &c Certificttfinns salected providers will be requinA to sign and submit "actual" cmuratims and certificates; as required by the City of Santa Ann and ilia Worldorce Davelopmoni Board on till contracts. ] rccp,_.uize that I must giwc assurances for caCh item below. rf i cmulot, this proposal will be atttnmatienlly rejected, Please initial each brx. {�1 am au(horized by illy Board urllirectors, Truslcus, other legally qualified offlae.. or as tiro owner of this agency or business to submit this proposal, wo arc not 0urrently on any Federal. Statc of Calirornia; or local Debarment list. �We will provide raoords to show that we are fiscally ,Divan, if needed. We have, or twill have, all of the fiscal control and accounting procedures nee.dod to ensure that WJOA funds twill he used as required by law and wnlract. az We. have additional fi.»uliug soirrUes and will nut be dependent on WIOA finds alone. We do m• will meet the, applicahle Federal, State, and local compliance requirements. These include, but are not I irri fait co: IRecOrds accurately rct9ecl actual perfnrmanr:o, Maintnin record confidentiality, aSrequired. Repirrting financia I, participant, and perfalnance float, as required. - C'omply with State and Fd, crid fiscal and prngr'am activity' audits. Complying veiih redcral and State hon•tliscrimination provisions, Meeting requirements or Section 504 of the Rehabilitation .Act of 1973. NICUiug requirements of the American's with Dkitbilifies Act of 1990. (submit completed srtrvey) Q Meeting ..ill applicable lahor law, hteluding Child Imbor T.aw•' standards, - �,�y•, .ee to provide it drug free workplace.. G Iti lgrcc to insure tha Cih gf Surut Ana througli Gcncild Liability Insurance and AL1101110bl(e l:iat)ilily' ,,�}} C:awcratac in the amount of$ 1,000,000,00 policy, t�r_'I' Agree to provide all par(icipants vvith GricMWO Procedures. Agree in insure proposer's employa:n through Workers Compensation Insurance {including part -funs crrlployees) 00 Procttremoat policies and procadiim% are in placeand meet fctloral guidelines. Wc. will noit t !'lass a youth in.a position that will disp(m: a Current employes. Use WfbA money to assist, promote, or deter union organizing. ' Esc triads to umploy or train o:f poraons in seetariti l ttotividub. iae finds fbr youth in llte construction, operation, or nlaintonaiice or any part of a faoility to be used for sectarian iash-uetion or religious worship. Use NV-10A funds for acrivitics that would interfere with or replace regular acadotriiU requirements for ,�y�-elipibleyouth who are not dropouts. t��USe. W'IOA fund.; to carry Jul programs funded udder the School -to -},York Opportunities .Act L)% 1994 ualcas the prograin(s) are only f'or }roulll eligible to participalo under W1OA. Aff Use 1' I0A 111011cy' lender this contract to'plirchase any equipment. assure that til(of the above are true, Nnme �ne_cV�kd _P_ •rate r:Y,.111Lrr H. 25A-100 n 3 to EXHIBIT 1 ADDITIONAL INSURED ENDORSEMENT Insurance Company Ncy r�-�- TL a�LhanCe ci- G4 This endorsement modifies such insurance as is afforded by the provisions of Policy # 2().. —��._- relating to the following: 1. The City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92702; its officers, employees, agents and volunteers are named as additional insureds ("additional insureds") with regard to liability and defense of suits arising from the operations and uses performed by or on behalf of the named insured. 2. With respect to claims arlsing out of the operations and uses performed by or on behalf of the named insured, such insurance as is afforded by this. policy Is primary and is not additional to or contributing with any other insurance carried by -or for the benefit of the additional insureds. 3. This insurance applies separately to each insured against whom claim is made or suit is brought except with respect to the company's limits of -liability. - The ' 'Inclusion of any person or organization as an insured shall not affect any right which such person or organization would have as a claimant if not so included. 4. With respect to the additional insureds, this insurance shalt not be canceled, or materially reduced in coverage or limits except after thirty (30) days written notice has been given to the City' of Santa Ana, 20 Civic CenteF Plaza; Santa Ana, California 92702. (Completion of the following, including countersignature, .is required to make this endorsement effective.) Effective " Z 2t718 this endorsement form as a part of Policy # „2016 -- 051. �1 Issued to 0V-W'IdP C U, iciro��� t nera n�{C 4r iS Cen i Named Insured' Countersigned by_. Authorized R present 've 25A-101 EXHIBIT 1 t�f-w CERTIFICATE OF LIABILITY INSURANCE ' DATE IYTADD,q' M T pe' wld THIS CEWMCAI'R I$ ISSUED AS A HATTER OF INFORNIATION ONLYAND CONFERS NO RIGNT$ tk1ON THE CERTIFICATE HOLDEN. THIS CERTIFICATE DOESa NOT AFFIRMATLVF,LY OR NZOIATIVELV AMP.NO, E'LTENO OR ALTER THE. M4FRAGEAFFOHOED SYTHE AOUCIES BELOW.. THIS CERTIFICWEOF'1N5UAANCE DOES h'OT CON$TIRMA CONTRACT BETTY-cEN THE ISFARNa. INSLIReRjS).AUFFPJRP_E0 NF'PRE$ENTATIVE OR PRODUCER, ANO T!(E CERTiFICATF.. HOLDER, N SU13FlOUA71ON IS WAIVECI PFnnucFR Curnprehangnu nsumdRR yervina5 2CA29 Rancho Parkway 90,111 Solo 120 Lake('onnn N4URED to tho teNna ar:d ca¢LdlOarm Owego Cov.* Chlldmn'y'rhvEPEtAI: Arls CRrttor 2215 N. Brdadaay CA 92630 CA Was ca+ieln Dofts" may TKulm an DDdoretttnerkL A Eta oment Dn r 11VA dAAkC .11 C.1 TF IS 15 TO CERTIFYTHATTHE POUCIE6 OF Ia1GLRANCE LISTS."BELUArHAYE OEEN GMEDTCTHLASURSO NAMeuzmO FOnTHEPLY.ICYPERIOD INDICATED. YOTy%lr) HSTANDINCANY RECAIIRFAIENT, fRRN OD CONCH' Ob: LP MY C0.\TRAGT OR OTHE-AOUCUM-NT WIN RESPECTTO'NHICN THI$ CEFI ItFI=I: rdAY IiE IS$UED OH'cAY PERIPIN. TN;:N$UHANrIFAFFOROED F]YTNF. PCLEIE'++DESCRIBED HEREIN LS SUMECy TO AI.LTLF TERN15, EXCL.13K)g9 ANC CC%0S4N$Or6UCN POLSCIES.1iMM F'(DAIINNAY HMIE 13EEN REDUCED BY PAID CLASS?. - R -^-�•. - RDN EFW, F POOME,"_ `. ..-. ... Fn- 1 T9FIN]URANCF $ RGIICI "IMWIER �tl p } rlm LI111TG CbNIn[TKIALGEHEn4LuW'_ttY EM1Cx D:XL�AENhE a T,OCO,D00 i C:AIBS7AACE ®IXCIIR I a A a 6D0,COD _ • :A®[EP 1•nr�n xremL a 20,OrA A �' aod$DaaD 1znUzo10I1z71:m1e TAnc,cnD _ I I PFAONA.6Ap`11NJUFN DaxtaaORRNTEtr-0aT•1PP::x PER I ODHCnALMiCPDA^TE 2AUO,CCq .POLICY C jRL{,.p IiC LO: , 2,90C,C/YJ I P40Hp�TA. CCNYTZvAOLT O,HER: $0 DDUumio { --� AUIDM1ID&11 LIATNLT¢ ---- PD:iN IJ O'N31F.L1Nrt y I'Dec-03 AN'/AUTO-- LR17niYIx,LlRytrb',En,�, A CV,HED AJiuS ONi.Y .nurVS oCHEapls] .I I NIFEn F,,TIA-695O1 1?h1f�CiF l 12;71.70'R DDOIIY INJJMiPo vRYJe'la rnor4RTYDVAAGo ; o V*SQNCD +Y11LV"ONL ANIY ANDS O UNW.LLA UAs 'FtiKOr'a=.gEN:F, _ _ &DESS NAB ^.IAI_a_SIADF. I Af.YwTFD�IiE ¢ __- _ I CEC 1eETENiION A S SYfMKERl,WMvE"ASA.tlON -- Cll, _ ANDEHPLMITVUADUTY v!N 1 AWnROPPIF::OPpARTNEA'IXEQ111YE O'RCUVi7-0sr;. EXVWDES9 Li N;A LL LAcuI ,CDD•_N; .- - 1Nlydvtgwarnil E_DOEASN-EAE:IP'_DYEE { Y+n. vc¢ANv uidar OF.SCRIPTDNOP4PFRATCAS brhr �_ EO. PI"d�%fiE POLr.NUI Ir ! g Scold SP.Nl.a Pmfee* TLI Llahllhy $1.0004ODl1,000,15 O A ugaly,i0m, A 9nprupeT Saxua. Cantldcl ❑rlbrjly 2°1B-09201 .2!?1r7018 12(21.+2D19 $1,0110.DJ7fl,000,0DD AgpmOa[e�Ykalrr IgO Dafiktihlu `__1__ DESCDIATION OF OPERATIONS; LCCATICNg VEHICLPS 0.00RO72'.AMiev¢vl Rams¢¢=kcd If Nvr¢spa¢ IR Twlmdl The Chy CI Rano no, IB 40ICera.empiiryeea.ertnii,erd feproelltadves are Indm d aEAddlaCnai Irmmd per aeached or4o lmlt CM029. VAIT rtspoo To cHhn9 fl!5i00 ODLo1111L' upereCrfs and uSPs pCDdrrnL'd by dt DN bsl aH of Ilia named I: eured. alml InsuraYq as is a9mdud 1rylrris Iwlmy Is prilnery Rnd m Pataddtienel lc 4- con:ihmlriB xilh any clhor In4VIA4'>I pardej by e[$T UIe henePo mve eddhbnEl T+ePrada per DP.ach-d arommentem NAD Y91, gD ADy Ilp;lCe Gi r$:call&lap v.•i[p 10 Gay 50l'.S 41 C8r;a1'aS1O0 ear PAII-pfM11 Wd OS puRllum FOI pUll9y OhlylgjM. J DPFTIRCLTF Hnr TIFF! frAurcl I ATIAu V I \ - % SHOULDANY OF THEADOVE DESCRIBED POLICIES BE CANCEUE13 BErORE THE EXPIRATION DATE TH EBEDF, NOTICE WIIJ. DS DELfVERED IN C8y of 5ordAAna (ihej ACCORDANCE WITH T118ROLICY 11ROVIDION5. x. CNac OdvdDr wtTa ANrgoFrf�D AewrESExmi r/E SepraAna CA 82702 n, i.yv�yaiO" Cy iB 20IEIAUDY.DCDRFO9ATION. All r4fjMTE5Ewo(1. AC)ORD 26(20141033) TIie ACORD pamearld logo are registered Maria a ACORD 0 25A-102 EXHIBIT 1 POLICY NU'JBER: 201 E-09201 COMMERCIAL GENERAL LIABILITY CG 20 26 0413 THIS ENDORSEMENT CHANGES THE POUGY, PLEASE READ IT CAREFULLY, ADDITIONAL INSURED - DESIGNATED PERSON OR ORGANIZATION Phis endorsement modifies insurance provided under th a following: COMMERCIAL GENERAL LIABUTY COVERAGE PART SCHEDULE Name Of Addldanal liloured Perecrr<sl Or OrganizaSon(s) the additional insured status wifi not be affordcld with respect to your activities as a real estate manager, for that parson or I Informellon mgiilmd to complete ;MI5 Stheddhe, if not shown abovo,.vlll be shown in the DoJuratlon5, I A. Section II — Who Is An Insured additional insured the persons) ororganization(s) shown In the Schedule, but only wilh respect to liability for "bodily injury",'property damage" or'personsl and advertising injury" caused, inwhola or in port, byycur acts or omissions or ShA act ur omissions of Ihoae acting on your behalf: 1. In the performance of your ongoing oparstions; or 2. In connection with your premises awned by nr rental to you. However, 1. The insurance afforded to such additional insured only applies to the extent pennftted by law; and 2. If coverage provided to the additional insured is required by a contract or agreement, the insurance efforded to such additiona; :naured will not be broader than that which you are required by the 07ntrsct or agreement to provide for such additlonat insured. B. With respectto the insurance afforded tothese additional insureds, the following is added to Section fit Limits Of Inaurance: If coverage provided to the edditlonal insured Is required by a contract or agreement, the most we will pay on bahalf of the additional Haured is the amount of insurance: 1. Required by the contract or agracmont; or 2. Available under the appilcable Limits of Insurance shown In the Declaratlorrs; whichever is leas. This endorsement shall not increase the applicable Limita of insurance shown in the Declarations. CG 20 26 0413 0180 Properties, Inc.. 2.012 Page 1 of 1 25A-103 EXHIBIT 1 LNONPROFITS INSURANCE ALLTANCS fr.- CALUD W rA A rf.adlarraavraA A Wra•'Iyararargrg1PZ POLICY NUMBER: 2018-09201 THIS ENDORSEMENT CHANGES THE POLICY. PLFASE RFAD IT CAREFULLY. ADDITIONAL, INSURED PRIMARY AND NON-CONTRIBUTORY ENDORSEMENT FOR PUBLIC ENTITIES This endorsement modifies insurance provided underthe feilov mg: COMMERCIAL GENERAL LIABILITY COVERAGE PART SCHEDULE Name of Person or Organization: Any person or organization that you are required to add as an additional Iltaured on this policy, under a written contract or agreement currently in affect or becoming etTective during the tar m of this poltoy, ter consideration of food contribution or client rorerrals you receive from them. (Information required to comptate this Schedule; it not shown above, will be shown In the deGarat cns.) A. Section If —Who to An Inured is amended to Include any public amity as an additional insured for whom you am performing, operations, who may be narrted in fir-,srhedula above, when you have agreed in a wnitCn contract or written agreement that such public entity be added as an additional Insured(%) on your policy, but onlywith respect to liability for "bodily Injury",'property damage'or "personal and advertising Injury' caused, In whole or in part, by: I. Your negligent acts aromissions; or 2. The negligent act: or omission at those acting on your behalf; in the performance of your ongoing operations, No such public entity is an additional insured for IlabllIF arising out of the'pFoducta-Completed operstions hazard" or for Lability arising out of the axle negligence of that public entity. B. With respect to the Insurance afforded to Mesa additional insurrd(sk, the following additionar exclusions apply. This inelrmnce does not apply to "bodily injury' or'property damage' ncruning after: I. All work, including materials, parts or equipment furnished In oonnection vdih such work, an the project (otharthan sevloe, hrainlenonce or repairs) to be performed by Cron behalf of the addltlonal irisumd(s) at the lcmdnn of the covered operations has been asnpleted; or 2. All work, Including materials, parts or equipment furnished in connection with such work, on the project (otherthan service, maintenance of tepair$) to be performed by Cron behalf of the additional fnsured(s) at the Iecattnn of the covered operations has been cempfeted; or C. The following Is added to SECTION III - LIMrTS OF INSURANCE: The :im:ts of insurance applicable to the additional insured($) are Noss specified in the written contract f ./ berween you and the additional Insured(s), or the limits available under this palmy, whlcheverare less. These limits are part of and not in addition -to the limits of insurance under this policy. 25A-104 EXHIBIT 1 NoNPRoms INWRANGE �A AyLUrtr;b L)F Ci�t�,;FORfhIA RifeadlOf i4selYIIR. R/(ecri fdr Nan prvf,4s POLICY NUMBCR: 2016.95201 D. A. With respect to the insurance provided to the addltirmal inaured(s), Condition 4. Other insurance of SECTION IV— COMMERCIAL GENERAL LIABILITY CONDITIONS le replaced by the following: 4. Other Insurance a. Primary Insurance This insurance is pdmary if you have ogresd in a written oonuaci or written agreemam., (1)That this insuranca be primary. If other insurance is also pdmary, we will share with all that other Insurance as described A e. below; or (2) The coverage offordad by this insurance is primary and non-contributury with the additional Insurad(s)' own insurance. Paragraphs (1) and (2) do not apply to other insurdnoutowhich the addlthonel insvrad(s) has been added as an additional Insured or to other Insurance described in paragraph b. below. b,Excess Ina urance This insurance Is excess over. t. Any of Me other Insururres, whether primary, excess. Carl or on any other basis; (a) That is Fire, Extended Coverage, Builder's Risk. Insfallallon R;sk or sfmllnr coverage for your work'; (b) That is lire, lightning, or explosion Insurance for premises rented to you or temporarily occupied by you with permission oflhe owner; (c) That is insurance purchased by you to cover your liability as a tenant for'property damage" to premises temporarily occupied by you vnth pemtission of the ownor; or (d) If the loss arlsas out of the malnlenance or use of aircraft, "autos` orwatercraft to the extent not subject to Exclusion U. of SECTION I — COVERAGE A— BODILY INJURY AND PROPERTY DAMAGE, (a) Any other Insurance available to an additional insureds) under this Endorsement covering liability for damages which are subject to this endorsement and for which the additional inaured(s) has been added as an addltlonal insured by that other insurance. (1) When this insurance is excess, we will hove no duty under L'overages A or 8 to defend the additional insureds) against any `suil" if any otherinsurar has a duty to defend the additional Insurad(s) against that "suit If no other insurer defends, wewiil undertake to do so, but via will be entitled to the add Lionel insured(s)' dghts against all these other insurers. (2) When this insurance Is excess over olhar Insurance, we will pay only our share of the amount of the loss, if any, that exceeds the sum of; (a) The total amount that all suoh other insurance world pay for the loss in the absence of this Insurance; and (b) (a)'rhe total of all deductible and self -insured amounts under all that other insurance. (3) We wig share the rerratning loss, if any, with any other Insurance that is not described in this Excess Insurance provision and was not bought specifica1y to apply in excess of the Limits of Insurance shown in the Declarations of this Coverage Pad. b. Methods of Sharing If all of the other insurance available to the additional insured(s) permits contribution by equal shares, we will follow this method also. Under this approach each Insurer contributee equal amounts until It has paid i:s applicable limit of Insurance or none of the loss remains. whichever rc/ eomea first. 1Y0 If arty other the otherlrsuranco available to the additional insured(&) does not permit coraributlon by equal shares, we will contribute by limits. Under this method, each insurer's share is based on e ratio of Ha applicable limit of Insurance to the total appllealie thrilts of insurance of all insurers. 25A-105 25A-106 EXHIBIT 2 Workforce Innovation & Opportunity Act Youth Program Provider Charitable Ventures of Orange County, dba Project Kinship 2019-2020 EXHIBIT A 25A-107 EXHIBIT 2 ACREEMF,NT UNDER THE WORKFORCE I11'1\ OVATION AND OPPORTUNITY ACT THIS SUBAWARD AGREF;MENT, made and entered into this 1" day of July, 2019, by and between the City of Statta Ana, a charter city and municipal corporation duly organized and existing under the Constitution and lams of the State of California ("CITY") and Charitable Ventures of Orange Countdba Fro' -.t Kinship, a non-profit corporation identi fled by the assigned Data Universal Numbering System (DI.TS) Number 20-8756660 ("SUBRECIPIENT"). RECITALS: A. CITY has been designated a Local Workforce Development Area (LWDA) under the Workforce Tnnovation and Opportunity Act of 2014, Public Law 1-113-128 ("the Act"), Catalog of Federal Domestic Assistance (CFDA) Number 17.259 and Federal Award Identification Number (FAIN) AA253421455A6. B. The State of California has created the LWDA to administer the Act programs operated by the State of California pursuant to the Act. C. As a LWDA, CITY is entitled to receive federal funds to establish programs to increase the employment, retention and earnings of Participants, and increase occupational skills attainment by Participants, and as a result, improve the quality of the workforce, reduce welfare dependency, and enhance the productivity and competitiveness of the nation ("said program'o. D, S UBRECTPMrl' is experienced in operating workforce development programs for at -risk youth that provide preparation for secondary and post -secondary education; occupational training, and employment skills for entry into the labor marker. Californialaw, E. SUBRECIPTENT is willing to operate said program pursuant to the Act and WHEREFORE, For and in consideration of the respective and mutual covenants and promises hereinafter contained and made, and subject to all the terns and conditions hereof, the parties hereto do hereby agree as follows: 1. SUBRECIPTENT'S OBLIGATIONS A. SUBRECIPIENT agrees to provide the following services pursuant to said program, as more specifically set forth in SUBRECIPTENT'S Program Narrative contained in "Exhibit A", as required to be responsive to the Federal Funding Accountability and Transparency Act (FFATA) pert CFR §200.331(a)(l)(ix), and in the Performance Tudicators contained in "Exhibit B", per CFR §200.331(d) and 2 CFR §200.328, both attached hereto and by this reference incorporated heroin, StiBRF.CIPIENT'S Cailure to provfdr said services may be grounds for CITY to readjust the level of payment to SUBRECTPTENT otherwise provided for hereinafter. 25A-1 08 Page 1 of 17 EXHIBIT 2 B, SUBRECIPiFNT agrees to provide benefits to individuals who participate in the activities and seances funded by this; Agreement ("Par(icipants") in accordance with the standards and requirements set forth in the Act. C. SUBRECiPIF.NT agrees to perform the services set forth herein in a professional, timely and diligent manner. D. SUBRECIPIENT shall provide wages and benefits to Participants in accordance with the standards and requirements of the Act, including Section 181 of the Act. Z SUBRRCIPIENT shall adhere to the Labor Standards described in the Act_, including Section 181 of the Act. F. S UBRECIPIENT agrees to comply with the "Complaint Handling Procedures Under the WICA", attached hereto as " l;xhibit C" and incorporated herein as though fully set forth in 20 CFR 658.411. SUBRRCIPIENT shall advise Participants of their rights to file complaints under the Act and the procedures for resolution of any complaints. M Y`s procedures for handling complaints alleging a etiolation of the Act, regulations, grants, or other agreements under the Act shall be followed and any decision of MY, the State or the federal government relating to the complaint shall be binding and followed by SUBRECIPIE+NT. SLBRECIPIENTS who are employers shall operate a grievance system that incorporates CITY's procedures for resolution of complaints relating to the terms and conditions of employment; these procedures shall be approved in writing by CITY. G. As a condition of this award of financial asstistance under the Act to SUBRRCIPIENT finm CITY, SUBRECTPiI?NT assures, with respect to operation of all programs or activities funded vtiitln fluids provided pursuant to the Act., and all agreements or arrangements to carry out such programs or acthitics, that it will comply fully with the nondiscrimination and equal opportunity provisions of the Act (Section 188) and compliance with Equal Employment Opportunity provisions in Executive Order (E.O.) 11246, as amended by E.O. 11375 and supplemented by the requirements of 41 CFR Part 60; the Nontraditional Fraployment for Vvomen Act of 1991; Title V1 of the Civil Rights Act of 1964, as amended; section 504 of the Rehabilitation Act of 1973, as amended: the Age Discrimination Act of 1975, as amended; the Americans with Disabilities Act of 1990: and %vith all applicable requirements imposed by or pursuant to regulations implementing those laws, including, but not limited to, 29 CFR Parts 33 acrid 37. The United Stales, the State of Cali forma and CiTY have the right to seek jadfciaf enforcement of this assurance. H. STiBRECIPTENT agrees that no participant(s) shall commence training prior to the approval of funding pursuant to Section 123 of the Act. I. SUBRRCIPIENT agrees to the following accounting, monitoring, auditing, and review requirements: 1. Si:BRECIPiENT agrees to maintain such records and submit such reports, data and information, on the fonn and containing such information, at such times as CiTY may request or require regarding the performance of SUBRECIPIE.NT'S services or activities, costs or other data, including but not limited to, Participants' attendance, payroll records and job duty statements. 2 5A-109 Pagc 2 of 17 *3:11 M M 2. SLI3RECIPILNT agrees to forward to the Santa Ana WORK Center Administrative Office, 801 W. Civic Center Dr., Suite 200, Santa Ana, California 92701 completed Workibroe innovation and Opportunity Act Application form and supporting documents; a complete -Workforce Innovation and Opportunity Act Enrollment; any subsequent updates; Workforce innovation and Opportunity Act Youth Test Scores form; Workforce Innovation and Opportunity Act Exit form upon completion/termination of active enrollment of participant; and the Workforce innovation and Opportunity Act Follow -Up form within 15 days following 30, 60, 90,180, 270, and 360 days of exit. SUBREC21ENT agrees to enter information on the State of California's COobs database system us instructed and requested by the Santa Ana WORK Center Administration. 3. CITY, the State of California and the Unitod States government andlor their representatives shall have access for purposes of raunitoring, auditing and examining or SUBRECIPIENTS activities, performance, books, documents, papers, records of SUBRECIPIENT SUBRECIPIENTs, bookkeepers, accountants, employees and Participants related to this Agreement. Such agencies or representatives shall also schedule on -site monitoring at their discretion. Monitoring acti«ties may also include, but are not limited to, questioning employees mid Participants and entering any premises or onto any site in which any of the services or activities funded hereunder are conducted or in which any of the records of SUBRECiPIE1\T are kept (2 CFR §200.331)). Nothing herein shall be construed to require access to any privileged or confidential information as set forth in federal or state law. 4. In the event SUBRECIPiENT sloes not make the above -referenced documents available within the City of Santa Ana, Cali1j)tttia, SL:BRECIPIENT ugrees to pay all necessary and reasonable expenses incurred by CITY in conducting any audit al the location where said records and books of account arc maintained. 5. All accounting records and evidence pertuining to all costs of SUBRF.CIPIENT and all documents related to this Agreement shall be kept available at the location where SUMECIPM-N-r conducted the program, as well as in the County of Orange; for the duration ofthis Agreement and thereafter far three (3) years after completion of an audit. Records which relate to (a) complaints, claims, administrative proceedings or litigation arising out of the performance of this Agreement, or (b) costs and expenses of this Agreement to which CtrY, the State of California or the United States Government take exception, shall be retained beyond the three (3) years until resolution of disposition of suclr appeals, litigation, claims, or exceptions. J. Without prejudice to any other .section of this Agreement, SL'BRECIPIENT shall, where applicable, maintain the confidential nature of information provided to it concerning Participants in accordance with the requirements of federal and state lwv. Notwithstanding the foregoing, SUBRECIPIENT' agrees to submit to CITY, the State of California and!or the United States Government or their representatives, all records requested for administrative purposes, including audits, examinations, monitoring and verification of records submitted by SUBRECIPiENT, costs incurred and services rendered hereunder. K. SUBRF.CIPIENT agrees to complete a monthly Invoice form showing in detail the amount oflnoney already expended by SUBRECiMENT hereunder, as this is a cash reimbursement contract. Accounting records. must be supported by saolr source documentation as invoices, bills, 25A-110 Page3o 17 EXHIBIT 2 statements, proof of payment, such as cancelled Checks, payment confirmations, account statements, paid bills, payroll records, time and attendance records, and contract and subgrant award documents (2 CFR §200.101(b)(2)). SUBRECIPIENT agrees to submit the above -stated documents to the WDB Administrative Office, So 19, Civic Center Dr., Suite 200, Santa Auu, California, 92701, by the tenth (10th) day of the month follovxing the month in which SUBRECiPiENT'S services are performed. Should SUBRECiPLETT fail to deliver said documents to CITY within thirty (30) days of said deadline, CITY shall provide SUBRECIPIENJ: with written notice of such deficiency. If Said deficiency is not corrected within thirty (30) days of mailing such written notice, CITY shall have the option to deobligate SUBRECIPIENI"s funds and cancel this Agreement by giving SUBREC1PiENT ten (10) days written notice thereof. SUBRECIPiFNT shall either return to the CITY excess revenues over costs or use such excess revenues as program income far additional training activities authorized under the Act. L. SUBRECIPIENT agrees to expend all funds in accordance with all applicable federal, state and local laws and regulations. SUBRECIPIENT also agrees to provide, at SI:BRECIPIENT'S own expense, supplies and other costs of said PROGRAM. M. SliBRECIPIENT shall arrange independently for an audit that includes W1OA funds received from CITY, in accordance with the Act, 2 CFR 200.500, SUBRECIPLENf Shall submit one original of each required audit report to CITY within thirty (30) days after the date received by SUBRECIPIEN'r. Should SUBRECIPIENT fail to comply with these requiremonts, CITY may, at its option, withhold payment of funds, disallow funds, or suspend additional grant funds. N. SUBRECIPIENT shall not expend funds pursuant to this Agreement to pro -vide services U) any participant where costs of training are paid for by any other person or cntily. O. SUBRECIPIENT shall comply with the provisions of Uniform Guidance 2 CFR Part 200 of the U.S. Office oC\fanagemcnt and Budget (OMB) mid all other applicable tederal statutes and executive orders and their implementin,, regulations, including regulatiims at 29 CFR Part 97, P. SUBRF,CIPILNT shall comply with the requirements of federal regulations found at 29 CFR Part 93, which provide that no appropriated funds may be expended by the recipient of a federal conLraut, grant, loan or cooperative agreement to pay any person for influencing or attempting to influence art officer or employee of any agency, member of Congress or an officer or employee of a member of Congress in connection with awarding of airy federal contract, the making of any federal grant or loan, entering into any cooperative agreement acid the extension, renewal, amendment or modification of any federal contract, grant, loan or cooperative agreement. SUBRECIPIENT shall sigtt a Certification Regarding Lobbying to that effect in a form as set forth in "Exhlbit D," attached hereto and by this reference incorporated herein. SUBRECiPIENT shall mbnrit said signed Certification to CiTY prior to performing any of its obligations under this Agreement and prior to any obligation arising na die part of CiTY to pay any sums to SUBRECIPIENT under the terms and conditions of this Agreement. Q. S UBRECIPIET r agrees to provide a drug -free work place and to execute a Drug Frcc Workplace, Certification us set forth in "E: Iribit E" attached hereto and incorporated herein by this reference. 2 5A-111 Page 4 d 17 EXHIBIT 2 R. SUBRF.CIPI) NT, in accordanco wtitlt the Child Support Compliance Act, recognizes and acknowledges tlne importance of child and family support obligations and shall fully comply with all state and federal laws relating to child and family support enforcement, including, but not limited to; disclosure of information and compliance with earnings assignment orders, as provided in Chapter 8 (cormnencingwith Section 5200) of Part 5 afDivision 9 of the stateFamL1y Code; and, to the best of its lrnowledge is fully complying with the earnings assignment orders of all employees and is providh19 the names of all new employees to the New Employee Registry maintained by the California Employment Development Department (EDT)). S. SUBRF.CIPIENT agrees to comply Willi all applicable provisions of the Act, and all applicable federal regulations, including, but not limited to, the Code of Federal Regulations, Subtitle A —Office of Management and Budget Guidance for Crrants and Agreements, as well as all applicable state and local regulations. T. SUMECIPIEN'T agrees to remain in compliance with the Certification Regarding Debarment ({°Exhibit F"), as required by the regulations implementing Executive Order 12549, Debarment and Suspension, (2 CPR Part 180). U. SUBRECIPIENT agrees to provide priority of services for veterans and eligible spouses pursuant to 20 CFR Part 1010, and the regulations implementing priority of service for Veterans and eligible spouses in Department of Labor job training programs under the Jobs for Veterans Act published at 73 Ped.Rcg. 78132 on December 19, 2008. V. SUBRF-CIPiFNT acknowledges that the oTlicial name for the statewide system of providing employment and training through the WIOA partnerships and various other local programs is "America's Job Center". To achieve the goals of this grant, it is important that the public has a quick and easy method to identify that the projects or programs they arc taking port in arc part of the "America's Jab Center". SUBRF.CIPIENT agrees to place the America's Job Center logo, in accordance with the State of California guidelines for such use, on all public materials, such as statements, press releases, brochures, advcrtisetrtents, reports and other documents describing projects or programs funded hi vvholc or in part with WTOA funds. When the America's Job Center logo iE used, SUBRECIPIL-NT may accompany it with the fallowing statement, "The (Program 'Name) is a proud partner of tite America's Job Ccnlor network". SUBRFCIPIENT shall not use the America's Job Center logo in any mannor that would imply that the State of California endorses a commercial product, service or activity. U. CITY'S OBLIGATIONS A. On April 24, 2019, the CITY was awarded a Department of Labor Workforce Innovation and Opportunity Act youth grant of $785,103.00 for tisouL year 2019-2020. CITY agrees to pay to SUBRECiPrENT when, if and to the extent federal funds are received under the provisions of the Act a sum not to exceed $160,000.00 for SUBRECIPIENT'S perfonxiance in accordance with the Budget attached hereto as "Exhibit G" and incorporated herein by reference, during the period of this Agreement. Said sum shall be paid after CITY receives invoices submitted by SUBRECiPIBNT as provided horeinabove. 25A-112 Page 5 of 17 EXHIBIT 2 B. Pursuant to 2 CFR §200.331(a)(4), the indirect Cost Rate for the SUBRECIPIE•NT's award shall be an approved federally recognized indirect cost rate negotiated between the SUBRECIPTE.NT and the Federal government, or, if no such rate exists, either a rate negotiated between the CITY and the SL;BRECIPTENT, or a do minitnis in direct cost rate us defined in 2 CFR §200.414(b) indirect (F&A) costs. C. SUBREC 1ENT has the ability to adjust line item amounts in the budget with the approval of the Executive Director, so long as the total Budget w-nount does not increase. D. CITY agtees to prm° de for on -site monitoring reviews of said program operation at least annually. In addition, monthly desk -top reviews of pertinent information will be conducted, E. CITY has the right to de -obligate the funds hereunder, and take such funding back from SUBRECIPIENT, due to any of the -following reasons: (a) lack of performance by SUBRECIPIENT; (b) lack of fiscal accountability of SUBRECIKENT; or (c) drxxease in available funding. III. TERM OF AGRFF,N'IENT A. 'Ibis Agreement shall commence on Jaly.l,-2019, and all duties arising under this Agreement shall have been performed by June 30, 2020, The 'Perm of this Agreement may be extended by a writing oxecuted by the City Manager and the City Attorney. SUBREC1PiENT acknowledges and agrees that it most provide follow-up services for one (I) year after the Term, whether funded or not. B. SUBRECTPTFNT agrocs to Comply with the closeout procedures detailed in 2 CPR §200.343, including the following: I. SUBRECIPIENT must subrnit, no later than ninety (90) calendar days after the end date of the period ol'perfonnance, all linancial, performance, and other reports m required by the terms mud conditions of the Federal award; 2. Unless the CITY authorizes an extension, SUBRECIPTENT must liquidate all obligations incurred under the Federal award not later than ninety (90) calendar days after the end date of the period of performance as specified in the teens and conditions of the Federal award; 3. SUBRECIP1ENT must promptly refund any balances of unobligated cash that the CITY paid in advance or paid and that is not authorized to be retained by SUBRECIPIENT for use in other projects (See OM13 Circular A-129 and 2 CFR §200.345); 4. SUBRECIPIENT must account for any real and personal property acquired with Federal funds or received fiVom the Federal government in accordance with 2 CFR §200.310-200.316 and 200.329; and, 2 5A-113 Page 6 of 17 EXHIBIT 2 5. The CITY should complete ail closeout actions for the Federal award nn later than one year after receipt and acceptance of all required final reports, IV. INDFPEIN'DENT CONTRACTOR Consultant shall, dining the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City, This A&neemont is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which arc the subject matter of this Agreement; however, the services to he provided by Consultant shall be provided in a, rnamucr consistent with all applicable standards and regulations governing such services. Consultant shall pay all satariey and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. V. WORKER'S COMPENSATION AND EMPLOYER'S RIGHTS A. SUBRECTPIENT shall use appropriate funds received fioin CITY to provide workers' compensation to all those hired by SUBRLCIPiENT under this Agreement. B. SUBRECIPIENT shall have the right to hire, dismiss, or promote its employees or contract personnel hired under this Agreement so long as its hiring or dismissal policy or standard does not violato Title VII of the Civil Rights Act of 1964, Fair Labor Standards Act of 1938, or any other applicable law, and ST BRECIPIENT maintains itself as an Equal Opportattity employer, VI. APPLICABLE GUIDELINES A. The parties hereto agree that SUBRECIPIENT shall comply with all applicable federal and state laws and regulations, including, but not limited to the Performance Indicators (Exhibit B) and general program requirements described in Sections 2 and 116 of the Act. and applicable regulations, and the U.S. Department of Labor guidelines and regulations; including amendments or revisions made during the terms of this Agreement. Said applicable laws are hereby incorporated by reference and made part of this Agreement as though fully set forth herein. 13. SUBRECIPIEAT also assures and certifies that: 1. SUBRECIPIENT acknowledges and confirms that the U.S. Department of Labor has established six (6) performance indicators for youth; (a) Percent of Participants who are in educationttrair i activities, or in unsubsidized employment during the 21 quarter after exit; (b) Percent of Participants who are in education'training, or in unsubsidizod employment during the 0' quarter after exit; (e) the median camings of Participants in unsubsidized employment dining the 21 quarter after exit; (d) Percent of Participants who obtain recognized postsecondary credential or secondary diploma during participation or within I year after exit; (c) Percent of Participants who, during the program, are in education or training that leads to a recognized postsecondary credential or employment and who are achieving measurable skill gains; and, (0 effective in serving employers. 2 5A-114 Pago 7 of 17 EXHIBIT 2 SUBRECiPIEN'T agrees to implement and shall meet any additional performance indicators that may be subsequently required by the NV- otUcirce Innovation and Opportunity Act or by any other Federal, State, and local law. 2. SUBRECIPILNT shall comply with Title VII of the Civil Rights Act of 1964 (P.L. 83-354) and in accordance with Title V11 of the Act, requiring that no person shall, on the grounds of race, color, religion, sex, age, handicap or national oriSin be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under this Agrccnneat. 3. SUBRECIPIENT shall comply with any and all federal laws limiting the political activity of employees hired under this Agreement. 4. SUBRECIPiENT shall comply with the requirements that no program under the Act shall involve political activities. 5. RECORD LNSPECTION. SUBRECIPiENT shall provide the U.S. Department of Labor and the Controller General, by and through any authorized representative, as well as the W113 Administrative Office, access to and the right to examine all records, books, papers or documents relating to the accounting and use of funds under this Agreement for a three-year period frorn and after the effective date of this Agreement. 6. No person with responsibilities in the operation of any program under the Act shall discriminate with respect to any program participant or any application for participation in such program because of race, creed, color, national origin, sex, political affiliation or balick 7.. . SUBRF•CIPIENT shall maintain appropriate standards for health and safety in work and training situations. 8. K713RECIPIEi'NT shall comply with general provisions, assurances, and execute the Assurances and Certifications attached hereto as "Exhibit H" and incorporated herein. 9. EQUAL OPPORTUNITY. Any literature distributed by SUBRECIPIENT for the purpose of apprising businesses, Participants, or the general public oC its programs under this Agreement shall state that its programs are supported by the City of Santa Ana and the Santa Ana Workforce Investment Board, and shall state that the program is an "equal opportunity employerlprograrn" and that "auxiliary aids and services are available upon request to individuals with disabilities." 10. Based an the population eligible to be served, or likely to be directly affected by the VITIOA program or activity, the services or information may need to be provided in a language other than English in order to allow such population to be effectively informed about or able to participate in the program or activity. Pursuant to 29 CFR 37.35, SUBREC.IPIENT must take reasonable steps to provide services and information in appropriate languages after considering the scope of the program or activity, and the size and concentration of the population that needs services or information in a language other than Bnglish, 11. S'U'BRECIPIENT certifies that all property, finished or unfinished documents, data, studies and reports prepared or purchasM under this Agreement, will be disposed of 2 5A-115 Page 8 of 17 EXHIBIT 2 in accordance Kd th the direction of the CITY. In addition, any tools and/or equipment furnished to the SUBRECIPIENT by the CITY and/or purchased by the SUBRECIPTFNT with funds pursuant to this Agreement, will be limited to use within the activtHes outlined in this agreement and will remain the proporty of the United States Government and/or CTTY. Upon termination of this Agreement, SUBRECIPIENT will immediately return such tools mid/or equipment to the CITY or dispose of them in accordance with the direction of the CITY. 12. SUBRECIPIENT certifies that this Agreement does not pro -vide for the advancement or aid to any religious sect; church or creed, or sectarian purpose, nor does it help to support or sustain any school, college, university, hospital or other iastinrtion controlled by any religious creed, church. or sectarian denomination; as speciCed by Article XVI, Section 5, of the Constitution of the State of California; regarding separation of church and state. 13. PATENT, COPYRIGHTS AND RIGHTS IN DATA. The SUBRECIPTENT will disclose to the CITY any invention, written product; or computer program developed, or data assembled, as a result of performance or work tinder this Agreement, within seventy-fom (74) days of invention, development or assembly. The CITY, State of California, and U.S. Department of Labor will have the right to patent any invention and copyright any written product or computer program or data generated by SUBRECIPIENT. Upon written request, SUBRECIPIENT Will transfer all pertinent information, specifications and right, title and interest to the designated agency. 14, INVENTIONS, PATENT'S AND COPYRTGHTS. A. Reporting Procedure. If any project produces patentable items, patent rights, processes;. or invetitions in the course of work under a U,S. Department of Labor (DOL) grant or agreement, the SUBRECIPIENT shall report the facit promptly and fully to the CITY. The CITY shall report the fact to the Grant Of icer, at the DOL, Unless there is a prior agreement between the CITY and the DOL and its representative on these matters, the DOL shall determine whether to seek protection on the invention or discovery, The DOL and its representative shall detenniune how the rightsin the invention or disoovery, including rights tmder any patent issued thereon, will he allocated and administered in order to protect the public interest consistent with the "Governmental Patent Policy" (President's Memorandum for Heads of Execnttive Departments acid Agencies, August 23, 1971, and Statement of Government Patent Policy as printed in 36 F'R 16889). B. Copyright Policy. I. Unless otherwise provided in the terms of the grant or agreement, when copyright - able material is developed in the course of or sunder a DOL Grant or agreement, the author and the CTTY which developed the work is free to copyright material or to permit others to do so. The SUBRECTPIBNT and the Workforce Development Board (WDB) shall have a royalty -free, nonexclusive and irrevocable license to reproduce, publish, tune and to authorize others to use all copyrighted material. 2, The DOL reserves a royalty -free, nonexclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use. for Federal Government purposes: (a) Tlne copyright in any work developed under any grant, sub -grant, or. contract under a grant or subgrant: (b) Any right of copyright to which a grantee, subgrantec or a SUBRF.CIPIENT purchases 2 5A-116 Page 9 of 17 EXHIBIT 2 ownetsbip vvith Brant support; and, (c) SUBRECIPIENT shall comply with the requirements of 29 CIR Part 97.34. C. Rights to Data. The DOL and the CITY shall have unlimited rights to any data first procured or delivered under this Agreement. 15. CLEAN AIR I CLEAN WATER ACT, If the grant hereunder exceeds $100,000, SUBRECIPIEN'r must comply with Section 306 of the Clean Air Act [(42 USC 1875(h)]; Section 508 of the Clean Water Act (33 USC 1368); F.xeuutivc Order 11738 and Environmental Protection Agency ("FT -A") regulations (40 CFR Part 35) as any may now exist or be hereafter amended. Ender these laws and regulations, the SUBRECIPIFICP assures that: (a) No facility to be utilized in the periormanco of the proposed grant has been listed on the EPA List of Violating Facilities; (b) It will notify CITY prior to award of the receipt of any communication from the Director, Office of Federal Activities, U.S. EPA, indicating that a facility to be utilized for the grant is under consideration to be listed on the EPA List of Violating Facilities; and, (c) Jt will notify the CITY mid the EPA about any known violation of the above laws and regulations. 16. SUBRECUIENT agrees to adhere to the following STANDARDS 01: CONDUCT: a. General Assurance. Every reasonable course of action will be taken by SUBRECiPTE T in order to maintain the integrity of this expenditure of public funds and to avoid filvoritism. This Agreement will be administered in an impartial mamter, five from errors to gain personal, financial; political gain. SU$RECIPIEA'T, its officers and employees, in administering this Agreement, will avoid situations which give rise to a suggestion that any decision was in[lueumd by prejudice, bias, special interest or desire for personal gain. b. Employanertt of Former State or CITY Employees. S UBREMPTE T will ensure that any of its employees who were formerly employed by the State of California or CITY, in a position that could have enabled such individuals to impact policy regarding or implementation of programs covered by this Agreement, will not be assigned to any part or phase of the activities conducted pursuant to this Agreement for a period of not less than two (2) years following the termination of such employment. c. Conducting Business Involving Relatives. No relative by blood, adoption or marriage of any executive or employee of SUBRF.CIPIENT will receive favorable treatment when considered for enrollment in programs provided by, or employment with, SUBRECIPIENT, d, Conductin Business Involving Close Personal Friends and Associates. Executives and employees of SUBRECIPiENT will be particularly aware of the varying degrees of influence that can be exerted by personal fiends and associates and, in administering this Agreement, will exercise due diligence to avoid sittations which give rise to an assertion that favorable treatment is being granted to friends and associates. When it is in the public interest for S UBRECTPIENT to conduct business with 25A-117 Page 10 0f 17 EXHIBIT 2 a friend or associate of an executive or employee of SL;BRECIPIENT, an elected official in the area or a voting or non -voting member of the Workforce investment Board (W'IB), a permanent record of the transaction will be retained. e. Avoidaneo of Conflict of Economic Interest. No executive or employee of SUBRECiPiF.l\T elected official in the area, or voting or non -voting member of a WDB, will solicit or accept money or any other consideraticrtn from a third person, for the performance of an act reimbursed in whole or part by SUBRECIPIE+NT or CITY. Supplies; materials, equipment or services purchased with Agreement funds will be used solely for purposes asserted or allowed under this Agreement. No voting member of the WDB will cast a vote on the provision of sorvices or vote on any matter which would provide direct financial heriefit to that member or any business or organization which the mcmbar directly represents. f. Salary and Bonus Limitations, All Subrecipients of WiOA program funds are required to comply with, federal requirements regarding the limitations on salary and bonus payments in accordance with Public Law 109-149, Section 7013. VI1. HOLD HARMLESS A. SLTBREC21ENT shall indemnify and save harmless CITY, its officers, agents and employees, from and against any and all damages to property or injuries to or death of any person Of persnns, including property and employees or agents of CITY, and shall defend, indemnify and save harmless CITY, its officers, agents and employees, from any and all claims, demands, suits, actions or proceedings of any kind or nature, including, but not by way of limitation, workers' compensation claims, resulting from or arising out of tine negligent acts, errors or omission of SU BRECIPIENT, its employees or suhcontrac-tors. B. SUBRECTPIENT shall indeinnif'y and save harmless C17Y, its officers, agents and employees, Iron, and against any and all damages to property or injuries to or death of any person or persons, including property and employees or agents of CiTY, and shall defend, indemnity and save harmless CITY, its officers; agents and employees, from and against any and all claims, demands, writs, actions or proceedings therefore, resulting from or arising out of the intentional or malicious acts of SUBRCCIPIENT, its employees or suhcoutractors. VIII. INSURANCE I. Commercial General Liability. SL-BRECIPIENT agrees to obtain and keep in force during the ten, of this Agreement a policy of comprehensive commercial general liability insurance insuring the State of California, CITY, and SLBRECIPIENT against any liability for accident, injury or death arising out of or in consequence of this Agreement. Such insurance shall be in an amount not less than One Million Dollars ($1,000,000.00) for any injury to or death of any person or persons in any single accident or occurrence, with $2,000,000 in the aggregate coverage. Said policy of comprehensive general liability insurance shall be endorsed to provide to CITY and to the State of California, Employrnent Development Department, at least thirty (30) days written notice prior to cancellation; name CITY, its off cers, agents, employees, and volunteers, and the State of CalUbmia. its offtccrs, employees, and volunteers as Additional insured; and state that such coverage is primary to 2 5A-118 Page 11 of 17 EXHIBIT 2 any other coverage or self-insurance of the State of California and. CITY (in substantially the form as Exhibit I , Additional Insmvd Endorsement, attached hereto). Govenumental entities may substitute a certificate of self-insurance, 2. Automobile LiabiLity Covera>e. SUBRECIPIENT shall also obtain and maintain, during the effective period of this Agreement, broad form automobile liability coverage with at least S1,000,000 limit unless reduced by CITY, which applies to both owtitAfleased and non -owned automobiles used by SliBREC1PTANT employees or Participants in performance Otbis Agreement; or, in the event that CITY will not utilize such owned/leased automobiles but intends to require employees, Participants or other agents to utilize their owm automobiles in the performance of this Agreement, SUBRECIPIENT shall. secure and maintain on file from all such employees, Participants, or agents as self-certificution of automobile insurance coverage. Governmental entities may substitute ar certificate of self-insurance. 3. Workers' Compensation. Tf SUMECIPIENT is an "employer", as set forth in California Labor Code Section 3300 et scq., or utilizes Participants as "employees," as set forth in California Labor Code Section 3350 et seq, SUBRECiP1ENT sliall obtain and keep in force during the term of this Agreement full Workers' Compensation insurance coverage for injuries suffered by Participants. Said insurance policy shall guarantee CITY at least thirty (30) days written notice of cancellation or modification. SUBRECIPIENT shall carry medical and accident insurance for those Participants not qualifying as "employees" for Worker's Compensation Coverage, pursuant to California labor Code Section 3350, ct seq, 4. Equipment Coverage. SUBRECIPLLNT shall purchase a policy or policies of insurance covering loss or damage to any and all Equipment provided to or purchased by SUBRECI PTENT in accordance with this Agreement. Said insurance Shull be in the amount of the full replacement value thereof. providing protection against the classification of fire, extmded coverage; vandalism, malicious mischief, theft, and special extended perils. Governmental entities may substitute a eertiHcute of w1f•insurance. 5. Youth Protection, To maintain a safe environment, funded youth providers that serve youth under the age of 18 will need to provide a Youth Protection Policy and proof of Sexual Abuse & Molestation insurance coverage of at least $2,000,000, Youth providers v"ill be held responsible for conducting a background clearance (live -scan) for staff that have dircxt interaction with youth Participants that are under the age of 18, 6. Proof of Insurance. Certificates and endorsements gust be submitted and approved by CITY prior to any work under this Agreement. SUBRECIPLEI\T understands that CITY will make no payments under this Agreement until the required certificates and endorsements have been approved by CITY. IX. CORPORATESTATUS All corporate SUBRECIPIENTs shall be in good standing, without suspension by the California Secretary of State, Franchise Tax Board or Internal Revenue Service. Any change in corporate status or suspension shall be reported iinmediately to CITY. 25A-119 Page f2oft7 EXHIBIT 2 X. ASSIGNABILITY None of the duties of, or work to be perfonned by, SUBRECIPIENT under this Agreement AM be subcontracted or assigned to any agency, consultunt, or person without the prior written conaem o'(' CITY. SCBRECIPIENT must submit all subcontracts and other agreements that relate to this ASrmnent to CITY. SUBRECIPIENT acknowledges and agrees that it must follow procurement regulations for SLBRECIPIENTs (2 CFR §200.317). No subcontractor assignnleut shall terminate or Filter the legal obligations of SUBREC1P1ENT pursaunt to this Agreement. XI. LAWS COVERII ING TFITS AGREEMENT In its perfarmunce under this Agreement, SUKIEC1PiENT shall -fully comply with the requirements of fhc following, whether or not otherwise referred to in this Agreement: L The Act slid all applicable federal statutes, regulations, policies, procedures and directives, including but not limited to, 2 C'FR 200 and 20 CFR. Parts 651 and 654 2. All applicable State statutes, regulations, policies, procedures and directives; 3. All applicable MY policies, procedures and directives; 4. All applicable Iouiil ordinances and requirements, including use pennits and licensing; 5. Court orders applicable to its operation; and, 6. '1'hc terms and wnditions of this Agrecnnent, If any of the foregoing is enacted, amended, or revised, SUBRF,_CIPIENT will comply vthth such or will notify CITY after enactment or modification that it cannot so comply. C11'Y may thereupon terminate this Agreement, if necessary. MI. EXCLUSIVITY AND AMENDA-M NTOFAGREBMEXT This Agreement supersedes any and all other agreements, either oral or in writing, between the parties hereto with respect to the employment of sUBRECIPIENT by CITY, and contains all the covenants and agreements between the parties with respect to such employment. Each party to this Agreement aclmowlodges that no representations, induceroeuts, promises or agreements, orally or otlrcrwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein, and that no other agreement or amendment hereto shall be effective unless executed in writing and signed by both CITY and S UBRECIPIENT. 25A-120 Page 13 of 17 EXHIBIT 2 XiII. FRAUD SUBRECIPiENT shall immediately report to CITY all instances and facts concerning possible rraLld, abuse or criminal activity relating to expenditure or receipt of funds under this Agreement. XIS'. CONTINGENCY OF FIENDS STMEC'1PIENT acknowledges that approval of and funding for this Agreement is contingent upon State approval, and funds received or obligated from die State of California to CITY. If such approval of funds is not forthcoming, or is otherwise limited, CITY shall immediately notify SUBRECIPIIM'. Within twenty (20) days of receipt of such notice, SUBRECIPiENT shall modify or cease operations as directed by CPPY and negotiate necessary modification to this Agreement and.%or reimbursement of costs incurred hcretutder. XV. TERMTKATION A. 'Phis Agreement may be terminated by either party at its sole discretion, upon thirty (30) days written notice to the other party. Notice shall be deemed served on the date of mailing. However, SUBRECIPIENT may not terminate this Agreerent if undue hardsbip will result to anyparticipatrt. B. In the event Si;BRECIPIENT defaults by failing to fulfill all or any of its obligations hereunder, CiTY may declare a default and termination of this Agreement by written notice tb SUBRECIPM-NT, which default and tcmtination shall be effective on a date stated in the notice which is to be not less than ten (10) days after certified mailing or personal service of such notice, unless such default is cured befbre the effective date of termination stated in such notice. If terminated for cause, CITY shall be relieved of further liability or responsibility under this Agreement, or as a result of the tennination thereof, including the payment of money, except for payment for approved expenses incurred for services satisflactorily and timely performed prior to the mailing or service of the notice of termination.. and except -for reimbursement of (I) any payments made for services not subsequently perPnnned in a finely and satisfactory manner; and (2) oosts incurred by Cfl'Y in obtaining substitute performance. XI%I. DISPUTES Except as otherwise provided in this Agreement, any dispute concerning any question arising under this Agreement shall be decided by CITY. In such a case CITY shall reduce its decision to writing and mail or otherwise furnish a copy thereof to SUBRECIPIENT. The decision of the City shall be final and conclusive unless within thirty (30) calendar days from the mailing or delivery of such copy, CITY receives from SUBRECIPILNT written request to appeal said decision. Procedures governing the appeal shall be prescribed by CITY and.. -'or the State of California in accordance with the Act and all corresponding regulations and 0V413 circulars. Pending final disposition of the appeal, SiBRECIPIENT shall act in accoMance with CITY's dcxisiorr unless the dispute involves a change order. 25A-121 Pago 14 of 17 EXHIBIT 2 XVTl. BREACIT-.SaloC IO2NS If, through any cause, SUBRECTPIENT violates any 0 C the terms and conditions of this Agreement, and/or prior agreements ,vhcreby grant funds were rcecived by SUBRECIPLENT pursuant to this Agreement, or if SUBRF.CIPIENT repots Inaccurately or if any Audit Report makes disallowances. SUBRECIKENT shall promptly remedy its acts or omissions and/or repav CITY all amounts due CITY as a result of SUBRF,CIPIEN'1"s violation, For any such failures or violations; CITY shall also have the right at its sole discretion to either: (1) discontinue program support until such tine as S'UBRECIPiEiVT fulfills its obligations or remedies all violations of this Agreement or prior agreements; and;`or (2) collect outstanding amounts as determined by CITY due CITY by offsetting or debiting from current claims or invoices, if after thirty (30) days' vcTitten notice SUBRE•CIPIENT has failed to ropay same or a repayment schedule has not been made; and/or (3) terminate this Agreement by giving written notice to SUBRECIPIENT of such termination in acctimrdance the notice provision in Paragraph XViII herein below. WIL NOTICES All notices, reports anti correspondence between the parties hereto respecting this Agreement shall he in writing and deposited in the United States Mail, postage prepaid, addressed as follows: CITY: City of Santa Ana Manager, WDB Administrative Office P.O. Box 1988 (M-76) Santa Ana, CA 92702 CI-F.RIC: Clerk of the City Council City ol'Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Tolefacsimnile (714) 647-6956 SUBRECIPIENT: Charitable Ventures of Orange County, dba Project Kinship 2215 N. Broadway Suite 4'?2, Santa Ana, CA 92706 Phone: (714) 941-8009 Fax: (714) 941-8015 XIX. MERGER This Agreement, together x0ln the attachments hereto, expresses the total understandung of the parties. There are no oral understandings of the parties or terms and conditions other than as stated herein, 25A-122 Page 15 or t EXHIBIT 2 xx. VALIDITY The invalidity in .whole or in part of uny provision of this Agreement shall not void or affect the validity of any other provision of this Agreement. xxr. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hcreinbehow, has the power, authority and right to bind their respective parties to cacti of the terms of this Agreement, and shall indemnify CITY fully, including reasonable costs and attonrov's Pees, for any injuries or damages to CITY in the event that such authori ty or power is not, in fact; held by the signatory or is withdrawn. b. All ExhibiN referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. {Signatures on fofdoiving pagej1 25A-1 23 Pago 16 of 17 EXHIBIT 2 M WFNFSS WHBREOP, the parties hereto have execoted this Agteenient the date and year first above -Written. ATTEST: "CITY" _.... _....._... By: Norma Mitre Kristine Midge Acting Clerk. of the Council City Manager APPROVED AS TO FORM: Sonia R. Catvalho "SUBRECTIFNT" City Attorney By: Ryan O. Hodge Assistant City Attorney RF.COIfM. ENDED FOR APPROVAL: Steven A. Mendoza Executive Director Community Development Agency BY: Name: Ted Kim Title: Chief Operating Officer Tax ID #: 20-8756660 25A-124 Page. 17 of 17 EXHIBIT 2 IN WITNLSS WHF.RFOF, the parties hereto have executed this Agrecnxnl the date and year first abokv= Britten. ATTEST: Nomia Mitre Acting Clerk of die Council APPROVED AS TO FORM: Sonia R. Can -alto City Attorney By: Wn6lodge Assistant City Attorney RECONINILNDI D FOR APPROVAL: Steven A. Mendom E x cutive Director Connnunity l7evelopunent Agency "Gil'y" By: Kristine Ridge City Mfarmger `5IIBRFCIPIE T' BY: Narm: Ted Kim Title: Chicro perating Officer Tax tllk: 20-8756660 25A-125 Page 17 of 17 przo,Lex EXHIBIT 2 Workforce Innovation and Opportunities Act (WIOA) Vp .ia lF:l\I`C Santa Ana Workforce Development Board: Youth Service Provider 1. Experience/q,ualificat ions (1 page max) A. Briefly describe your organization. Project Kinship is a non-profit organization founded in 2014 and fiscally sponsored by Charitable Ventures of Orange County (CVOC), Project Kinship serves as a convener of community resources and advocate for the health, mental health, and welibeing of the re-entry population. it promotes hope, encourages healthy decisions that lower recidivism, and offers rehabilitation services that promote healing. These goals are accomplished by providing access to supportive services; offering prevention, intervention, and treatment programming; and advocating for system soiutions to flip the school -to -prison into the prison -to -career pipeline. B. List the facility address. Please include major cross streets. It is located at 2215 N. Broadway#2 in Santa Ana (Cross Streets: Main and Vill Street). C. Indicate hours of operation for facility. Hours of operation are Monday through Friday 8:30.5:30PM, D. Briefly indicate what makes your facility youth friendly and suitable for the program. Project Kinship incorporates trauma -informed care into all programs to address the unique needs of those who have experienced violence in the home, neighborhoods, or correctional settings. This includes creating trauma -informed office environment, intake rooms, and convening spaces to engage participants. Project Kinship also specializes in restorative justice programming to engage those at -risk for, involved in, orformer members of gangs, and the formerly incarcerated. This leads to a neutral, safe place for all participants. E. Provide brief information on the following elements: 1. Average annual operating budget and sources of revenue The agency's annual operating budget is approximately $2 Million, including school district contracts, government grants, and foundation funding. -Project Kinship is the Lead Agency for the county's Proposition 47 re-entry services program and a new Special Populations provider for Orange County WIO,A adult services; both will supplement the proposed services. 2. Brief description of staff There are 33 staff (G administrative and 27 direct service/management) positions. 3. Past experience with WIOA programs or other youth programs Project Kinship has been a workforce development and educational services provider for three years through the WAGEES program and has had Restorative Practice Invention contracts with the Santa Ana Unified School District (six school sites) since 2014. It added Garden Grove Unified School District (onesite) in 2017 and Brea Unified School District (three sites) in 2018. 4. What kind of impart has your organization made on the youth community? Project Kinship programs have specialized in serving youth participants since 2014, serving thousands of elementary school -aged to transitional -aged youth. Impacts include: increased educational success for fn-school youth; re -.enrollment for out -of -school youth; and preparation, obtainment, and retention of workforce development placements for all youth. 25A-126 EXHIBIT 2 w1w:.. Workforce Innovation and Opportunities Act (WIOA) ZPP Santa Ana Workforce Development Board: Youth Service Provider 2, Proposed Program (1 page max) A. Provide an overview of the program's main objectives. The proposed program will serve as a natural continuation of Project Kinship's workforce development and education programs, including Restorative Practices; job training and vocational support services; and case management services offered to transitional -aged youth with histories of gang and/or juvenile court involvement. The main objectives of the Workforce Development Program are: 1) career planning, work readiness skill building, training, arfd'certificaticim; Z) job development, intensive case mahagertient, and peer mentoring; 3j education enrollment and retention; 4) civic opportunities and leadership development; and 5) Incentives, training stipends, sliding scale wage programs, and other supportive services. Each of the aforementioned services will ensure in -school and out -of -school transitional -aged youth (16-24 years old) who live in Santa Ana have the opportunity to pursue their educational and career goals. Twenty participants will be served annually by activities in all 14 WIOA Elements. The proposed program will utilize two key staff to provide the outlined services. They are a (1,0 FTE) Case Manager and a (.25 FTE) Job Developer. Although the proposed program will have its own assigned personnel and intended outcomes, the team will be integrated with all other Project Kinship workforce development and education programs to leverage knowledge, expertise, resources, relationships, and Innovative problem -solving, The proposed staff will be supported by a multidisciplinary team that includes: a Workforce Program Manager, Director of Operations, Bookkeeper, Operations Coordinator, and Controller, all of which will provide their services as In -kind to this grant budget. The Workforce Program Manager will provide direct supervision for the Case Manager and Job Developer and oversee budget expenditures, ordering, and assettracking for support services. The Director of Operations will oversee all ordering, Invoicing, and contract development. The Bookkeeper will produce all monthly invoices and the Operations Coordinator will conduct all procurement and purchasing for the program. The Controller will oversee all fiscal policies and processes; invoicing and accounting activities; and lead any financial audit activities. Project Kinship is an award -winning agency in the areas of gang intervention, re-entry services, restorative practices, and trauma -informed care, which is a strength based approach that emphasizes physical, psychological, and emotional safetythat creates an environment where participants rebuild a sense of control and empowerment. During recruitment and hiring of staff, Project Kinship prioritizes candidates who are highly qualified, culturally competent, and bilingual is preferred. Beyond sharing the same language, it is important that Project Kinship prioritizes staff competent in the unique culture needs of individuals who have been involved in gangs; have histories with generational incarceration, homelessness, teen parenting, and other risk factors; and have experienced .mental health issues such as post -traumatic stress, depression, co-occurring substance abuse/mental health disorders, anger management, and suicidal or homicidal ideation; abuse; and victimization. Project Kinship values "lived experience" when recruiting new staff, meaning those who have been impacted by these risk factors, as well as those who are passionate about working with the target population. Each of these values, principles, and standards of care will be incorporated into the proposed Workforce Development Program. 25A-127 AL ""'IEXHIBIT 2 Workforce Innovation and Opportunities Act (WIOA) Santa Ana Workforce Development Board: Youth Service Provider 3, Population (2 pages max) A. Describe the total number of youth that will be served by this grant. The program will serve four In -school and 16 Out -of -School Youth (20 participants total). B. Describe the age range of the youth that will be served. In -school Youth will be 16-21 years old and Out -of -School Youth will be 16-24 Years old. C, *Describe any minimum requirements that youth need to have in order to be enrolled into your program {aside from the WIOA Youth eligibility requirements). Project Kinship will utilize the WIOA Youth eligibility requirements. The only additional Project Kinship requirement is that participants cannot have a history of any sexual offenses. D. Special consideration for organizations that can serve the following youth populations - Project Kinship serves high -risk, hard -to -reach populations with histories of gang - involvement, substance abuse, homelessness, juvenile court involvement, and/or school failure, with the goal of preventing, intervening, and addressing the barriers that lead to these destructive cycles. Through the proposed program, Project Kinship will serve a minimum of 80% of Out -of -School youth; a minlmum of 10% of foster/emancipated youth; at least 10% homeless youth; and more than 50% of the youth participants will be on probation or parole. The Santa Ana Police Department reports 3,194 documented gang members in the city, a third of which are in the 18-28-year-old age range, many of which will walk through Project Kinship's program doors. This target population has often experienced the devastating impacts of trauma, violence, family disruption, and high recidivism rates. Such challenges tend to create multiple barriers to workplace and educational success. These challenges also further propel cycles of intergenerational gang membership, incarceration, violence, and abuse. As a result, Project Kinship staff are recruited and trained to specialize in meeting these unique needs. E. Specify how the targeted youth populations (out-of.school, youth with disabilities, foster/emancipated, probation, homeless) will be recruited. Project Kinship staff have years of experience Working with the targeted population and high levels of expertise in building relationships with partner agencies to support the needs of participants. This includes works closely with referral agencies such as; District Attorney's office; Public Defender's Office; local police departments; Juvenile Court; Probation Department; Sheriff's Department; Orange County Department of Education (OCDE); local school districts; and multiple community- and faith -based organizations serving the targeted youth. These existing relationships and prior successes will be leveraged to support the outreach to and enrollment of participants throughout the Cityof Santa Ana. Project Kinship also works with Health Care Agency Crisis Evaluation and Guidance Unit (CEGU) Clinicians assigned within Juvenile Hall and probation officers assigned to the Probation Department's Great Escape Resource Center to identify transitional -aged youth that would be eligible for program enrollment. In addition to receiving referrals, the above partnerships facilitate warm hand-off linkages for participants as they work toward their Individual Service 25A-128 EXHIBIT 2 Workforce Innovation and Opportunities Act (WIOA)Santa Ana Workforce Development Board: Youth Service Provider Plan (ISP) and Individual Career Plan (ICP) goals. For example, Project Kinship works closely with OCDE's charter and alternative education school sites, such as ACCESS, College and Career Academy Charter School, and Learning for Life Charter School to re -enroll out -of -school youth. The agency also uses its Restorative Practice interventionists (RPlsj that are assigned within the SAUSD school sites to support the drop -out prevention process for in -school youth. Project I:inshlp works closely with the Social Services Agency and Juvenile Courts to support participants would are currently or previously experienced out -of -home placements, family reunification cases, or other juvenile court Interventions. This includes accompanying participants to court appointments, collaboratlrig with assigned case workers, and providing workshops ortrainings regarding parenting, relationship building, anger management, etc. The majority of Project Kinship's participants will be classified as homeless according to the McKinney Vento Act definition that states children and youth who "have a primary nighttime residence that is a public or private place not designed for or ordinarily used as a regular sleeping accommodation for human beings; are living in cars, parks, public spaces, abandoned buildings, substandard housing, bus or train stations, or similar settings; are living in emergency or transitional shelters; are living in motels, hotels, trailer parks, or camping grounds due to the llacl� of alternative adequate accommodations; are sharing the housing of other persons due to loss of housing, economic hardship, Ora similar reason". SAUSD Family Liaison, who are assigned to work with McKinney Vento students also serve as a. great source of referral as Project Kinship prioritizes program spending toward Work Experience Wages, Supportive Services, and Incentives to increase participants' likelihood of success. In addition, staff carefully plan and research resources to meet participants' needs prior to initiating a warm hand-off linkage. This extra effort and the assessment of a participant's reason and readiness for referral creates a strong interagency relationship with the warm hand- off recipient agency. This process ensures that both agencies clearly understand each other's eligibility requirements, target population, and intake process to ensure a quick and smooth transition for participants. It also leads to reciprocal referrals to Project Kinship programs. Although all these referral sources are vaivable, the greatest source of referrals is "word Of mouth" from current participants and program alum. See the Participant Vignettes included In Section 18for examples of how influential ward -of -mouth referrals are at recruiting youth. F. Include a Letter(s) of Support from organlrations that have agreed to refer youth to your program as Attachment C. See the Letter of Support from Taller San Jose and the College and Career Preparatory Academy Charter School who agree to refer youth to the proposed program in Attachment C. G. Describe your recruitment plan that will fulfill the requirement of enrolling 100% of youth by the 2nd quarter of the program (December 31, 2019). Project Kinship will recruit two In -School Youth and eight Out -of -School Youth in both Quarter 1 and Quarter 2 in order to fulfill 100% enrollment by December 31, 2019. 25A-129 prtoli..�tT ( EXHIBIT 2 AU Workforce Innovation and Opportunities Act (WIOA) Santa Ana Workforce Development Board: Youth Service Provider 4. Assessment (1 page max) A. Youth Service Providers are required to use the Test for Adult Basic Education (TABS) assessment tool, but may use other assessment tools upon approval. The proposed program will utilize the TABE too[ with all participants to assess basic skills prior to enrollment (Pre) and monitor measurable gains each Quarter during enrollment (Post). B. Describe how your program will conduct assessments for youth participants, elaborate on the type of assessment tools or surveys that will be used. In addition to 'theTABE, all participants will complete a Work Readiness Survey pre - enrollment and post -discharge, as well as a"my Next Move" career exploration online assessment within two weeks of enrollment. The results of both of these assessments will be used to identify skills, interests, and level of work readiness to inform the development of the Individual Career Plan (ICP). All participants will complete the Insight tool, which is a criminogenic needs assessment to determine the level of risk for recidivlsm and identify needs and barriers that may affect program performance. This tool is completed within 30-days post - enrollment to inform the Individual Service Plan (ISP) goals and case management needs. C. Describe knowledge of the barriers that youth encounter. One of the unique needs of the target youth population is trauma -informed services and service delivery. Research published by the American Sociological Association shows a strong correlation between trauma exposure, posttraumatic stress disorder (PTSD), and a history of incarceration and school failure. if left unaddressed, trauma can evolve into maladaptive behaviors due to the traumatized brain being on constant high alert, particularly in the lower regions, where survival instincts originate. These can include violence, depression, self -harm, high -risk sexual behavior, substance abuse, and many other safety and mental health related concerns such as difficulty problem -solving, goal setting, and performing in school or at work. Other major barriers for the target youth include being former foster youth, current or past gang involvement, homelessness, and struggles with substance abuse. They also struggle with limited transportation, income, family support, life skills, or professianal skills; felony or criminal records and visible tattoos; and few positive role models, mentors, or relationships. D. Specify how your organization will address the barriers that youth encounter. To address these barriers, Project Kinship incorporates trauma -informed care into all programming. Services are based on relational bonds, trust, and mutual respect. Project Kinship specializes in strategies that engage hard to reach, underserved communities including: Restorative Practices; intensive case management; and peer navigation. Staff meet participants "where they are at" (mentally, emotionally, intellectually, and physically) including providing: evening and weekend meetings; phone and in -person interactions; and appointments offered in locations and at times convenientto the participant. Project Kinship also offers a computer lab with scheduled and drop -in hours; volunteer tutors; onsite certification tralnings; orientations for facilitators to prepare them for unique learning needs of youth; volunteers to help with expungements and charge reduction cases; prosocial activities; peer mentoring; mental health and substance abuse counseling; and a gang neutral space for all activities. 25A-130 F,.:o„.�:•r, EXHIBIT 2 _ Workforce Innovation and Opportunities Act (WIOA) Santa Ana Workforce Development Board: Youth Service Provider 5. Paid & Unpaid Work Experience (3 pages max) A. Describe in detail the paid and unpaid work experience opportunities that will be offered to the youth such as: The proposed program will include Summer Employment, internships, lob Shadowing, and On -the -Job Training opportunities. For Paid Employment, Project Kinship will research and build partnerships with felony -friendly employers and service providers. This includes educating employers on tite benefits of hiring and the unique needs of youth who have experienced high levels of frauma. As an incentive fo invest in hiring participants, the proposed program will utilize a sliding scale wages program that shares the cast of wages with the employer. Through the sliding scale agreement, participants will be hired by employers. Project Kinship will pay a portion of the wages to the employer until the employer is paying the full hourly wage of the participant. The sample formula is based on participants being paid $12 per hour. During the first 160 hours, Project Kinship will pay $8 per hour and the employer will pay $4 per hour. During the next 240 hours, Project Kinship will pay $6 per hour and employer will pay$6 per hour. During the next 120 hours, Project Kinship will pay$4 per hour and the employer will pay $8 per hour. After the completion of 520 hours, the employer will be paying the full wage of the participant. Throughout this process, the participant is being paid full wages and gaining valuable employment skills. The second form of paid employment is training stipends. These stipends will be issued by Project Kinship at the completion of a certificated training program, such as silk Screening (60 hours) and Window Tinting (40 hours). Unpaid Work will Include Internships, Job -Shadowing, and On -the -Job training opportunities. These placements maybe with a potential employer or at the Project Kinship Office. Training areas include; office support, office maintenance, and customer service. Each paid and unpaid work experience opportunity will be recruited for by the lob Developer based on participants' results from the Work Readiness Survey, Insight Tool, and My Next Move career exploration online assessment, all of which identify skills, interests, and level of work readiness. Recruitment will also be informed by participants' Individual Career Plan (lCP) erW5 related to education, training, and job placements. ICP action items may include job searches, career exploration, and identifying felony-friendlyworksites. The Insight Tool is an evidence -based criminogenic needs assessment that identifies barriers that may affect program performance such as learning disabilities, difficulties socializing or functioning in a professional work environment, mental health issues, etc. This assessment will inform Individual needs, strengths, and barriers regarding education, training, and employment. The results and personal interactions with participants will help ensure a good fit placement and Identify any Supportive Services or case management needs that would support placement retention. The Individual Service Plan (15P) and ICPswill include action steps, realistic goals, and major milestones to measure progress while the participant Is actively engaged in the. Workforce Development Program. The plans will he dynamic and reviewed on a periodic basis to assess for evolving needs of the participant, All changes will be documented in the participant's file, including the addition of new goals as initial goals are met. 25A-131 prorxcl' EXHIBIT 2 Workforce Innovation and Opportunities Act (WIOA} API Santa Ana Workforce Development Board: Youth service Provider B. Special consideration will be given to organizations that can prepare youth for targeted in - demand industries as identified in the Orange County Regional Plan: Project Kinship offers an onsite training course and certification in Customer Service and Sales that serves as preparation for entry level positions in the Hospitofrty/Entertainment industry. Past participants have beer-, successfully placed at restaurants in Downtown Disney, Howard Johnson hotels, Angels Stadium, Starbucks, and In-N-Out Burgers. The proposed program will also partner with Taller San Jose to provide access to vocational training programs in the Manufacturing, Information 7echnofdgy, and Heolthcore industries. See the Letter of Support included in Section C. C. Special Consideration for agencies offering job training/preparation in the industries of: The proposed program will work closely with Taller San Jose, Santa Ana College, and Orange Coast College to prepare participants to enter the Engineering industry, starting in the construction, electrical, and welding fields. Each of these institutions specialize in entry level training and foundational knowledge that will prepare participants for promotion and ongoing learning. Project Kinship will also prepare participants to enter the Arts Industrythrough its onsite Silk Screening Certificate program, which exposes youth to drawing and digital media production. The agency also partners with the Give a Beat music program, which introduces participants to music production and digital recording. D. Special Consideration for organizations that offer work experience related to certificated programs offered at the postsecondary institutions. The proposed program will offer certificated programs that are independent of postsecondary institutions and in preparation for postsecondary certificated programs. There are four certification programs that will be offered through Project Kinship that do not require postsecondary enrollment. They are the Customer Service and Sales Certificate issued by the National Retail Federation; r-orklift Certification issued through Al Forklift; Guard Card issued by OC Firearms; and the Silk Screening Certification issued through ASPA. Youth are also prepared to enroll in the Hope Builders construction program through Taller San Jose. For postsecondary certificate programs, participants are Introduced tothe Electrical and Welding certificate programs offered at Orange Coast College, E. List employers that will assist in the paid and unpaid work experience opportunities. During the first 30 days following an award announcement, the Job Developer will begin to comply a list of and develop Memorandums of Understanding with employers thatwill assist in the paid and unpaid work experience opportunities. Since 2014, Project Kinship has led the charge in raising awareness and understanding about trauma, preventing mental illness from progressing, reducing riskfactors, increasing protective factors, and preventing negative outcomes related to untreated mental illness, such as recidivism, school dropout, and unemployment. This includes researchingfelony-friendly employers; working with law enforcement, schools, and community partners to address 25A-132 prao]E01 EXHIBIT 2 v�n.HsWorkforce Innovation and Opportunities Act (WIOA) oa ur. s Santa Ana Workforce Development Board: Youth Service Provider educational and behavioral needs for individual participants; and educating employers on training methods and viable problem-solvingstrategies to increase workplace success. F. Include Letters of Commitment from employers as Attachment D. There are not any current Letters of Commitments from employers to include in Attachment D. These letters will be secured following an award announcement. G. Include a copy of the Work Experience policy as Attachment E. See the Work Experience Policy for the proposed program in Attachment E. 25A-133 EXHIBIT 2 Workforce Innovation and Opportunities Act (WIOA) Santa Ana Workforce Development Board; Youth Service Provider 6. Alternative Secondary School Services (3 pages max) A. Describe in detail the alternative secondary school services or dropout recovery services that will be made available for youth. The proposed program will refer out -of -school youth to a variety of different secondary school programs to complete their high school diploma, These include OCDE's Alternative Education Division (ACCESS), which has school sites throughout the county; the College and Career Academy Charter School, which has multiple satellite sites including adding a potential site at the Project Kinship Office; the Learning for Life Charter School; and the Rancho Santiago Community College District's Continuing Education Program that serves participants who are aged -out of the other high school aged options. The school will serve youth up to 24 years old. Project Kinship has a contract with SAUSD to provide Restorative Practice Intervention services within six of the highest need school sites. Through this contract, Project Kinship assigns Restorative Practice Interventionists (RPIs) at each site to support dropout prevention with youth at -risk for school suspension or expulsion. The RPls also serve as liaisons with the school administration for dropout recovery with participants who have stopped attending school and are ready to re -enroll. B. Describe in detail the activities that will lead youth to attainment of secondary school diploma or equivalent. The proposed program will utilize a variety of activities to lead youth to attain their secondary school diploma or equivalent. The first is conducting evidence -based assessments and providing focused tutoring services. Prior to enrollment, participants will take a 20-minute TAKE Placement Test to indicate what level of the TARE Test they will need (i.e. Easy, Medium, Difficult). Then they will take the Pre -Assessment TABE Test at that level. This test wil I take between 45 minutes to one hour to complete. Youth who score 8.9 and below will be considered "basic skills deficient", will be enrolled in the program, and will receive focused tutoring to improve the literacy and numeracy areas where they struggled most. Practice TABS tests will be conducted throughout enrollment and official Post -Assessments will be taken at least Quarterly. Tutoring will also include: individual and group -based homework assistance; accessto a computer lab to complete assignments and conduct research; and peer support that encourages engagement and inspires participants that personal success is obtainable. All participants will meet with the Case Manager to complete the insight tool, which is an evidence -based criminogenic needs assessment to determine the level of risk for recidivism. It is a paper and pencil tool that also identifies needs and barriers that may affect program performance such as learning disabilities, difficulties socializing or functioning in a professional work environment, mental health issues, etc. This assessment will be conducted within 30 days post -enrollment and used to inform ISP goals based on individual needs, strengths, and barriers regarding education and employment. It is also used to identify case management needs. The ISP and Tutoring Plan will both include action steps, realistic goals, and major milestones to measure progress while the participant is actively participating in the Workforce Development Program. The plans will be dynamic and reviewed on a periodic 25A-134 precrlac•�• EXHIBIT 2 Workforce Innovation and Opportunities Act (WIOA) iaL I'l. Vtri1'!Y Santa Ana Workforce Development Board: Youth Service Provider basis to assess for evolving needs of the participant. All changes will be documented in the participant's file, including the addition of new goals as initial goals are met. These plans are individualized and informed by evidence -based assessments, which allows interventions to be highly focused and effective at producing measurable gains. Areas of strengths and barriers will be shared with stakeholders, such as teachers, counselors, tutors, employers, and peer mentors to create a wrap -around support network for the participant, all of which will increase their potential for obtaining their high school diploma or equivalent. C. special consideration for agencies that offer dropout prevention or dropout recovery services. Since 2014, Project Kinship has been working closely with SAUSD to provide contracted Restorative Practice Intervention services. Project Kinship has staff current assigned to six of the highest need schools in the district, which includes Valley High School, Century High School, and REACH Academy Continuation School. Through this contract, RPIs are able to build relationships with school administration and students to support dropout prevention with those at -risk for school suspension or expulsion. These interventions include: one-on-one counseling; family mediation; aiding with transcript reviews; serving on School Climate Committees and Restorative Practice Taskforces; providing Supportive Services; facilitating six different curriculums ranging from a trauma -informed Arts and Healing course to Gang and Substance Use Invention; and serving as liaisons with the school administration for dropout recovery for participants ready to re -enroll. Research published by the American Sociological Association shows a strong correlation between trauma exposure, posttraumatic stress disorder (PTSD), and history of incarceration and school failure'. If left unaddressed, trauma can evolve into maladaptive behaviors due to the traumatized brain being on constant high alert, particularly in the lower regions, where survival instincts originate. These can include violence, depression, self -harm, high -risk sexual behavior, substance abuse, and many othersafety and mental health related concerns. Lower brain over -activity can inhibit a victim's abilityto perform high cognitive functions. For example, those who are stressed may have difficulty problem -solving, goal setting, and performing in school or at work. Manywho have been exposed to violence never receive help in recovering from the trauma caused by their life experiences. They often find it difficult to regain a sense of safety or heal their social and emotional wounds. Trauma and victimization during in can also undermine the developmental process related to learning, social emotional health, and behavior towards others. Trauma -exposed youth who become involved in high -risk behaviors for the purpose of self-protection can lead to long lasting, adverse consequences such as limited education, low skill levels, and employment challenges, all of which initiate a cycle of recidivism. By providing trauma -informed services, it supports the recovery process, especially for those who have difficulty verbalizing or processing theirexperienced trauma. r The Re latlonsblp batwean Trauma, Arrest, and Incarceration History arnong Slack Americans Findings from the Na Ilona Survey of American Life, Lena I. Jaggi, Brian Mezuk, Daphne C. Watkins, fames S. Iackson. 21)16. 25A-135 jj71.4 J r:'A try.` EXHIBIT 2 Workforce innovation and OppartunitfesAct (WIOA) nP Santa Ana Workforce Development Board: Youth Service Provider In 2012, the Attorney General's Task Force on Children's Exposed to Violence reported that about two out of three children have been exposed to some type of violence. This rate is even higher within the target population, many of which have experienced multiple forms of victimization, referred to as poly -victimization. Those who have been poly -victimized show an increased risk for aggressive and destructive behavior, when compared to their counterparts who have not been poly -victimized, even when controlling for age, gender, and ethnicity. The loss of a parent or child to incarceration strains family dynamics and challenges the maintenance of healthy family systems, Interrupted or unstable income and a high number of minimum wage-earning adults leads to multiple families with children living in overcrowded homes, apartments, garages, and shelters. Youth often spend more time in the streets where gang membership is encouraged for acceptance and protection. These unhealthy relationships can ultimately result fn experiencing violence, incarceratlon, and a continuing cycle of community unrest. Within the correctional system, survival depends on using skills learned an the streets, including manipulation, intimidation, and victimization. Offenders return to the community with more sophisticated traumas and fewer coping skills to navigate the complex systems necessary for re-entry. For all of the above reasons, having staff who specialize in trauma -informed care, restorative practices, and are culturally competent in the obstacles faced by participants will allow service to be custom-deslgned to meet their unique needs. All of which will lead to dropout prevention, dropout recovery, and successful educational options. 25A-136 prxofl.c:x EXHIBIT 2 Workforce Innovation and Opportunities Act (WIOA) W--. Santa Ana Workforce Development Board: Youth Service Provider 7. Preparation for Postsecondary Education and Training (3 pages max) A, Special consideration for organizations that offer preparation for postsecondary education and training in in -demand industries. The purpose of the proposed program is to prepare participants for employment; increase employment rates of the formerly incarcerated; decrease their recidivism rates; increase their rate of attaining a high school diploma and industry -recognized credentials; and increase their rate of entering post -secondary education and training. To achieve these objectives, the Case Manager and Job Developer will offer certification courses that can be used in anyjob placement; individual and group training sessions to guide participants in resume building, submitting job applications, researching career paths; practicing interviewing skills, Driver's License test questions, and ESL conversation skills, Each of these work readiness skills will supplement postsecondary education as participants prepare for in -demand industries. The proposed program will also partner with the following local colleges to provide participants with adequate preparation for enrollment in postsecondary education programs: • Santo Ana College to provide FAFSA workshops, campus tours, enrollment assistance, and an academic counseling course for first generation college students • Orange Coast College to provide tours of their technology department, home to their electrical, welding, framing, construction, CNC machinery„and woodworking programs o Santiago Canyon College to provide site tours of their agriculture department • Fullerton College to provide FAFSA workshops, campustours, and enrollment assistance B. Special consideration for organizations that collaborate or partner with postsecondary Institutions to enroll youth in career pathways that lead to an in -demand occupation. The proposed program will partner with Taller San Jose's Hope Builders Program so that participants are able to prepare for and enroll in their paid construction program, which leads to various careers in the Engineering industry. Through this partnership, Project Kinship provides the case management, supportive services, and mentoring to participants to prepare them for success once enrolled in the Hope Builders Program. See the Letter of Support from Taller San Jose included in Section C. Staff will also work closely with Orange Coast College to enroll participants in their electrical, welding, framing, construction, CNC machinery, and woodworking programs which lead to careers in Engineering and Manufacturing industries. C. How will your program make available and/or develop a career pathway for youth that can prepare them to obtain a career or occupation that provides livable wages? Please elaborate on the specific pathway(s). The Job Developer will work with participants on completing the My Next Move career exploration online assessment as part of their ICP. This assessment will gauge their career readiness, potential career pathways that match their skills and interests, as well as expose participants to careers in similar fields and the minimum qualifications for each. The Job Developer will also guide youth in research aboutthe skills and education needed for entry level positions and advanced positions along the career pathway ladder. 25A-137 grEU]k.C•;•. I EXHIBIT 2 Workforce Innovation and Opportunities Act (WICIA) Santa Ana Workforce Development Board: Youth Service Provider D. Describe how the program will prepare youth for postsecondary education and training. The proposed program will utilize workshops (see Section 10 and 18 for more details on types of workshops offered at Project Kinship); onsite tutoring; online research through the computer lab; work. with school counselors on transcript reviews; and collaborate with family and guardians to engagementthem in the enrollment process to support participants. F. How will your organization expose youth to the various postsecondary educational institutions (colleges, universities, vocational training schools, apprenticeships, etc.). To increase participants exposure to postsecondary educational institutions, the Workforce Development Program will offer campus site tours, reach out to department chairs or counselors to provide presentations on the vocational programs available, coordinate workplace fieldtrips with potential employers, and assist youth in conducting online research of different career pathways and educational programs to support skill building in that industry. F. Describe the certificates youth will be able to earn within 1 year after exit. In addition to earning a high school diploma, participants will be able to earn the following industry recognized certificates within one year after exit: • Customer Service andscies Certificate issued by the National Retail Federation. Training is conducted by Project Kinship trainers. Certificate is earned by online certification. • Guard Card issued through OC Firearms. Participants must complete a background check and online training to complete the process. • Forklift Certificate issued by Al Forklift. There is a Memorandum of Understanding in place between Project Kinship and Al Forklift for participants to partake in this training. • SllkScreenfng Certificate issued by ASPA through an online certification process. Sixty hours of instruction and hands-on practice are conducted onsite at Project Kinship. G. Include data and research that supports the Industries or pathways. listed above. The following is industry data research for the pathways listed above: • Welding Wages & Employment Trends: Median wages (2017), employment (2016), and industry (2016) data collected from Welders, Cutters, Solderers, and grazers indicate median wages are $19.35 hourly or $40,240 annual; with 4D5,000 employees and an average projected growth (2016-2026) of 5% to 9%, equating to 45,800 projected job openings (2016-2026) within the manufacturing and construction Industries. • Customer Service Wages & Employment Trends: Median wages (2017) are $15.81 hourly or $32,890 annual; with 2,785,000 employees (2016) and an average projected growth (2016- 2026) of 5% to 9%, equating to 373,500 projected job openings (2016-2026) within the Finance and Insurance, as well as Administrative and Support Services industries. • Electrician Wages & Employment Trends: Median wages (2017) are $26.01 hourly or $54,110 annual; with 667,000 employees (2016) and an average projected growth (2016- . 2026) of 5% to 9%, equating to 92,000 projected job openings (2016-2026) within the Construction industry. H. Include Letters of Intent from training agencies as Attachment F. See the Letters of Intent from training agencies located in Attachment F. 25A-138 EXHIBIT 2 Workforce innovation and Opportunities Act (WIOA) M _ Santa Ana Workforce Development Board: Youth Service Provider S. Tutoring (1 page max) I. Describe in detail the tutoring resources that will be provided to youth through your program or in partnership with local resources. The proposed program will utilize the Test for Adult Basic Education (TARE) with all participants to assess their literacy and numeracy skills pre and post enrollment. Youth who score 8.9 or below will be considered "basic skills deficient" and eligible for enrollment. All participants will have a Tutoring Plan informed by their performance on the Pre - Assessment TABEtaken prior to enrollment. Throughout the program, participants will receive focused tutoring to improve the literacy and nureracy skills. Areas where they exhibited the greatest deficiency will serve as the highest priority for tutoring activities. Volunteers from the University of California, Irvine come to the Project Kinship Office three times a week to provide tutoring with participants. During tutoring times, volunteers support participants with: one-on-one homework assistance; focused practice In TABEtest areas of difficulty; computer lab tutorials; completing online documents such as job applications, resumes, and career -focused research; group collaboration with peers on homework or projects; and low -risk social activities to practice conversation and comprehension for English as a Second Language Learners. Project Kinship provides a designated space and time for tutoring and homework assistance for participants, something often not available to them at home. The program also offers drop in tutoring hours for those who are currently working, in school, parenting, or have other time commitment restraints. These flexible options, as well as the opportunity to take practice TABE test throughout the Quarter, allow participants to build their test taking confidence and basic literacy and numeracy skills. Each intervention will led to measurable gains when participants complete the official Post -Assessment (TARE retest) each Quarter. 25A-139 prto� rr..r. EXHIBIT 2 Workforce Innovation and Opportunities Act (WIOA) oM_ ��/GCVty — Santa Ana Workforce Development Board: Youth Service Provider 9. Mentoring (1 page max) J. Specify how your organization will provide mentoring to youth. Project Kinship specializes in building strong mentoring relationships with participants by utilizing professional mentors, as well as Peer Navigators with "lived experience". Each participant benefits from one-on-one interactions with staff, caseteam meetings with multiple staff, peer -to -peer groups, and social events such as handball and softball tournaments that build social -emotional skills and positive friendships. Project Kinship also hosts multiple volunteers who work with participants in different capacities including tutoring, legal aid, and facilitating skill building and workplace readiness workshops. K. Specify what types of support your agency will offer youth facing: family dysfunction, mental health issues, homelessness, low self-esteem, gang issues, parenting issues, etc. Project Kinship hosts weekly Restorative Circles to build a sense of community. These circles create a safe space to allow participants, staff, and other stake holders (i,e. family members, administration). These trauma -informed circles allow participants to assess environmental, family, and peer -related challenges that can bead dressed and supported by the group. Workforce Development participants are encouraged to participate in the Restorative Circles and even serve as mentors to those who are newer to Project Kinship services. In addition to Restorative Circles, volunteersfrom the University of California, Irvine and the Law Center work with participants on expungement and reduction cases. Women's Transitional Living Center volunteers provide self-esteem workshops. Project Kinship has three staff certified to lead Parents on a Mission parenting classes for participants and their families. Workforce Development staff serve as court advocates by attending court appointments. Staff also accompany participants to DMV appointments; Social Services, Probation, and Parole case meetings; and provide system navigation for housing, school enrollment, and disability benefits. L. Will your organization offer mental health services or referrals to mental health agencies? Project Kinship does offer onsite mental health services, with a Clinician who has been providing counseling services for Workforce Development Program youth for the past three years. Participants from the proposed program in need of mild to moderate mental health support will be referred to the onsite Clinician. Any participants with chronic and severe mental health needs will be referred to a partner organization that is best suited to meet these needs. M. Describe how your organization will provide or refer youth to comprehensive guidance and/or counseling for drug and alcohol. Project Kinship has an onsite Certified Alcohol and Drug Counselor (CADC) who is able to provide substance use assessments, develop relapse prevention plans, facilitate drug and alcohol counseling, lead Alcohol Anonymous and Narcotics Anonymous groups, and conduct substance abuse prevention courses. Project Kinship Peer Navigators with "lived experience" in recovery also serve as mentors to participants with histories of substance use. Those with mild to moderate substance abuse needs will be referred to the onsite CADC. Those with chronic to Severe or detox needs will be linked to residential treatment and/or detox facilities such as Stanton Detox, The Rock Center in the City of Anaheim, or Woodglen in the City of Fullerton. 25A-140 EXHIBIT 2 1 Workforce Innovation and Opportunities Act (WIOA) m:. cnoerieu Santa Ana Workforce Development Board: Youth Service Provider Ia. Workshops (2 pages max) N. Provide information about the following workshops and how or when the workshops will be provided to youth in the program: Workshops will be presented in 1 to 2-hour segments and made available to all program participants. The Case Manager will create an ISP with each participant and identify workshops from the monthly calendar of events that will enhance their individual skills and support their progression toward stated performance goals. The following are workshops that will be offered by Project Kinship for program participants: 1. Financial Literacy/Budget Management: Project Kinship will offer a series of workshops on personal financial management skills, including topics such as budgeting, banking, savings, credit, loans, identity theft, and vehicle purchase. 2. Entrepreneur Skills Tralning: This workshop will focus on the key elements of a business plan, including value proposition and innovation, market identification, competitive strategy, and financial value creation, Participants will gain insight on how to create their own business plan and how to prepare a pitch to potential investors. 3, Labor Market Information: In this interactive workshop, facilitators will demonstrate several online tools that will give participants up-to-date labor market information and data. Thesetools offer valuable insight into wage, industry, and hiring trends. Participants will also learn internet navigation and content consumption skills. 4. Family Planning: Participants will participate in varies workshops covering topics such as healthy relationships, setting boundaries, reproductive planning, Sexual Transmitted Infections prevention, birth control options, and parenting skills, S. Worker's Rights/Labor laws: Participants will learn about current labor law, worker's rights, the appropriate agencies to file complaints or grievances with, as well as worker's civil and constitutional rights. 6. Analytical Skills at the Workplace: Participants will learn basic analytical skills for the workplace such as problem -solving and communicating by focusing on the most critical information, involving the right people, and code -switching based on the audience. 7. Health Resources: Participants will learn of local resources that promote a healthier life style. Participants will also be able to enroll in MediCal and the SNAP food program onsite at Project Kinship, as well as learn how to obtain low-cost health care coverage. 25A-141 pRoRac]'r YIY EXHIBIT 2 Workforce Innovation and Opportunities Act (WIOA) Santa Ana Workforce Development Board; Youth Service Provider S. Professional Communication Skills: Participants wiil learn to recognize unconscious communication habits and build skills that will help them succeed in every situation, from the breakroom to the boardroom. Participants will learn to identify, understand, and work with people's diverse communication styles. Navigating the Workplace: Participants will gain insights on the employer's outlook that not only help them maintain employment, but also preparethem for promotion. This workshop will review workplace expectations, generational differences at work, and dealing with conflict in the workplace. 25A-142 ��R/ZTb;Cp EXHIBIT 2 Workforce Innovation and Opportunities Act (WIOAj _M _ Santa Ana Workforce Development Board: Youth Service Provider 11. Civic Engagement or Leadership Development (2 pages max) A. Can your organization offer a civic engagement opportunity or leadership development opportunity for WrOA youth, if so, please describe? Through the proposed program, Workforce Development Program participants will have multiple opportunities to build their civic engagement and leadership skills. The first is attendance at the California Workforce Association (CWA) Conference. Program staff and participants will both participate in the annual conference as part of this grant. In addition to the CWA Conference, Project Kinship has hosted an Annual Public Safety and Re-entry Conference for private and public service providers since 2014. Participants include: leaders from 5AUSD; Orange County (OC) Sheriff's Department; OC Probation Department; OC Health Care Agency; and the City of Santa Ana. During the conference, participants gain knowledge about best practices and how to help prevent the re-entry population from slipping through the gaps in the systems. The conference also offers a forum for identifying opportunities for partnership and alignment between entities that serve the formally incarcerated throughout the county and Southern California Region. Workshop themes include how to incorporate restorative justice -focused and trauma -informed practices into programming, as well as coordinating service delivery for hard to reach participants. Workforce Development Program participants will be invited to participate in the Annual Conference as attendees, panelists, and support workers to build their civic engagement and leadership skills. In addition to the annual conference, Project Kinship offers multiple trainings during the year on Gang Intervention, Health and Wellness, Trauma -informed Care, and Restorative Justice. Through these trainings, participants with "lived experience" are trained on how to advocate for system change and share their testimonies to educate others on trauma and transformation. Finally, Project Kinship convenes the Capacity Building Network of Re-entry Provider Coalition, which engages the Orange County Chief of Probation, Presiding Juvenile Justice Judge, Chiefs of Police of several cities, and community leaders In strategic planning to address issues of community violence and challenges to re-entry. Participants are often invited to speak during site visits or meetings, which builds their public speaking and leadership skills. Project Kinship also hosts weekly Restorative Circles to support those who are in conflict, to build rapport with participants, and to build a sense of community. These circles create a safe space to allow participants, staff, and other stake holders to connect and establish a sense of kinship that results in accountability, healing, and transformation. It is a culturally sensitive approach that identifies core factors that lead to negative choices. Exploring these factors through a trauma -informed lens, It helps to assess environmental, family, and negative peer -related challenges that can be addressed by participants and supported by the group, Workforce Development Program participants are encouraged to participate in the Restorative Circles and even serve as mentors to those who are newer to Project Kinship services. Finally, Project Kinship partners with the University of California, Irvine (UCI) Law School and the University of Southern California (USC) School of Social Work to have staff and participants present to students enrolled in the District Attorney, Public Defender, and Social Work education programs. Through these partnerships, UCI students volunteer at the Project Kinship Office to provide legal clinics with participants to work toward record expungement and 25A-143 pRc�Jr�'� g EXHIBIT 2 1 Workforce Innovation and Opportunities Act (WIOA)Santa Ana Workforce Development Board: Youth Service Provider charge reduction. These volunteers also serve as mentors to participants and engage them in policy campaigns aimed atjustice reform regarding legal loop holes. Each of these interactions build leadership skills, civic engagement, and professional networks for participants. B. Indicate the number of youth that will participate in the civic engagement or leadership development opportunity. Three participants will attend the California Workforce Association Annual Conference. All twenty participants will have the opportunity to participate in policy advocacy campaigns and presentations. Other leadership opportunities include attending the Annual Re-entry Conference hosted by Project Kinship, serving as program ambassadors to recruit and mentor new enrollees, and participating in leadership development workshops offered by Project Kinship and its community partners. 25A-144 V,rcoarez,91 EXHIBIT 2 on "8,c , Workforce Innovation and Opportunities Act (WIOA) Santa Ana Workforce Development Board: Youth Service Provider 12. Supportive Services (1 page max) O. Will your organization provide supportive services to youth such as gas cards, bus pass, childcare assistance, etc.? If so, please describe. All program participants will be eligible to receive Supportive Services throughout their participation in the proposed program, including during follow-up. All Supportive services funding issued to participants will be directly connected to their individual ISP and ICP goals. Funding related to ISP goals may include: driver's education fees, college textbooks, gas cards, and bus passes. Supportive Service funding to meet ICP goals may include: professional clothing, uniforms, and trade tools {i.e, work boots for construction) necessary for employment success. All support will be linked to program outcome achievement and filed alongside supporting documentation in the participant's case file, Project Kinship believes is working with the "whole client", meaning unless root needs and causes are addressed, then reaching a target goal may not be sustainable outcome. To work with youth who have experienced trauma in their lives, it takes a specialized form of supportive services to break the cycle of recidivism. Project Kinship focuses its efforts on building strong support groups, providing pathways to education and employment, increasing work readiness, and removing the barriers to long-term success. The proposed program will allow participants to drive their ISP and ICP goals, with the guidance of Workforce Development Program staff. Project Kinship has three levels of intervention, which include universal, individual, and intensive. At the universal level, community and outreach services provide social and emotional support to individuals through education, case management, resource delivery, navigation, and community outreach. These services strengthen the support network within the community. At the individual level, all Project Kinship programs have components for identifying social and emotional risk factors experienced by participants and families that necessitate additional supports for success. These exchanges may include workshops focused on conflict resolution, trust building, accountability, relationship repair, and othersocial-emotional skill building to increase employability and workplace success. Finally, atthe intensive level, Project Kinship uses a multidisciplinaryteam, range of services, and more intensive treatment approach, The Workforce Development Program will utilize all three of the above levels of intensive case management The Workforce Development Program will also provide wrap -around supportive services to remove barriers to participants' success, such as legal clinics, support and recovery groups, and opportunities to perform volunteer work to meet community service hours. Participants at all stages of program participation, Including follow-up, are eligible to participate in and benefit from all of the aforementioned supportive services. P. Include the Supportive Service Policy as Attachment G. See the Supportive Service Policy for the proposed program in Attachment G. 25A-145 x EXHIBIT 2 l Workforce Innovation and Opportunities Act (WIOA) y nA tt'cnl'V Santa Ana Workforce Development Board: Youth Service Provider 13. Incentives (1 page max) A. Will your organization provide incentives to youth for accomplishing program benchmarks or personal goals? if so, please describe. Theproposed program will be utilizing incentives to acknowledge participants as they reach specific program benchmarks. These benchmarks include: 1) obtaining employment 2) retaining employment 3) enrolling in education 4) retaining education (i.e. enrolling in second semester; passingsemestergrades) 5) earning an Industry recognized certification 5) obtaining a Driver's License 7) completing the 5-week Work Readiness curriculum 8) being discharged from Probation or Parole The purpose of the Incentives is to encourage youth to participate in activities throughout program duration, including the 12-month post -exit follow-up period. Although benchmarks 6-8 are not directly related to employment and education, without achieving these benchmarks, participants will often struggle to obtain and retain employment and education or to sustain long-term progress in either area. They are also often a sign of readiness to change and a demonstration of the participant's level of commitment to their Individual success. A large percentage of participants do not have a Driver's License or stable mailing address at time of enrollment By supporting participants In achieving these fundamental benchmarks, it is an esteem boast as they work toward applying for jobs, enrolling in school, planning transportation to and from both, and feeling confident in their personal stability and professionalism to compete alongside their same age peers who may not have the same struggles to contend with. All incentives will be In the form of a $50 VISA gift card. Participants are eligible for and encouraged to earn multiple incentives, On average, participants will earn $250 in incentives throughout their participation. All incentives will be tied to training and education, work readiness skills, and/or occupational skills attainment goal as identified in their ISP and/or ICP. All Incentives will be documented in the participant's case file and accompanied by supporting documentation of the achievement. B. Include the Incentive Polley as Attachment H. See the Incentive Policy for the proposed program in Attachment H. 25A-146 }�iat�7nc"-T EXHIBIT 2 Workforce Innovation and Opportunities Act jWIOA) y mil. f. ryl'�1'V v Santa Ana Workforce Development Board: Youth Service Provider 14. Follow -Up Services (3 pages max) A. Elaborate on the types of services that will be provided to youth during each quarter during the 12-month follow-up period. Follow-up services will include all of the same services available to participants during enrollmentwith one exception, exited youth will not be eligible to receive paid wages or stipends. Exited youth will still be able to benefit from work readiness workshops; support services; incentives; job shadowing, internships, and training; intensive case management; and leadership opportunities throughout the 1st, 2nd, 3rd, and 4th Quarters after exit. • See Section 18—Additional Documents fora sample of the Workforce Activities Calendar for examples of Workforce Readiness Workshops. • Supportive Services include: transportation support (i.e. bus passes, gas cards); uniforms; work tools; professional clothing; and driver's education fees. • Incentives can be earned at 8 specific program benchmarks like: obtaining employment; retaining employment; enrolling in education; retaining education; earning a credential; obtaining a Driver's License; completing a 6-week Work Readiness series; and being discharged from Probation or Parole. More details are found in Section 13. • Job Shadowing, Internships, and Training are opportunities for participants to continue to build their work readiness skids and employability. • Intensive Case Management will be conducted through weekly interactions with participants through the follow-up period, including In person appointments, phone contact, home visits, worksite visits, and year-round workshops. • Participants are encouraged to participate in Civic and Leadership Opportunities including: conferences, participating in advocacy campaigns, and peer mentoring. 8. Describe how your organization will provide case management, job retention services, mentoring, and ensure the participants attains their goals. The proposed program will utilize two key staff positions to ensure participants attain their goals throughout the program, especially during the follow-up period. The Case Manager will provide the intensive case management for all participants, including the monitoring of their ISP, conducting the TABE Assessments, supporting enrollment, and facilitating re - enrollment in education. Project Kinship follows a Socio-Ecologicai understanding of individuals within a community within society as a whole. It is understood that as needs are met, others arise, which makes ongoing follow-up essential to maintaining success. The Case Manager will collaborate on cases, advocate for, and continuously support the physical, mental, emotional, and social needs of participants throughout the program, including follow-up. Intensive case management services will help participants to understand the resources available and how to access them. The agency has a "no wrong door" approach, which allows participants to engage with staff through different programs within the agency and be seamlessly navigated into programs that fit their needs. Staff uses a multidisciplinary approach to increase the participant's support network and to foster positive relationships with advocates in the community. All participants are engaged in one-on-one sessions to develop their ISP and ICP. To ensure success, participants and staff set and review goals on an ongoing 25A-147 Ir �,r.� �'" EXHIBIT 2 Workforce Innovation and Opportunities Act (WIOA) - _ Santa Ana Workforce Development Board: Youth Service Provider basis. In addition, staff link and transition participants to needed services that are beyond Project Kinship's expertise or capacity to provide. In these cases, staff assist the participant in navigating through different systems such as: Probation, Parole, and the court system; severe and chronic mental health or psychotropic medication needs; medical needs; educational services and enrollment; housing placements; and employment placements. Staff work side by side with the participant to ensure needs are met. The Job Developer will provide all workforce development services for participants, including: updating ICPs with participants; conducting the Post -Exit Work Readiness Survey and readmitting the My Next Move career exploration assessment when necessary; facilitating work readiness workshops; coordinating with certification trainers; developing job shadowing and internship opportunities; and conducting work site visits. Both positions will request supportive services funds and issue incentives for benchmarks tied to participants' 1SP and ICP goals. TheJob Developerwill work with service providers to provide training and insight on how to work with participants using a trauma -informed approach. Project Kinship has emerged as a beacon of hope for high -risk, gang- and justice -involved participants and their families. Over the years, agency staff have built partnerships with service providers and employers who are felony friendly and appropriate for youth with histories of justice system involvement. These partnerships lead to "warm handoffs" and transitional support to link participants with housing, legal aid, and paid vocational skills training. Some of these referral agencies include: ■ Taller San Jose Hope Builders Program for paid vocational training • Al Forklift and CC Firearms for specialized employment certification services ■ Orange County Public Defender's Office and UCI Law Center for legal aid services • OCDE-ACCESS; College and Career Preparatory Academy Charter School; Learning for Life Charter School; and Centennial Education Center for educational services • Homeboy Industries in Los Angeles for tattoo removal services Interactions will take place in person (in the office and/or in the field); by phone; or during case meetings/appointments on behalf of the participant to monitor progress toward ISP goals and ICP benchmarks. Throughout these interactions, staff and participants build a professional relationship, problem -solve, goal set/monitor, build self-sufficiency, and incorporate personalized support to obtain and retain their levels of attainment. C. Describe how your organization will ensure that youth meet the Performance Indicators during the follow-up period. To maintain the relationship built between staff and participant during program enrollment, the Case Manager and/or Job Developer will increase the frequency of interaction with participants during the follow-up period. This Increased interaction will be in the form of:. 1) Worksite visits; Work Readiness Assessment Tool completed byemployers; and Employee Satisfaction Survey completed by participants to monitor the success of unsubsidized employment placements. zj Advocacy campaigns and relationship building with potential employers that lead to job shadowing, internships, and training opportunities for participants. 25A-148 EXHIBIT 2 Workforce Innovation and Opportunities Act {WIOA _ Santa Ana Workforce Development Board: Youth Service Provider ... 91 3) Offering onsite workforce development workshops and certificate programs for participants to increase their employability and work readiness skills. 4) Offering onsite tutoring that leads to measurable skill gains and education retention. 5) Providing incentives and supportive service funds to ensure youth success. 6) Providing leadership opportunities by including participants in conferences, policy campaigns, and peer mentoring relationships with new enrollees. Each of the above interactions will help exited participants remain engagement in services and connected to Project Kinship staff, volunteers, and new participants. D. Describe if your organization will provide youth with incentives or supportive services during follow-up to assist with youth retention. The proposed program will utilize both incentives and supportive services during the follow-up period to help participant continue to obtain and retain their levels of achievement. Participants will be eligible to earn any of the eight incentives listed in Section 13. All incentives will be tied to training and education, work readiness skills, and/or occupational skills attainment goal as identified in their ISP and/or ICP. They will be issued in $50 VISA gift cards. All incentives and supporting documentation will be Included in the participant's case file. Participants will also be eligible to receive supportive service funding during their follow-up period. These would include: bus passes, gas cards, and participant specific needs such as uniforms, tools, textbooks, driver's education classes, clothing, etc. On average, participants will receive $160 in supportive services during the follow-up period, as compared to an average of $350 per youth during program enrollment. E. How often will the youth be engaged or receive service during the foilow-up period. Participants tend to require more frequent contact when they are in the fellow -up period. For this reason, the Case Manager and/or Job Developer will increase the frequency of engagement with participants from twice a month during program enrollment to once a week during the follow-up period. This frequency of interaction helps participants feel connected and valued, all of which supports their personal success and confidence in serving as a mentor to others that are just beginning their individual journeys. 25A-149 pixi�lr:.rt. g f EXHIBIT 2 @ Workforce Innovation and Opportunities Act (WIOA) Santa Ana Workforce Development Board: Youth Service Provider 15. WIOA Performance Indicators (3 pages max) A. Include a flow chart or visual aid or brief explanation of how your organization will meet the following WIOA Performance Indicators: The proposed program will follow the performance indicators percentages specified in the Request for Proposal in each of the following area. I. Percent of participants who are in education or training or unsubsidized employment during the 2nd quarter after exit. Of the 20 participants that will he enrolled in the program, 66% will be in education or training or unsubsidized employment during the 2nd Quarter after exit. This equates to a minimum of 14 participants. 2. Percent of participants who are in education or training or unsubsidized employment during the 4th quarter after exit. Of the 14 participants meeting Performance Indicator #1, 64%will remain in education or training or unsubsidized employment during the 4th Quarter after exit. This would equate to a minimum of 9 participants meeting Performance Indicator #2. 3. Document the median earnings of participants in unsubsidized employment during the 2nd quarter after exit. The proposed program will utilize the current California Minimum Wage of $12 per hour as the baseline for Performance Indicator #3. During the 2nd Quarter after exit, 50% of the participants who are in unsubsidized employment will be earningabove minimum wage. 4. Percent of participants who obtain recognized postsecondary credential or secondary diploma during participation or within 1 year after exit. During participation and within one year afterexit, 54%of participants will obtain a recognized postsecondary credential or secondary diploma. With a total of 20 participants enrolled in the program, 54% would equate to a minimum of 11 participants. In addition to a high school diploma, participants will be able to earn a Customer Service and Sales Certificate; Guard Card; Forklift Certificate; or Silk Screening Certificate to meet Performance Indicator#4. S. Percent of participants who, during the program, are in education or training that leads to a recognized postsecondary credential or employment AND who are achieving measurable skills gains. Of the participants who are in education or training during the program, 85%will achieve measurable skills gains. Skills gains will be measured utilizing the TAKE assessment. All participants will complete the TABE assessment prior to enrollment and must score at or below the 8.9 level. This will be considered the baseline or Pre -Assessment score. During the program, participants will retakethe TABEfor a Post -Assessment score. Performance Indicator #5 will show that 85%, or a minimum of 17 participants, will have a minimum of one -functioning -level improvement with comparing Pre- and Post -Assessment TARE scores. 25A-150 EXHIBIT 2 Workforce Innovation and Opportunities Act (WIOA) Santa Ana Workforce Development Board: Youth Service Provider 6. Effectiveness In serving employers. The proposed program will utilize the Work Readiness Assessment Tool as a means of obtaining employer feedback on participant's effectiveness in the workplace. This assessment tool will be completed within the first two weeks of placement. For Performance Indicator #6, a minimum of 50% of employers will indicate that they are satisfied with the participant's performance as demonstrated in the Work Readiness Assessment Tool results, A copy of the tool can be found in AttachmentJ— Pertinent Work Experience Documents for review. 25A-151 ptYU7�'.C'�i EXHIBIT 2 Workforce Innovation and Opportunities Act (WIOA) nn. ru _min•,. Santa Ana Workforce Development Board: Youth Service Provider 16. Prior Outcomes (1 page max) A. If your organization was previously awarded a WIOA contract through the Santa Ana Workforce Development Board, OC Workforce Development Board or Anaheim Workforce Development Board, please disclose your organization's past performance outcomes for the past 1-2 years from each WDB if applicable: Project Kinship has not been previously awarded a WIOA contract through the Santa Ana Workforce Development Board, OC Workforce Development Board, or Anaheim Workforce Development Board, therefore this section is not applicable to this proposal. 25A-152 yrrnJE,ex. EXHIBIT 2 Workforce Innovation and Opportunities Act (WIOA) — Santa Ana Workforce Development Board: Youth Service Provider 17. Fiscal Competency (1 page max) A. Describe the process used to capture and report fiscal data. Project Kinship is fiscally sponsored by Charitable Ventures of Orange County (CVOC). All expenditures are entered into Quick Books and reconciled by individual program budgets and approved line Items. The CVOC Controller ensures accounting controls and internal monitoring processes comply with federally stipulated principles (GAAP). The Director of Operations ensures invoices are appropriately charged and fiscal reports are submitted within deadline. S. Attach a copy of the organization's procurement policies and procedures as Attachment I. See attached copy of the agency's Procurement and Purchasing Policy in Attachment I. C. What systems ensure fiscal accountability, appropriate expenditures, and planned costs. The Operations Coordinator is charged with procurement and purchasing. He conducts a three -bid research process prior to preparing a purchase order. Purchase orders are approved by the Workforce Program Manager, Director of Operations, and Controller prior to a purchase to ensure expenditures are aligned with the budget and participants' ISP or ICP goals. D. Describe invoicing process and list qualifications of staff assigned to task. The Workfarce Program Manager, Operations Coordinator, Bookkeeper, Director of Operations, and Controller serve as a checks and balance system to ensure expenditures are allowable, aligned with the budget, and fiscally responsible. The Bookkeeper, who has over ten years of accounting experience, uses Quick Books to prepare the monthly invoices. The Controller, who is a CPA, works with the Director of Operations, who has over 15 years of contract monitoring experience, to ensure invoices are prepared to avoid any disallowed costs. E. Describe how your organization's financial stability is not dependent on WIOA funds. As the fiscal agent, CVOC monitors cash flow, accounts receivable, accounts payable, and payroll projections. Project Kinship has both reimbursement -based grants and full award - based grants. CVOC ensures that Project Kinship remains in healthy fiscal standing to cover for any delayed reimbursements. CVOC passes their independent audit without findings each year. F. Identify the percentage of budget that will go directly to youth versus the percentage of overhead and administrative costs. The proposed budget will include 10%for administrative costs (Indirect Rate); 45%for Personnel and Benefits {both the Case Manager and Job Developer provide direct service); 3% for Operational Expenses (office supplies, staff training, staff conferences, mileage); and 42% for wages, supportive services (enrolled and follow-up), incentives, and youth conferences. G. Submit most recent 2 years of audited financial statements as Attachment T & U with the Audited Financial Statement Form signed (Attachment S). See attached copy of the agency's last two years of financial audits and IRS Form 990. H. Please include 1 budget form and 1 budget narrative for PY 2019-2020. See attached copy of the proposed budget and budget narrative for P9 2019-2020. 25A-153 '�r,oruryr, EXHIBIT 2 Workforce Innovation and Opportunities Act (WIOA) p ce.aapq Santa Ana Workforce Development Board: Youth Service Provider 19. Additional Attachments (no maximum) See additional documents, such as training calendars and testimonials, that support the proposed program in Attachment W. 25A-154 *4M"I1:11GOA Please insert any Additional Documents such as flyers, brochures, training descriptions, and/or testimonials that support your proposal and/or further describe the program, as Attachment W. Please outline the titles of each attachment in the table below and label each attachment as listed below. rW-# Example: 'b4liDA Youth Brochure W-1 Project Kinship Workforce Activities Calendar — January 2019 W-2 Individual service plan Template W3 Participant Vignettes W-4 W-5 W-6 Photos from Workforce Program Activities 25A-155 ;-- a IU,- . I. wr . {� ■ ID 3F ;� ! I 3T \m ;� /� � � @�. » 2■t 01 }| a § � 25A.156 Rii k 25A.157 ��is I�'s' 4 I i ss ;7!:: Im pi jsfiOJL]Cj< EXHIBIT 2 Workforce Innovation and Opportunities Act (WIOA) _ m _ Santa Ana Workforce Development Board: Youth Service Provider Participant Vignette #1: Stewart enrolled in the Project Kinship Workforce Program in December of 2017. After becoming employed for just a week, he realized that he would need more support to retain employment. Stewart struggled with substance abuse as a teen and young adult. He was born into a family with a legacy of gang involvement. During his gang involvement, Stewart was shot at just 15 years old. Stewart suffers repercussions from his injury in the form of occasional seizures and persistent nerve damage. Despite these challenges, he remains clean, sober, out of jail, and employed full-time. Stewart is in close contact with his Case Manager and actively participates in their mentoring relationship. Stewart has requested tattoo removal services to remove his gang -associated tattoos. Along with continuing employment, he hopes to return to school and become a Certified Alcohol and Drug Counselor, serving youth with similar struggles. Participant Vignette #2: Sandra enrolled in the Project Kinship Workforce Program in January of 2018. She heard about Project Kinship through her friend Janet, after Janet had enrolled in the Workforce Program. Janet had been linked with the UCI Criminal Justice Clinic offered at Project Kinship and told Sandra that there was a possibility that she would be able to work in the medical field if her record was expunged. Until their conversation, Sandra did not think her dream was possible. After Sandra enrolled in the Workforce Program she met with a representative from UCI and began the process of expunging her record, Sandra is currently on parole and has been involved with the Justice system through much of her youth. After serving two years in prison due to a sentence with gang enhancements, she was released and in need of support. Sandra's husband Is currently incarcerated and she stated that she Is pretty much "on her own" as far as getting help and securing resources. Sandra suffered from substance abuse in the past and wanted to make sure during her transition from prison, she did not return to past destructive habits. Since her enrollment, she has accessed all the services available to her through the Workforce Program. She attended the FAFSA workshop, hoping to apply for school in the fall, but actually enrolled for summer classes since her FAFSA was quickly approved. She is utilizing the tattoo removal services provided in partnership with Homeboy Industries so that Project Kinship participants can remove gang -related tattoos: Sandra stated that she would like to receive a promotion at work and move to the office section where she would have more of an administrative position. Recognizing that a promotion would require her to dress more professionally, she requested Supportive Services for clothing. Project Kinship staff was able to take her shopping for appropriate work attire. Sandra communicates regularly with her Case Manager and recently referred another friend to Project Kinship for Workforce Program. Sandra is hopeful that her record will be eligible for expungement, despite the fact that she is currently on parole. 25A-159 r+roi r_c"I' 1 MIMm UM Workforce Innovation and Opportunities Act (WIOA) Santa Ana Workforce Development.Board: Youth Service Provider Window Tinting Training Certificate Program: 25A-160 �,,,;<„,�•r EXHIBIT 2 D y� Workforce Innovation and Opportunities Act (WIOA) n ' Santa Ana Workforce Development Board: Youth Service Provider Silk Screening Certificate Program: 25A-161 Give A Beat Music Program: EXHIBIT 2 Workforce Innovation and Opportunities Act (WIOA) Santa Ana Workforce Development Board: Youth Service Provider 25A-162 ^" �T EXHIBIT 2 Workforce Innovation and Opportunities Act (WIOA) Santa Ana Workforce Development Board: Youth Service Provider Tour of Orange Coast College Welding and Electrical Program; Mentoring; 25A-163 r>1?0I 1?4U'1� A-n.11111) EXHIBIT 2 Workforce Innovation and Opportunities Act (WIOA) Santa Ana Workforce Development Board: Youth Service Provider Handball Tournament Social Event for Participants: 25A-164 I 1 f7, 4.L �'4 El W, —1 —6r;- n, r r EXHIBIT 2 piR.o7rc� rms xn�' Paid Work Experience policy Effective July1, 2019 Purpose: To establish guidelines for the paid youth work experience of any grant program governed by WIOA regulations and to provide youth with meaningful work experience in order to assure the successful completion of your program. Eligibility: • An individual must be WIOA eligible and enroll with Project Kinship (PK). • An individual must have legal right to work in the United States and be able to furnish proof upon enrollment in the program • As it is with all WIOA services, provision of services is not an entitlement. Placements: • All participants will start at a minimum of$12.00 per hour and will be provided with Worker's Compensation benefits. • All participants may work up to 29 hours per week. ■ All placements will be made based on the individual interest and service plans developed with the Case Manager to support the youth in the career exploration and achievement of their goals. Placements will be available on PK location and worksite partner organizations. Roles and and Responsibilities: Case Manager is responsible for: • Assessing and keeping record of youth's work experience needs and placements. • Inform participant of the IRK policies and formal procedures.. • in collaboration with the Job Developer and other staff, refer youth to placements. • Providing counseling and guidance. Monitoring worksite compliance of labor laws and compliance with job description duties. Participant is responsible for: • Providing necessary documentation to asses eligibility and maintain legal right to work through duration of the program involvement. 25A-166 EXHIBIT 2 pr�.�rtr�c:�r 'oa. oe toc.rr • Follow PK procedures and protocols • Respect and cooperate with staff and fellow participants. ■ Perrorm the very best of his/her abilities. • Report and incidents or accidents to the supervisor and/or Case Manager. Job Developer is responsible for: • Managing relationships with worksite representatives. • Ensure all proper MOUs and in place and all policies are followed. 4 Monitor activities of youth atworksites. 25A-167 EXHIBIT 2 paaoFr­CT nP :r:�. COergiP Supportive Services Policy and Procedures Effective July 1, 2019 Purpose: To establish guidelines for the issuance of supportive services to youth enrolled in a WIOA funded program and are actively engaged In WIOA Title I activities and/or post - exit follow up services. References: WIOA section 3(59). Procedures: ELIGIBILITY: 1. To request and receive support services, a participant must be actively enrolled in one (1) or more of the fourteen (14) required program elements, including during follow-up services 2. Supportive services will be approved upon verification of enrollment and participation in required program elements, when it is necessary for youth to participate in required program elements, and when the youth is unable to obtain supportive services though any other program or agency. 3. Provision of support services is not an entitlement and it will be determined what supportive services are reasonably required for youth based on Individual need, assessment results, and the Individual Service Plan (ISP). AVAILABILITY OF FUNDS AND ASSESSMENT OF NEED: 1. All Support Services not offered through PK are processed on a reimbursement basis. Z. Support services are delivered contingent upon availability of funds. 3. initial assessment of need will be determined by the Case Manager. The need for services will be recorded on the Individual Service Plan (ISP) and through on- going assessment. 4. Case Manager is responsible for determining if transportation is a significant barrier to participation in required program elements, and whether ornotthe youth were unable to obtain services through another program or agency. 25A-168 EXHIBIT 2 ��bxcr7a�4"1� W... 5. Supportive services maybe provided while a participant is enrolled in one or more of the 14 elements, including when a participant has exited the program and is eligible for follow up services. Supportive services must be determined based upon the individual and must include a review/assessmentof the participant's need for supportive services to meet goals and clearly documented in the caseflie. Supportive service obligations and expenditures areto be tracked separately and are subject to the additional policies below. SUPPORT SERVICES PROCESSING 1. Case Manager is responsible for: a. Assessing and recording needed services on the ISP form. b. Informing participant of support service policy and the required documentation needed to justify services. c. Referring participant to other supportive services offered outside of PK's program. Describe the method for documenting need and the absence of such services through non-WIOA resources. d. Reviewing and approving most reasonable estimates. e. Keeping a log of all supportive services received by each participant with a running total value. f. Filing copies of receipts for supportive services (when applicable) in the participants' files. g. Collecting and reviewing all invoices/statements for accuracy. h. Submitting and Supportive Services Request From for review and approvals. i. All value cards shall be tracked with a Master Log. 1. Participant is responsible for: a. Obtaining services that are referred by Case Manager but not provided through PK. b. Turn inappropriate documentation. If a participant fails to turn in appropriate documentation, no supportive services will be provided. c. Any lost/stolen/destroyed prepaid value cards request need to be submitted with an affidavit from the participant. 2. Program Manager Is responsible for: a. Reviewing all Supportive Service Receipts before submittal to the finance department and ensures that no deduction is submitted for an initial issuance to a grant -funded participant. 25A-169 EXHIBIT 2 AW b. Program Manager will appoint a custodian who will keep the value cards in a secured storage place and keep a Master Log of all value cards. c. Program Manager will perform inventory of value cards at least on quarterly basis and/or make corrective actions to ensurethe policy is followed. 3. Director of Operations is responsible for (when necessary and applicable): a. Reviewing and approving invoices/statements for payment. 4. Director of Operations is responsible for: a. Verifying the availability of funds and notifying the Case Manager and the Program Manager. b. Processing payment and use approved contractor policies. Supportive Services: TRANSPORTATION SERVICES: 1. Bus Passes a. One 30-day bus pass will be issued per month b. In the event the participant loses a bus pass, the participant will be charged for the cost of the replacement, except at the discretion of the Case Manager and approval from the Program Manager. c. Program Staff are responsible for Issuing the bus pass and completing the information necessary on the bus pass log, the bus pass receipt form, and the voluntary deduction agreement form, if applicable. d. Copies of the bus pass receipt and Supportive Services Request Form (and voluntary deduction agreement, if applicable) will be kept in the participant file. 2. Gas Cards a. The receive a gas vouchers, the following conditions must be met: The participant must have a current California State Driver's License, have valid insurance, and have the legal right to operate a vehicle involved. Copies will be placed in the participant file. b. Program Staff are responsible for informing the Program Manager the participant is eligible to receive gas cards. A gas card request form must be submitted with copies of California State Driver's License, insurance card, and vehicle registration for initial gas card issuance. c. One gas card will be Issued per month. In the event the participant loses the gas card, the participant will not receive a replacement, Exceptions will be made at the discretion of the Program Manager. 25A-170 �rptCrliC�".'j. d. Participants must agree to provide receipts from the gas station as proof the gas card was utilized to pump gas. The receipts submitted muA be dated the same month the gas card was provided. The receipts submitted must be dated the same month the gas card was provided and must total the exact amount of the gas card issued. e. Program Staff are responsible for issuing the gas card, malting copies of the receipts to place in grant files and for completing the Information necessary on the gas card log and the gas card receipt, f. Copies of the gas card receipt and Supportive Services Request Form will be kept in the participant file. Other. - All supportive services under WIOA Supportive Services will be provided at the discretion of the Programs Manager.and/or other Executive Staff. Other supportive services in additional to the ones mentioned above will follow the same procedures when applicable. 25A-171 EXHIBIT 2 %��w Win." aL cog,jgt _ �`- YY. �.N�i r.�° ..aw� Incentive Policy Effective July 1, 2019 Purpose: Reward youth for attainment of WIOA performance indicators and/or key benchmarks toward those outcomes (including but not limited to attainment of employment skills and goals, mastering competency levels, participating in unpaid career exploration activities, etc.) Encourage youth to participate in activities throughout program duration, including the 12- month post -exit follow up period. Procedures: An incentive is a payment to a WIOA youth participant for the successful achievement of established and measurable goals as a result of WIOA program participation. The incentive must be linked to an achievement and must be tied to training and education, work readiness skills, and/or occupational skills attainment goal as identified in the Individual Service Plan (15P). Such achievement must be documented in participant's file as the basis for an incentive payment. All incentives are awarded in the form of a gift card. Incentives may be awarded for, but are not limited to, the following goal accomplishments as a result of WIOA program participation: • -Achievement of measurable skills gains • Attainment of degree or recognized certificate • Placement in employment or education PK Youth Incentive plan ensures the following: a. All incentive payments must be relevant to the results of the objective assessment of each participant's ISP. b. All incentive details must be specified in the participant's WIOA Incentive Log, including the amount that was provided, the funding source used and the participant's acknowledgement of receipt. c. Participant records (ISP/Case Notes/Incentive Log) and financial records pertaining to incentive payments must be made available for review by local, state, and federal monitors and must meet financial management standards in WIOA including tracking of actual expenditures against budgeted amounts and support for accounting records to ensure proper charging of costs. 25A-172 EXHIBIT 2 �?raUT rnC:w, P. Incentive Services Processing 1. Case Manager is responsible for: a. Informing participant of incentive services policy and the required documentation needed to justify services. b. Assessing and recording incentive documentation c. Keeping a log of all incentives services received by each participant with a running total value d. Filing copies of proof of attainments of goals for incentive services (when applicable) in the participants' files. e. Collecting and reviewing all documentation for accuracy f. Submitting the Incentive Request Form for review and approvals. 2. Participant is responsible for: a. Securing proof of goal attainment to receive an incentive. 3. Program Manager is responsible for: a. Ensuring a strategic process of establishing Incentive plans for the youth participants to support best utilization of incentives based on budget constraints. b. Reviewing and approving all Incentive Request before submittal to the finance department. 4. Director of Operations is responsible for: a. Verifying the availability of funds and notifying the Program Specialist and the Program Manager. b. Processing payment. Other: All Incentives are optional and are not required. All incentives will be provided at the discretion of the Program Manager and/or other Executive Staff. 25A-173 EXHIBIT 2 y+��,.� yin: GC SUlly'ry Incentives Effective July 1, 2D�9 Credential/Certification Incentive $50 Participant must successfully ea rn a state -recognized credential or certification - Driver License Incentive $75 Participant must obtain a Class C Drlver License while enrolled with PK. Education Program Incentives $50 Participant must earn a High School Diploma while enrolled at PK. Placement In Employment, Post -Secondary Education, or Training $50 Pa rticl pant rnustattain employment and submit proof/a Class Schedule as proof of enrollment. Retention of Employment, Post -Secondary Education, or Training $.50 Participant must submit proof of amploymend after 3 months. Participant must submit proof of completion of one semester with at least a 2.0 GPA Completion of Work Readiness Curriculum/Career Exploration/life Skills Activities $75 Participant must complete PK t+vorlc Readiness curriculum workshops assigned and submit Completed checklist.. Parole/Probation Discharge incentive $50 PartiCipant must be discharged from probation or pafole while enrolled at PK. 25A-174 EXHIBIT 2 Chantahl.Vennce; ---Z-�:,aiM PROCUREMENT POLICY INTRODUCTION CVOC's goal for every purchasing transaction is to obtain the best value possible. Best value is determined by eva luating many factors (such as price, delivery capabilities, quality, past performance, training, financial stability, service capabilities, ease of ordering, payment, etc.) and selecting a vendor that offers the best combination of those factors. When bids are required by policy, they are to be conducted on an open a nd competitive basis and without favoritism, in order to maximize the best value to the projects and CVOC. Interested suppliers will receive fair and impartial consideration. CVOC's procurement policy is intended to be consistent with the Generally Accepted Accounting principles. CVOC projects will ensure that each transaction is classified ordefined as an allowable expenditure. For sponsored programs, certain purchases may be unallowable. AUTHORITY AND RESPONSIBILITY As stated above, CVOC maintains a procurement environment that delegates considerable decision - making authority to projects, These activities include: • Determining which products and services they need to run their programs. • Initiating requisitions to the existing active vendors. • Appropriately handle individual purchases less than $500. Employees involved in the purchasing process take full responsibility for understanding CVOC's policies and procedures regarding purchasing and vendor relations. Purchasing decisions are business decisions made on behalf of CVOC and therefore should be made with the utmost consideration for what is in the best interest of CVOC. Segregation of duties and responsibilities in the purchasing process provides proper controls. As the dollar value and complexity of a purchase increases, so does the level of authority and responsibility required to obligate CVOC for a purchase. An example of segregation of duties within a project is as follows: • Req uesterfend user: Determine what they need; Research vendors; Solicit prices; Analyze costs and assess other important factors (i.e. delivery, customer service, etc.); Select a vendor; Initiate a Purchase Order process through CVOC's financial system; Track documents and paperwork flow; and Ensure the proper receipt of ordered goods or services. • Approver (program director, etc.): Validate the legitimate business purpose of the transaction; Validate that adequate funding is available; Approve purchase orders; Ensure compliance with CVOC policy and applicable regulations; Monitor and reconcile purchase transactions using the financial system and associated financial statements and reports; Review and approve reimbursement requests and other special purchasing transactions; and Monitor budget. 25A-175 EXHIBIT 2 Chu tableVenmm ,.>•... Policiesan6 Lroeedures R ETHICS Ethical business standards shall govern all procurement transactions. Disciplinary action for those violating ethical business standards will be taken in accordance with applicable CVOC policy, up to and including the termination of employment. CVOC personnel shall not solicit a gift or accept a significant gift from any supplier or prospective supplier. A'significant gift' Is defined as any item, service, favor, monies, credits, or discounts not available to others which could Influence purchasing decisions. CVOC personnel may accept trivial items as a matter of courtesy, but may not solicit them. Acceptance of social invitations to occasional business meals, entertainment, and hospitality will be subject to prudent judgment as to whether the invitation places or appears to place the recipient under any obligation,.the appropriateness of the occasion, frequency, and choice of facilities. Questions aboutthe value of a gift or the appropriateness of an invitation should be referred to your supervisor to ensure compliance with CVOC's conflict of interest policy. CVOC values its suppliers and assumes thatvendors, in turn, value CVOC's business. No token or display of appreciation is necessary or encouraged. All vendors are asked to comply with CVOC's standards by not offering incentives, gifts, or services to individual personnel. SIGNATURE AUTHORITY End users within projects typically do NOT have the authority to sign ANY contracts or agreements with outside parties In the name of CVOC or one of its projects. Contracts a nd agreements need to be signed by CVOC. Once the contract/agreement is reviewed and approved, it will be forwarded to the appropriate officer of CVOC for signature. PURCHASING PROCESS The purchase of goods and services from outside vendors is to begin with the initiation of a purchase order through CVOC's financial system or a paper form requesting a purchase order submitted to CVOC office (allow three working days for paper form), This shall occur at the time the product or service needs to be ordered, not when it is time to pay for the product or service. A fully approved and budget checked Requisition (quote/price comparison form) is then automatically sourced into a Purchase Order. The official Purchase Order is ready to be sent to the vendor. The system provides an appropriate audit trail since all transactions are captured in the system specific to each individual purchase, putting CVOC in the best position to pay for purchases in a timely manner. Starting with a Requisition ensures that an approved and official Purchase Order is issued. An official Purchase order is the legal document that governs the transaction and properly protects the project and CVOC. Verbal purchases (without an approved purchase order) (i.e. phone orders) are not considered valid by CVOC, not are purchase orders generated through internal project systems or means other than CVOC's accounting system. Projects that use these means to initiate purchases with outside vendors assume responsibility for such purchases at their own risk. 25A-176 EXHIBIT 2 X'V� ' CharitiUleVt't::rcs T� . y. .. PaEi;fesand Procedures BID PROCESS CVOC requires three bids be solicited for all purchases of $25,000 or more. Projects must consider annual or total multi -year spending for products or services needed on a regular or repetitive basis to determine whether a bid needs to be performed. It is not determined by the average monthly spending for a particular product or service. To reiterate, just because the monthly spending on a particular product or service may be less tha n $25,000 does not exempt the Project from having to solicits bids. In addition, projects should generally plan to have established contracts re -bid at least every three to five years. Some contracts can be longer, primarily -those that require a significant investment by the vendor. All bid openings are to be scheduled with CVOC. RECORD RETENTION Projects must maintain copies of all documentation related to purchases and shall he forwarded to the CVOC Finance Department. INVOICING/PAYMENT A purchase transaction is complete only after the goods/services have been received and the supplier has been paid. When a Purchase Order Is issued, the project assumes responsibility to make sure the vendor is paid within an appropriate period of time. By issuing a Purchase Order through CVOC's accounting software in advance of the purchase, funds are properly encumbered and set -aside to pay these obligations. The encumbrance is not a contract, but ensures that the required funding is available. Accounts Payable pays invoices for CVOC. PAYMENT PROCESSING Vendors are instructed to send invoices directly to CVOC Accounts Payable for proper processing. This is the best way to ensure invoices are paid in a timely manner. Invoices will be entered by Accounts Payable. If after review of the invoice, the bill should not be entered/paid (due to a dispute with the vendor, etc.) the project shall notify Accounts Payable in a timely manner. In order to maintain a good payment record and to encourage the proper use of Purchase Orders, Accounts Payable will give the highest payment priority to original invoices supported by properly issued and approved Purchase Orders, and confirmation of receipt of goods and services. PAYMENT TERMS AND PENALTIES CVOC's standard for payment of vendor Invoices is within thirty (30) days after receipt of the invoice. REQUESTING NEW VENDORS If a vendor needs to be added, projects must ask the vendor to fill out a W-9. This process is administered by Accounts Payable, who will first verify whether the vendor already exists in the system and may also check several other sources (the Federal 'Do Not Use' list, US Treasury, etc.) before adding the new vendor. A signed W-9 form must be obtained from the vendor prior to payment to vendor. 25A-177 EXHIBIT 2 R�.a.�Vrtcn c•r .....IG...WI: i.112i Policies and Procedure_ i M�+ i��:,i L y SHIP TO LOCATIONS Projects are expected to select the appropriate 'ship to' address. Only a pre -established location can be selected by requester. PREPAID AND PARTIAL PAYMENT PURCHASE ORDERS The use of pre -paid 'check -enclosed' purchase orders is discouraged and requires advance authorization by CVOC. Such payments in advance, for receipt of goods places the project and CVOC at risk of loss if these goods are not received as ordered, or in an unsatisfactory condition. However, occasionally a vendor refuses to accept a CVOC Purchase Order without full or partial payment in advance. In order for a pre -payment to be considered, purchase order must be accompanied by documentation explaining the reason for pre -payment. The dollar amounts must be correct and include any handling or shipping charges. Documentation verifying the prices, such as a quote from the vendor, price list, vendor order form, or pro -forma invoice, must be provided. This documentation must also include evidence of the vendor's demand for pre -payment. INCORRECT OR DAMAGED SHIPMENTS If a shipment is received with incorrect or damaged goods, the packing material, packing slip, and/or shipping ticket should be saved. These may be needed if the items have to be returned or exchanged with the vendor. Adhere to the following to ensure incorrect shipments are handled appropriately: The project shall notify the vendor immediately in writing so that appropriate action may be taken such as issuing credit or providing a replacement. If the order has to be shipped back to the vendor, it should be pad<ed in the original cartons and the vendor's process for return should be followed. The project should also accurately record this activity (i.e. number of items received, number of items returned, comments, etc.). CREDITS Credits may occur due to the receipt of defective merchandise, returned goods, discounts, or incorrect invoice payments. Unlike invoices, the application of credits is not simply a matter of verifying the facts on the memo and confirming that the subject goods or services have been rejected. Specific business and accounting questions may need to be resolved with the vendor before the credit is applied. Improperly applied credits are difficult to correct. If a project believes it is entitled to a credit from a vendor or receives a credit memo that Is deemed to be valid, the project should contact Accounts Payable for assistance. All credit memos shall be sent to Accounts Payable for processing. DIRECT BILLING, HOUSE ACCOUNTS, CREDIT CARDS CVOC projects are not authorized to establish direct billing accounts, house accounts, or credit cards with any vendor in the name of CVOC. Projects are not authorized to accept offers for credit cards, charge accounts, or house accounts from vendors who increasingly send such advertisements to projects. Only authorized CVOC personnel may negotiate/set up credit agreements with vendors. Such req uests should be routed to CVOC, who in limited instances will authorize projects to arrange direct billing with a vendor. 25A-178 EXHIBIT 2 r01+nx, Charih.bloVoncicE, a.._.p Policies and Procedures 1F_^ ••• CAPITAL EQUIPMENT/ASSET TRACKING Capital Equipment/Asset is defined as property having a useful life of one year or more and a minimum acquisition cost of $2,500.00 per unit. Capital Assets must be inventoried and controlled in accordance with CVOC policy. Merchandise maybe disposed of only in accordance with CVOC policy. When a Capital Asset hecomes obsolete, proper notification must reach CVOC so the ascot can be removed from the log and the tag number retired. The accounting department must be aware of capital asset retirements in order to remove the asset from the depreciation schedule and make the appropriate journal entries to the accounting general ledger. Proper notification should include the capital asset tracking number, a description of the asset and any proceeds gained from the sale of the asset if it is sold. The sales of the asset can only be done with CVOC's approval, An asset tag will be assigned to each capital asset by CVOC. CVOC accounting department will maintain a master list of all fixed assets and the exact location of the asset, Each time an employee moves a capital asset to a different location orjob site, the movement should be noted on the capital asset log. CVOC may track capital assets through site visits looking for damages, theft and other issues that could impair their functionality. Most of capital assets come with a manufacturer's warranty, All capital assets should be registered with the manufacturer and any employee using the asset should be given the manufacturer requirements for maintaining warranty compliance. Warranty information on all capital assets should be stored in a central location so it's easy to access in case you need warranty work, 25A-179 e EXHIBIT 2 u rvxp p=»� Policies and Procedures S'_ PARTICIPANT PROTECTION POLICY To.malntain a safe environment for participants of all ages, Project Kinship abides by the following participant protection policies: Ali Project Kinship staff/volunteers must submit to live Scan fingerprinting and clear a Federal Bureau of Investigations background check. Any individuals who have a history of sexual offenses, crimes against children, or any other incidents that would pose a risk to participants will not be permitted on agency premises or allowed to engage with participants. • AN Project Kinship staff/volunteers are mandated reporters and required by law to report any disclosed incidents of abuse, suicidal/homicidaI ideation, and/or Tarasoff related threats to the proper authorities. Failure to report is subject to immediate dismissal and criminal prosecution when appropriate. • All Project Kinship staff/volunteers are encouraged to maintain clear and consistent communication boundaries with participants. Project Kinship staff/volunteers are discouraged from carrying on conversations with participants via text message as context and affect can be easily misconstrued. Physical touch, such as direct hugs, rubbing, or sitting in close proximity that necessitates touch, is highly discouraged as it may be unwelcomed or mistaken in nature by the recipient. Initiating any behavior that can be classified as flirting orsexualln nature with participants is strictlyprohibited. Failure to redirect participants who are initiating such behavior is also prohibited. Failure to report ongoing exchanges, as a witness to or recipient of, may result in dismissal from the agency and appropriate legal consequences. • Project Kinship staff/volunteers are prohibited from being in a room or closed space alone with a participant, unless there are clear visual sight lines and/or others present within audible proximityto the interaction. • Project Kinship staff/volunteers are required to observe gender -specific staff -to - participant matching during transportation. It is prohibited for a female staff to transport a male participant without being accompanied by a male staff/volunteer and vice versa, Volunteers are prohibited from transporting participants at -a ny time. • Project Kinship staff/volunteers are prohibited from engaging in anypersonal relationship with participants outside of work -related hours, This includes the exchange of personal cell phone numbers, befriending/accepting friend requests from participants on personal social media accounts, exchanging personal gifts, or meeting up with participants during non -work -related events. Project Kinship staff/volunteers are highly encouraged to set their personal social media account settings to "private". • Physical relationships between Project Kinship staff/volunteers and participants is strictly prohibited. Any incidents will be subject to immediate dismissal and criminal prosecution when appropriate. 25A-180 EXHIBIT 2 YSPN MEMBER PERFORMANCE PLAN 2019-2020 Charitable Ventures of Orange County/Prolect Kinshi WIOA YOUTH POPULATION ___Youth Population _ Ages #of Youth to be Served In -School 16-18 4 Out f-School (75%minimum) 16-24 16 - TOTALNUMBEROFYOUTH ToBESERVED 20 I PROJECTED ENROLLMENTS & EXPENDITURES (NOTE: 100Y OFI YOUTH MUST BE ENROLLED BY 2V"ClUARTER-DECEMBER 31.. 20191 Quarter i^� #of Enrallm ants I Estimated Expenditures per Quarter per Quarter 10 $54,000 10 $32,000 ITOTAL 1 20 1 S160A1J0 14 WJOA ELEMENTS mark a "x" next to the elements provided In your X 1. Tutoring, study skills training, dropout prevention strategies X Z. Alternative secondary school services or dropout recovery X 3. Paid & unpaid work experience that have academic and occupational components, which may include: summer employment, pre -apprenticeship, Internships & job -shadowing, or On -the-Job training, (20% of funds must be used for this element) X 4. Occupational skills traininp,—priority for recognized credentials aligned with sectors in - demand X S. Education offered concurrently with workforce. __..preparation activities X 6. Leadership development•community service & peer centered activities X I. Supportive Services X B, Adult mentoring X 9. F011ow-up services for not less than 12 months after exit (required) X . 10. Comprehensive guidance & counseling drug & X . 11. Financial literacy X 12.Entrepreneurlarskillstraining X 13. Labor marker inforrnation -career awareness and X 114. Activities to help youth prepare for and transition to postsecondary education EXHIBIT B PERFORMANCE MEASURES (Projected eevchmar'cs subject to change Baseline=BL) I. 3r, at Participants %vho are in education/training, or In unsubsldized employment during the 2" quarter after exit Benchmark 66%6 2. %of Participants who are in education/trainlne, or in unsubsidized employment during the 4" quarter after exit Benchmark: 64% . 3. The medlars earnings of Participants in unsubsidizod employment during the 210 quarter after exit Scachmark. BL *Pending further State and Fe_deml guidance. 4. % or participants who, during the program, are in education or training that leads to a recognized postsecondary credential or employment AN 0 who are achieving measurable skill gains Benchmark: BL* *Pending fortherState and Federal guidonce. 5, No of Participants who obtain a recognized postsecondary credential or secondary diploma during participation OR within 1 year after exit Benchmark: 54% 6. Effectiveness in servinp employers Benchmark: BL* *Pend1rr9fortherState and Federal guidance. 1 25A-181 COMPLAINT HANDLING UNDER THE Workforce Innovation Opportunity Act Santa Ana Local Workforce Development Area Revised May 20, 2019 EXHTBzr c 25A-182 EXHIBIT 2 Table of Contents I. Information Regarding Compla A. Nondiscrimination and Equal Opportunity Complaints 3 1. Policy Statement 3 2. Civil 3. Nondiscrimination laws under VV n W U 4. How to File Your Complaint 5 B. Criminal Complaints g U. General Procedures for Handling Non -Criminal Violations of the Act 6 Ill. Procedures for Handling Complaints at the LWDA Level 8 IV. Procedures for Handling Complaints at the State Level 12 V. Procedures for Handling Discrimination Complaints by Participants 15 VI. Procedures for Handling Disability Complaints by Participants 17 GLOSSARY OF WIOA TERMS 20 2 EXHIBIT C 25A-183 EXHIBIT 2 Information Regarding Complaints A, Nondiscrimination and Equal Opportunity Complaints 1. Policy Statement In carrying out the purpose of the Workforce Innovation Opportunity Act (WIOA), the City of Santa Ana Local Workforce Development Area (LWDA) will establish programs to prepare youth and unskilled adults for entry into the labor farce and to afford job training to those individuals facing serious barriers to employment. Every effort will be made to provide services necessary for eligible individuals to obtain productive employment. In implementing W10A, all contractors In the Santa Ana LWDA will foster equal opportunity and non-discrimination, as provided in State and Federal equal opportunity and non-discrimination laws including, but not limited to: • Title VI of the Civil Rights Act of 1964 • Title VII of the Civil Rights Act of 1964 • The Age Discrimination Act of 1975, as amended • Section 503 of the Rehabilitation Act of 1973 • Section 504 of the Rehabilitation Act of 1973 • Title IX of the Education Amendments of 1972 • Section 188 of the Workforce Innovation Opportunity Act of 2014 In keeping with our commitment, no individual shall be excluded from participation in, denied benefits of, subjected to discrimination under, or denied employment, in the administration or of in connection with any WIOA funded program because of race, color, religion, sex, national origin, age, disability, or political affiliation or belief. Participation in programs and activities financially assisted in whole or in part under WIOA shall be open to citizens and nationals of the United States, lawfully admitted permanent resident aliens, lawfully admitted refugee, parolees, and other individuals authorized by the Attorney General to work in the United States. No Individual will be intimidated, threatened, coerced, or discriminated against because of filing a complaint, furnishing information, or assisting or participating in any manner in an investigation, compliance review, hearing or any other activity related to the administration of WIOA. EXHIBIT C 25A-184 EXHIBIT 2 Administration responsibility for this Equal Opportunity/Affirmative Action (EOIAA) Program is delegated to the Equal Employment Opportunity (EEO) Officer for the Santa Ana local Workforce Development Area. Equal opportunity and non- discrimination, however, will only be achieved through leadership and implementation of a viable Affirmative Action Equal Opportunity Program. 2. Civil Rights No one applying for or enrolled in the Workforce Innovation Opportunity Act (WIOA) programs may be discriminated against because of race, color, creed, disability, national origin, sex, age, political affiliafion, or beliefs. This means that —for any of the characteristics listed above: • You may not be denied the opportunity to enroll in WIOA. • No benefits or services may be denied you for discriminatory reasons. • You may not be segregated or treated any differently from other applicants or participants, while you are being registered, interviewed, counseled or tested; or while you are working or attending classes as part of the program. • You must be provided an equal chance to use all facilities available in the program. • Fair employment practices must be provided to all staff with regard to recruiting, hiring, transferring, promotions, training, compensation, benefits, layoff, and termination. You have the right to make a complaint if you feel you have been denied any of the above opportunities. You cannot in anyway be penalized for filing a complaint, Your WIOA sponsor has established a mechanism for handling complaints and grievances. Your complaint must be filed within 180 days. All complaints will be handled confidentially. 3. Nondiscrimination Laws under WIOA Title VI of the Civil Rights Act of 1964 Prohibits discrimination on the basis of race, color, national origin, or religion. The Age Discrimination Act of 1975 Prohibits arbitrary discrimination against persons' age 40-70. The Rehabilitation Act of 1973 EXHIBIT C 25A-185 Prohibits discrimination based on disability. Title IX of the Education Amendments of 1972 Prohibits discrimination in any education or training program or activity receiving federal financial assistance, OTHER CIVIL RIGHTS LAWS: Title VII of the Civil Rights Acts of 1964 Prohibits discrimination in employment based on race, color, religion, sex, or national origin in all terms and conditions of employment and establishes the Equal Employment Opportunity Commission as the administrative agency. White House Executive Order no. 11246 as, Amended by Executive Order No 11375 Creates the office of Federal Contract Compliance and prohibits discrimination based on race, color, sex, religion, or national origin. Department of Labor Secretary's Order no. 4-73 Prohibits discrimination based on sex. Equal Pay Act of 1963 Prohibits pay differential solely because of sex. Emergency Employment Act of 1971 Prohibits discrimination based on race, creed, national origin, political affiliation, or beliefs. 4. How to File Your Complaint a. Put your complaint in writing. b. Have it sworn to before a notary public, if possible. c. Provides details that tell what happened, where it happened and when it happened. d. Glve the name and addresses of all persons who were present or who had anything to do with the matter. ...Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief, retaliation and citizenship, must be filed within 180 days of the alleged occurrence directly with: EXHIBIT C 25A-186 EXHIBIT 2 Director Civil Rights Center U.S. Department of Labor, Room N-4123 200 Constitution Ave., NW Washington, D.C. 20210 Complaints on the basis of disability must be filed within 180 days of the alleged occurrence. These complaints must be filed directly with the WIOA administrative entity. The WIOA administrative entity shall issue a written decision within 30 days of the filing of the complaint. If the complaint is still unresolved, an appeal may be made to the Chief of State Workforce Investment Division Office. The Department of Labor, the Civil Service Commission, the Equal Employment Opportunity Commission, and many other offices and agencies are committed to assuring equal employment opportunities for all persons. They will protect you. A case may be taken to court if the other processes do not yield satisfactory results. You may hire your own lawyer, or if you cannot afford one, the court may appoint one for you. It is unlawful for an employer, union, or employment agency to punish you or any witness for attempting to present the facts in a case. YOUR CIVIL RIGHTS UNDER THE WORKFORCE INNOVATION OPPORTUNITY ACT Santa Ana Local Workforce Development Area 801 W. Civic Center Drive, Suite 200 Santa Ana, CA 92701 (714)565-2600 B. Criminal Complaints In accordance with the WIOA and the implementing code of Federal section 667.600.... Federal handling of criminal complaints and report fraud, abuse and other criminal activity. "All information and complaints involving fraud, abuse or other criminal activity shall be reported directly and immediately to the City of Santa Ana and the Secretary of Labor." II, General Procedures for Handling Non -Criminal Violations of the Act The following procedure is promulgated to meet the requirements of Title 20, of the Code of Federal Regulations, Section 186 through 188 of the WIOA regulations, and Section 181 of the Act (Public Law 105.200: 29 U.S. Code Sec. 2931 at seq) at the State and LWDA level for the receipt, investigation, hearing, and resolution of complaints by WIOA participants, sub EXHIBIT C 25A-187 EXHIBIT 2 recipients, applicants for participation, or financial assistance, labor unions, community based organizations, or any other persons. These procedures provide for resolution of non -criminal complaints arising from the operation of the Santa Ana LWDA. A complaint is defined here as a written expression by a party alleging a violation of the Act, regulations promulgated under the Act, recipient grants, sub agreements, or other specific agreements under the Act, including terms and conditions of employment of such participants in employment training programs. All complaints, amendments and withdrawals shall be in writing. These procedures are intended to resolve matters which concern policies, procedures or action(s) arising in connection with WIOA programs operated by each LWDA grant recipient and sub recipient under the Act. These procedures shall not be construed as affecting any other available legal remedy outside of the WIOA complaint process (f.e,, disputes regarding terms and conditions of employment of any employee who is not a participant), either separately or simultaneously, that a person may wish to pursue in the resolution of a non-WIOA complaint. Also, these procedures do not restrict the LWDA grant recipient staff in carrying out informal discussion Procedures do not restrict the LWDA grant recipient staff in carrying out informal discussion and resolution of any problems outside of and without resort to the formal complaint procedure. A. The following principles and rules apply to all complaints at all steps of the complaint procedures: All complaints must be made in writing within 180 days of the alleged occurrence, except complaints alleging fraud or criminal activity. 2. Ail persons filing a complaint shall be free from restraint, coercion, reprisal: or discrimination. Good faith efforts shall be made to informally resolve the complaint prior to the scheduled hearing. Complainants have the right to withdraw their complaints (in writing) at any time prior to the hearing. A complainant may amend his/her complaint to correct technical deficiencies but not to add issues, Complainants shall have the right to be represented at their own expense by person(s) of their choosing at all levels of the complaint process. 4. Upon enrollment into employment or training, participants shall be provided with a written description of these procedures, Including notification of their right to file complaints and instructions for filing. An employer of participants, including private -for -profit employers of participants, may use this or other complaint resolution procedures so long as the participant is Informed of the complaint resolution procedure they are to follow and the time frames governing review of complaints are met. EXHIBIT C 25A-188 ION:u:l1IM A "participant", within the meaning of these procedures, is an individual who receives employment -training services under a program funded by Santa Ana LWDA. The Complaint Resolution Procedures contained herein (orthe alternative procedures which an employer may use) shall be available to participants to resolve disputes regarding items and conditions of employment of such participants in employment training programs. However, such procedures shall not be used to resolve disputes regarding terms and conditions of employment of any employee who is not a participant, as defined herein. 5. If a complaint does not receive a decision at the LWDA grant recipient level within 60 days of filing the complaint or receives an unsatisfactory decision, the complainant then has a right to request a review of the complaint by the Governor. 6. Complainants must initially file and exhaust LWDA grant recipient/hearing procedures prior to appealing to the State except where the State determines that the LWDA grant recipient's procedures are not in compliance with the State's procedures. Ill. Procedures for Handling Complaints at the LWDA Level A. Receipt Complaints Pursuant to the W IOA regulations found at 20 CFR, Section 683.600, the LWDA administrative entities have the responsibility to conduct hearings and resolve complaints made by individuals about the administration of programs In the LWDA. "LWDA level" encompasses LWDA administrative entity and employers to which the administrative entity has delegated the complaint resolution process. The following comprise the guidelines for resolving issues arising in connection with WIOA programs operated by the Santa Ana LWDA including resolutions of complaints arising from actions, such as audit disallowances or the imposition of sanctions taken by the Governor with respect to audit findings, investigations or monitoring reports. 1. Form and Filing of Compliant Official filing date of the compliant is the date the written complaint is received. The filing of the complaint with the Santa Ana LWDA Equal Employment Opportunity Officer shall be considered as a request for hearing and a decision must be issued within 60 days. The complaint must be in writing and must be signed and dated. The complaint should also contain the following Information: a. Full name, telephone number, if any, and mailing address of the complainant; b. Full name, telephone number, and mailing address of the agency involved (respondent); c. Clear and concise statement of facts including dates constituting alleged violation; d. What provisions under the Act; regulations, grant or other agreements under the Act, are believed to have been violated; EXHIBIT C 25A-189 EXHIBIT 2 e. Remedy sought by the complainant; and f. If the complainant is a private or public entity or corporation, and not a natural person, the filing of the complaint must be duly authorized by the governing body of such entity or corporation. The absence of any of the requested information shall not be a basis for dismissing the complaint. A copy of the complaint must be sent to the respondent and both parties notified of the opportunity for an Informal resolution. At each step of the complaint process, the complainant must be notified In writing of the next procedural step. 2. Informal Conference Informal conferences will be utilized by the Santa Ana LWDA to resolve complaints; however, such informal conferences shall not extend the time within which a decision must be issued after receipt of a complaint. Attempts at informal resolution will commence with two (2) weeks of the date of filing of the complaint. a. The EEO Officer will review the case and ascertain facts prior to the conference so that appropriate resolution can take place at the time of this meeting whenever possible. b. Although the complainant should be encouraged to attend this conference, his/her failure to do so should not preclude his/her right to request a hearing on the matter. c. If mutually satisfactory resolution results and the Santa Ana LWDA concurs, the EEO Officer will write a brief report for the file stating the issues and resolution. The matter shall then be considered closed. d. if resolution does not result, the complainant shall be provided the necessary information and assistance to request a hearing if he/she so desires. 3. Request for Hearing a. As in the case of the complaint, the request for a hearing should be put in writing and be filed in person or by mail. A governing board resolution of authorization to appeal should also be submitted when appropriate. The request should be filled with: Jennifer Sommers Sr. Personnel Analyst— EEO Officer 20 Civic Center Drive, M-24 Santa Ana, CA 92701 (714)647-5348 9 EXHIBIT C 25A-190 EXHIBIT 2 b, A hearing will be scheduled by the EEO Officer within thirty (30) days of the date of filing of the complaint. 4. Notice of Hearing Upon receipt of the request for hearing, the complainant and the respondent will be notified in writing of the hearing ten (10) calendar days priorto the date of the hearing. The ten-day notice may be shortened with the written consent of the parties. A decision will be issued by the San la Ana LWDA within sixty (60) days of the date of filing of the complaint. The hearing notice shall be in writing and contain the following information: a. The date of notice, name of the complainant, and the name of the party against whom the complaint is filed. b. The date, time and place of hearing before an impartial hearing officer. c. A statement(s) of the alleged violation(s) d. Advise as to where information or assistance may be obtained, and the name, address, and telephone number of the Santa Ana LWDA Equal Employment Opportunities (EEO) Officer who can answer inquiries. B. Conduct of Hearing The hearing shall be conducted in an informal manner with strict rules of evidence not applicable. Unnecessary technicalities should be avoided. It should provide the flexibility to enable adjustment to the circumstances presented. 1. The hearing officer shall have complete independence to obtain facts and make decisions. The hearing officer shall be in a position to render impartial decisions and thus should not be subordinate to the Santa Ana LWDA or its sub recipients. The hearing officer will be selected from a list of names on file with the EEO Officer. 2. Full regard must be given to the requirements of due process to insure a fair and impartial hearing. 3. The hearing office designated by the EEO Officer to function in a quasi-judicial capacity should begin the hearing by summarizing the record and the issue and should explain the manner in which the hearing will be conducted, making sure that everyone involved understands the proceedings. Such explanations should be adapted to the needs of the specific situation. The hearing officer might take testimony under oath or affirmation to give some assurance of veracity to the hearing. so EXHIBIT C 25A-191 EXHIBIT 2 4. The burden of proof should be reasonable and flexible, dependent upon the circumstances of the case involved. The hearing officer determines the order of proof. Generally, the party making the complaint has the obligation of establishing his or her case and should be examined first. 5. The party involved should have the right to be represented (at their own expense) if he/she so desires. Other helshe is limited to hislherown abilities and those to the hearing officer in obtaining testimony in the case. 6. It is important that the hearing officer obtain the fullest information for the record. If the parties involved, or their representatives, do not know how to ask the right or pertinent questions in pursuing their right to due process, it shall be necessary for the hearing officer to step in to have all the materials and relevant facts elicited. 7. The practice in informal hearings is generally not to apply strict rules of evidence In obtaining facts. However, the quantity of evidence required to support a decision on an issue should be sufficiently credible that the state (or other appropriate agency), upon reviewing the decision, would conclude that the decision is supported by substantial evidence. 8. The hearing officer should attempt to negotiate a resolution of the issue at any time prior to the conclusion of the hearing. 9. Within ten (10) days of the conclusion of the hearing, the hearing officer will issue a recommended decision to the LWDA for final determination. The recommended decision shall be in writing and may be accepted, rejected or modified by the Santa Ana Workforce Development Board. C. Issuance of Decision Within sixty (60) calendar days of filing of the complaint, the Santa Aria LWDA shall issue a written decision to all parties by first class mail. The final decision shall contain the following information: 1. The name of the parties involved. 2. A statement of the alleged violation and Issues related to the alleged violation. 3. A statement of the facts. 4. The decision and the reasons for the decision. 5. A statement of corrective action, if any, to be taken. 6. Notice of the right to request, within ten (10) calendar days of receipt of the decision, a review of the decision by the State Review Panel. xs EXHIBIT C 25A-192 EXHIBIT 2 D. Record of Hearing An administrative file containing support documents on the complaint resolution process hearing conducted will be retained by the Santa Ana LWDA. The purpose of a record is to serve as substantiation of the process followed by the Santa Ana LWDA on the resolution of the issues and the results. This information would then be available for subsequent review in the event the matter is raised with the State. Such records must be retained for a three- year period after the grant has been officially closed out. The Santa Ana LWDA's written decision will be included in the record. Evidence received at the hearing, notes by the hearing officer, stenographer's notes and tape recordings may also be used. E. Establishment of Complaint Procedures In accordance with Section 683.600, each employing agency including private -for -profit employers of participants under the Act is required to establish a complaint procedure for resolving matters relating to the terms and conditions of employment. Employers may operate their own grievance system or may utilize the Santa Ana LWIDA's established procedures under Section 683.600. At a minimum these procedures must include: Written notice, upon enrollment into employment training services, of the scope and availability of such procedures. Employer's grievance procedures shall be set forth in a written document and must meet the regulation mandate that a complaint will be resolved with sixty (60) days from the date the complaint was filed. A copy of employer's grievance procedure shall be provided to each participant upon enrollment in employment training. 2. Written notice, at the time the grievance is filed, of the procedures under which the grievance will be processed. S. Written notification of the disposition of the grievance and a written decision shall be issued within thirty (30) days of the filing of the grievance unless a present and long established grievance specifically provides other limits; and 4. Written notification of the participant's right to request a review of the employer's decision by the Santa Ana LWDA and the State Review Panel in accordance with Section 683.600. IV. Procedures for Handling Complaints at the State Level Section 181 (c) of the Act and the WIOA regulations at 20 GFR, Section 683.600 (d) requires the Governor to establish a State Review process of complaints filed at the LWDA grant recipient level and of complaints initially filed at the State level. Appeals of decisions issued at the LWDA level including audit disallowances and sanctions shall be reviewed by the State Review Panel. The State Review Panel shall review the record 12 EXHIBIT G 25A-193 EXHIBIT 2 established at the LWDA level and shall issue a decision based on the information contained therein. Complaints which may be initially filed at the State level will. be heard by an independent hearing officer designated by the State Workforce Investment Division (WID). The hearing officer shall conduct a hearing and issue a recommended decision to the State Panel. The recommended decision shall be in writing and may be accepted, rejected or modified by the State Review Panel. A. Form and Filing of Complaint. 1. Request for State Review of LWDA Level Decisions On receipt of a complainant's request for review because of an unsatisfactory decision, the State shall provide for an independent state review. 2. Filing of Requests for State Review The State Review Panel shall review all LWDA level decisions when a request for review is filed within 10 days of receipt of the adverse decision. Such requests must be filed in writing with the Chief of the WID Office. The request for review should contain the following information; a. Full name, address, and telephone number of the party requesting the review b. Full name, address, and telephone number of the other party c_ A copy of the decision d. Brief statement of reasons for review or the section of the LWDA decision to be reviewed including regulatory and statutory citations e. A statement of the relief sought. 3. Complainant Responsibility It is the responsibility of the complainant to include In the request for review a written statement setting forth the facts presented at the LWDA hearing which support the requested relief. The Chief, WID, shall mail a copy of the request for review to the other party and to the LWDA. It shall be the responsibility of the LWDA to submit the complete record including a typed record of the hearing to the Chief, WID, within ten (10) days. B. Conduct of Hearings. 1. Request for hearing at the State Level 13 EXHIBIT C 25A-194 03:11:3111Pa If no decision has been issued at the LWDA level or the State has determined an audit disallowance or imposed sanctions, the complainant may request a hearing. The hearing officer will then issue a recommended decision to the State's Review Panel for final determination. 2. Filing for Request for Review The request for a State hearing shall be filed within ten (10) days after LWDA should have Issued a decision or ten (10) days after the issuance of the audit disallowance or sanction. The request shall be filed directly with the Chief of the W ID in writing and should include the following: a. Full name, address, and telephone number of the LWDA b. Name, address, and telephone number of the LWDA c. Copies of complaints made at LWDA level from which no decisions were issued or sanctions and imposed. A statement of basis for the request for hearing. 3. Evidentiary Hearing Upon receipt of the request for a State level hearing, a hearing before a designated hearing officer will be scheduled. The hearing will be recorded mechanically or by court reporter. Both parties concerned will have the opportunity to present oral and written testimony under oath, to call and question witnesses in support of his/her position, to present oral and/or written arguments, to examine records and documents relevant to the issue(s), and to be represented. The hearing officer shall issue a written decision, which shall be forwarded to the State Review Panel for final determination. The State Review Panel may accept, reject or modify this recommendation. The decision of the State Review Panel is final except for audit disallowances, which must be approved by the Secretary of Labor C. State Review Panel The State Review Panel will consist of a panel of three representatives from the Employment Development Department: one from the Legal Offices, one from the WID, and one from the Director's office. The panel will issue a written decision, which will be sent to the appropriate parties within thirty (30) days of receipt of the request for State review. 11? EXHIBIT C 25A-195 X/:11:31t�: Decisions Issued by this panel, under the authority of the Governor; are final. D. Issuance of State Review Decision. The State review will be limited to violations of the W IOA, implementing WIOA regulations or the grant agreement. This review shall be limited to the record established at the LWDA hearing. V. Procedures for Handling Discrimination Complaints by Participants, A. Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief, retaliation, and citizenship, where appropriate, must be filed within 180 days of the alleged occurrence. 1. It is the responsibility of the Santa Ana LWDA's Equal Employment Opportunity (EEO) Officer to determine Jurisdiction and to make the complainant aware of and provide assistance in filing a complaint in accordance with the Santa Ana LVVDA's procedure under Section II (A). TS EXHIBIT C 25A-196 EXHIBIT 2 PROCEDURES FOR HANDLING NON -CRIMINAL COMPLAINTS Na later than 180 drys of alleged discrimino tinn Within 10 days of roceipt of u nsutisfi ctory decision or 10 days from date i.vvoA decision should have been issued. Handling of complaints filed at LWDA level arising in connection with WfOA orograms operated by LWDAs Informal Resolution Process Filing of Complaint/Request for Hearing I�a 0 Notice of Hearing issued by LWDA Hearing Conducted LWDA Decision within 60 days Unsatisfactory Decision or LWDA Decision not Issued within 60 days e Request for State Revrety a o° F Governor's Decision issued by State Review Panel If no decision issued by State Review Panel Appeal to DOL 16 EXHIBIT C 25A-197 EXHIBIT 2 In cases where areas of authority overlap, it is the responsibility of the EEO Officer to advise the complainant of the existence of State, Federal and other proper action agencies, which may also have a bearing. 3. Complainants alleging discrimination under this part will be made aware of their right to file directly with the Office of Civil Rights (OCR), U.S. Department of Labor and applicable procedures. 4. Complainants must file their complaint directly with: Jennifer Sommers Sr. Personnel Analyst-- EEO Officer 20 Civic Center Drive, M-24 Santa Ana, CA 92701 (714)647-5348 VI. Procedures for Handling Disability Complaints by Participants Complaints alleging discrimination on the basis of disability will be filed and processed under the Department of Labor regulations implementing Section 504 of the Rehabilitation Act of 1973 at 29 Code of Federal Regulations Section 32. 1. Complaints must exhaust the Santa Ana LWDA's informal resolution procedures before filing their complaint with OCR. 2. Complainants will be made aware of the 180 days requirement in which to file his/her complaint. A. Procedures at the LWDA Level The complainant shall file his/her complaint directly with the Santa Ana LWDA. Upon receipt of the complaint, the EEO Officer shall investigate and gather information concerning the complaint. 2. An informal conference will be held with the parties concerned in an effort to resolve the issue(s). The complainant has the right to be present and may be represented during the conference. 3. The Santa Ana LWDA shall issue in writing its decision to the complainant no later than thirty (30) days after the filing of the complaint. B. Procedures at the State Level 1. The complainant may appeal to the State if he/she is not satisfied with the decision of the Santa Ana LWDA. 17 EXHIBIT C 25A-198 EXHIBIT 2 2. The Complainant must file hislher appeal as a request for review directly with the Chief WID within ten (10) calendar days after the receipt of the Santa Ana LWDA's decision. 3, The Chief-WID, shall issue a decision no later than thirty (30) calendar days after receipt of the request for review_ 4. After the complainant has received a decision or no decision has been received from the Director of Employment Development Department (on behalf of the Governor), the complainant has the right to appeal hislher complaint within thirty (30) calendar days to the Office of Civil Rights (OCR) with the Department of Labor. 18 EXHIBIT C 25A-199 EXHIBIT 2 PROCEDURES FOR HANDLING COMPLAINTS ON BASES OF DISABILITY No later than 28odays of Filing of complaint on the basis of Disability with LWDA alleged Doy 1 discrlmmatran I Informal Resolution I If no resolution reached Request for Hearing Notice of Hearing HoadngConducted I I Day 145Day LW DA Decision 0 Unsatisfactory Decision or No Decision State Review Fled within 30 days of LWDA/State Governor's Decision Decision or DU days frain date of 60 Days initial filing of Appeal to Assistant Secretary Department of Labor complaints 29 EXHIBIT C 25A-200 W3:11:711W: GLOSSARY OF WIOA TERM AGE DISCRIMINATION ACT — A iaw passed by Congress in 1975 which prohibits discrimination on the basis of age by any program or activity receiving Federal Funds. APPLICANT — An individual who applies to a subrecipient or contract for services provided under WIOA and who has not yet transitioned to the status of participant. ASSESSMENT— Services designed to determine each participant's employability, aptitudes, abilities and interests and to develop a plan to achieve the participant's employment and related goals; also to identify the available employment and traning activities appropriate for the participant. Testing and counseling may also be used during assessment process. CHARGING PARTY (CP), COMPLAINANT. GRIEVANT, OR AGGRIEVED PERSON — The person who charges that he/she has been discriminated against under Department of Justioe nondiscrimination and civil rights regulations and/or guidelines. DISCRIMINATION — In general, a failure to treat all equally, whether intentional or unintentional; the effect of an action, policy or practice which selects an individual or class of persons to receive unequal treatment. ELIGIBLE NON -CITIZEN — Lawfully admitted permanent resident, aliens, lawfully admitted refugees, and parolees and other individuals authorized by the Attorney General to work in the United States. EMPLOYER — An employer subject to the provisions of the Civil Rights Act of 1964, as amended; including state and local governments and any Federal agency subjects to the provisions of Section 717 of the Civil Rights Act, as amended; and any Federal contractor or subcontractor covered by executive Order 11246, as amended. GRIEVANCE — An allegation that something imposes an illegal obligation or burden or denies some equitable or legal right, or causes injustice . INDIVIDUAL WITH A DISABILITY — Any individual who has a physicaf or mental disability that constitutes or results in a substantial challenge to employment. INTAKE — Includes screening to determine eligibility; to select from eligible applicants those individuals who are most in need and can benefit from program services; to complete procedural requirements necessary to enroll an individual into the program and to refer those not enrolled to other programs. JOINT COMPLAINT — A complaint of employment discrimination covered by Title VII or the Equal Pay Act and by Title VI or Title IX. Individual "joint complaints" are normally investigated by EEOC unless OCR has a compelling reason to investigate. "Joint complaints" alleging discrimination in employment and other practices and pattern or practice "joint complaints" are normally investigated by OCR. zo EXHIBIT C 25A-201 EXHIBIT 2 JURISDICTION — Authority to investigate and resolve complaints against an institution subject to a law or statute which has been assigned to OCR for enforcement, i.e., Title VJ, Title IX, etc. PARTICIPANT — Any applicant who has: (1) Been determined eligible for participation upon intake: and (2) Who is receiving subsidized employment, training or services (except post -termination services) funded under the Act, following intake, except for an individual who receives only outreach and/or intake and assessment services. 21 EXHIBIT C 25A-202 EXHIBIT 2 CERTIFICATION REGARDING LOBBYING The undersigned certifies, to the best of his,or her knowledge and beliefrthat 1) No Federal appropriated funds have been paid or will be paid, by or on behalf of "the undersigned, to any person for influencing or attempting to influence. an officer or employee of any agency, a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of - any Federal loan, the entering Into of.anycooperative agreement, and the extension, continuation, renewal, amendmeht, ,or modification of any Federal contract, grant, loan, or cooperative agreement. 2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency; a Member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the. undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying." in accordance with its instructions. 3) The undersigned shall require that the language of this certification be included in the award,documents for all subawards at all tiers (including agreements) and that all subrecipientts shall certify and disclose. accordingly. This certification is a material representation of fact upon which reliance,was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by.31 U.S.C; 1352. Any person who fails to,flle the required certification shall be subject to a civil penalty of not less. than S10,000 and not more than $100,000 for each such failure occurring on or before "October 23,,IM, and of not less than $11,000 and not more than S110,000.for each such failure. Charitable .. Ventures of Oran-ge County Project Kinship Grantee/Contractor`Orgahization Program Title r Signature Ted Kim; Chief Operating Officer Name of Certifying Official Signature EXHIBIT D 25A-203 Certification RegardingDrug-Free Wgftlace Requirements The certification set out below is a material representation upon which reliance is placed by the U.S. Department of Housing and Urban Development in awarding the grant. If it is later determined that the contractor knowingly rendered a false certification, or otherwise violates the requirements of the Drug -Free Workplace Act, the U.S. Department of Housing and Urban Development, in addition to any other remedies available to the Federal Government, may take action authorized under the Drug -Free Workplace Act. CERTIFICATION A. The contractor certifies that it will provide a drug -free workplace by: (a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession or use of a controlled substance is prohibited In the contractor's workplace and specifying the actions that will be taken against employees for violation of such prohibition; (b) Establishing a drug -free awareness program to inform employees about — (1) The dangers of drug abuse in the workplace; (2) The contractor's policy of maintaining a drug -free workplace; (3) Any available drug counseling, rehabilitation, and employee assistance program; and (4) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace; (C) Making it requlrementthat each employee who will be engaged in the performance of the grant be given a copy of the statement required by paragraph (a); fd) Notifying the employee in the statement required by paragraph -(a) that, as a condition of employment under the contract, the employee will - (1) Abide by the terms of the statement; and (2) Notify the employer of any criminal drug statute conviction for a violation occurring in the workplace no later than five days after such conviction. EXHIBIT E 25A-204 EXHIBIT 2 (e) Notifying tho U.S. Uepartmentof !-lousing and tlr b'an Development within ten days after receiving notice under subparagraph (d)(2) from an employee or otherwise receiving actual notice of such conviction; (f) Taking one of the follo..wing actions, within 30 days of receiving notice under subparagraph (d)(2), with respect to any employee who is so convicted - (1) Taking appropriate personnel action against such an employee, up to ,and including termination; or (2) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program ,approved for such purposes by a -Federal, State, or local health, law enforcement, or other appropriate agency; (g) Making'a good faith effort to continue to maintain a:drug-free workplace through implementation of paragraphs (a), (b),,(c), (d), (e) and (f). B. The contractor shall insert in the space provided on the attached "Place of Performance" form the sites) for the performance of work to be carried out With the grant funds (including street address, city, county, state; and zip code) .the contractor further certifies that, if it is subsequently determined that additional sites will be used for the performance of work under the contract, it shall notify the.U.S': Department of Housing and Urban Development immediately upon the decision to use such add_ itional sites by submitting a revised"Place.of Performance" form. Date Program Operator Signature EXF 187 F 25A-205 EXHIBIT 2 DIVISION OF EMPLOYMENT SERVICES PLACE OF PERFORMANCE FOR CERTIFICATION REGARDING DRUG -FREE WORKPLACE REQUIREMENTS Name: Ted Kim, ChiefO-t! atino Officer Name of Contractor: Charitable Ventures of OrangeCounty/Project Kinship Contractor Number: A-2019- Date: July 1, 2019-June_30, 2020 The Contractor shall insert in the space provided below the sfte(s) expected to be used for the performance of work under the contract covered by the certification: Place of Performance (include street address, city, county, state, zip code for each site): 221.5 N. Broadway Suite 2 Santa_Ana, CA 92706 Address 25A-206 EXHIBIT 2 Certification Regarcifn¢ Debarment, Suspension, Inelinibility.iind Voluntary Exclusion Lower Tier Covered Transactions This certification is required by the regulations implementing Executive Order12549, Debarment and Suspension, 29 CFR Part 98, Section 98.510, Participants' Responsibilities. The regulations were published as Part Vll of the May 16, 1988, Federal Register (pages 19160-19211). (Before completing certification, read instructions which are an integral part of certification) I. The prospective primary participant, (i.e. grantee) certifies to the best of Its knowledge and belief, that it and its principals; a. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any federal department or agency; b, Have not within a three-year period precedfng this proposal been convicted or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state or local) transaction or contract under a public transaction; violation of federal or state antitrust statues or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property. c. Are not presently Indicted for or otherwise criminally or civilly charged by a government entity (federal, state or local) with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; and it. Have not within a three-year period preceding this applicatfon/proposal had one or more public. transactions (federal, state or local) terminated for cause or default. 2. Where the prospective primary participant is unable to certify to any of the statements In this certification, such prospective participant shall attach an explanation to this proposal, Charitable Ventures of Orange County/Project Kinship Grantee/Contractor Organization Ted Xim, Chief Operating Office Name a nd Title of Official Authorized to Certify On Behalf of the Grantee May 21, 2029 Date 25A-207 Budget Form EXHIBIT 2 Administrative Total Program Cost ; Cost(NattoTotal WIACost Matchlin Kind _.:.. .. .. .. ........ .. ... Exceed 10% 1... Personnel5alaries ;.>. I. Case Marager J1.00 F-E] I $52,000.00 $52,000,00 2. Job Developer (OAS FTE) $10,400.00 $10400.00 4 f Personnel Benefits `:..:..: ,;„t,. " -. .:::.-.c .... •: •..: .. ' :.;. :...: ... ':�':•. ' _ .. 1. Case Manager(1.00 FTE) I $7,800.OUI $7,800.00 2. Job Developer (0.25 f-TE] $1,560,00: $1,560.007 3 — 4 Total Personnel Salaries & Benefits $0.00 $71,760.00 $71,760.00 $0.00 Uperating 4penses' ` .:; ,. �;....:•::.;, :: ':. ':�,'.n>;::: '� 'i.'''? ; id,:j:.., •..... ,'s l+ . - Rem utili;:es Phones I - _-•- Internet Fees pafklarklnBFees"— . - ---- Security Maintenance -- -' Insurance - Equlp,nent ren:a; fees" - -- - - Equipment rental fees" _ _ - •• - ' Vehicle lease" _ _ -'- Officeexpenses(consumablos) $1,f.10.00i 51,1r0.00 Accounting Services_ __ _ - Legal ServTces_ , - Audlt:ngServices — -- Inirect Cost" 510,000.00 $16,000.00 516,000.00 StaffTraliing — $1,020.00 $1,020.00 Staff Conferences s1,S90.00. $1,59000, SlaF 1'ravef/Mileage 51,07,0-001 $1 020.001_ _ Particlpant Wages" $50,500.n0 $50,500.00 Supportive Servfres" ., $7,000.00 $7,000,00 Participant lncentivos" s5.000.00i $5,000.00 Youth Conferences $11800.00' 51,800.00 Fallaw-Ua SarvrrzS for 2070 $3,200.00 $3,200.00 Total Operating Expenses $16,000.00 $99,240.00 $88,240.00 GRAND TOTAL $16,000.00 $160.000.00 $150,000.00 $0.00 ENAIDITG 25A-208 Budget Form EXHIBIT 2 Budget Form Instructions for YSP.N Membershilp. costs relat=,d tothe program activities descrlL•ed In Lhe proposal must be included ant he 6udget Form. Abudhec narrative, mus: Le attached on a jarate sheet of paper for all line items m_ aiked x4th an *a Ntorisk. rsennel lanes: Llsteach IildlviduaI position dedicated to :his project. List :i::e, percentage o.`fu!I time equlvaIant (FTF.) or the amount oftirne be charged to this project. net its: List each individual r n.ait!on eedicatod to this project. List till,?, percentage of full time equivalent (FTE) or the amountOFtfrne be charged to this project. IATING EXPENSES or User Fee: Provide parrnntof orflce space thatwW be charged co this project. Describe .how percentage was determined, Equipment Rental Fee (equipment may not he purchased): List items that will be used forth Is project. arow lee percent of rentoI fee thatwill be charged to this project. Describe how percentage was determined, _ Vehicle Lease (vehicles may not be purchased): Provide list of vehicles dedicated for this project. Describe vehicle use and percentage of use that will be charged to this project. Describe how_ percentage was de:e_r_mined. Note: CON'rRACTUR shall also obtal_n_ano Indirect Cost: Provide indirect cos: rats plan. snt Wages: Describe costs directly related to individual participants such as paid train.:ngand/o•work experience. Include of youth, hourly wage, beneffs and bonuses. Include length of activity. _ Services:Attach policies and procedures for supportive services. Policy must Include spending l'mI-.s, Incentives Indicate :ne type of payment, rate of payment and describe what youth must ach:eve to receive the rrlcentfve. This Item may include fieldtrips and youth stipends. All ite rris roust listed and inc:ude cost details. -------------------- StateS, IOCal goverrrnents and non-profit institU ions who receive 8500,000 or mere in federal ftsuda In a fiscal year shall meet the re ulraments of the OM0 Circular A-133, "Audits of States, and Local Governments and Non profit. Inst1tutlorls." 25M09 EXHIBIT 2 BUDGET NARRATIVE Organization: Charitable Ventures of Orange County, fiscal sponsor of Project Kinship Please elaborate on the appropriate line item budget narrative how the program will fulfill at least 20% of funds will be used for worst experience. 1. Personnel Salaries; • Case Manager (1.0 FTE) will be responsible for maintaining caseload of 20 participants during all stages of Santa Ana WIB participation; maintaining participant files; developing Individual Service Plans with participants; monitoring participant progress; working with the Project Kinship Uperationsteam to secure support service supplies, stipends, incentives, and wage contributions; serving as the agency representative to the Youth Service Provider Network. Salary is calculated as $25,00 per hour x 2,080 hours per year = $52,000. • Job Developer (.25 FTE) will be responsible for conducting testing with participants (i.e. TABS, career assessments); developing Individual Career Plans with participants; developing partnerships with employers; conducting workplace site visits; coordinating with facilitators for training series; collecting work experience documents; providing career coaching and work readiness workshops; and researching industry needs. Salary is calculated as $20.00 per hour x 2,080 hours per year x 25%= $10,400. • Total for Personnel Salaries is $62,400. Personnel Benefrts: • Benefits include: medical, vision, and dental insurance; Worker's Compensation; payroll fees; payroll taxes; and other Human Resources administrative support services. They are calculated at 15%of annual salary. • Case Manager (1.0 FTE) salary is $52,000 x 15%benefiits = $7,800. Job Developer (,25 FTE) salary is $10,400 x 15% benefits = $1,560, • Total for Personnel Benefits is $9,360, 3. Rent., N/Atothis proposed budget. 4. Utilities: N/A to this proposed budget. 5, Phones: N/Ato this proposed budget. 5. Internet: N/A to this proposed budget. 7. Parkin& Fees: N/A to this proposed budget. 8. Security: N/A to this proposed budget. 9. Maintenance: N/A to this proposed budget. 25A-210 EXHIBIT 2 10. Insurance: N/A to this proposed budget. 11. Equipment Rental fees: N/A to this proposed budget. 12. Accounting Services: N/A to this proposed budget. 13. Vehicle Lease: N/A to this proposed budget. 14. Office Expenses IConsumablesl: • Office expenses include: TABEtests; case filefolders; copy paper; workshop materials; and other office supplies needed for program operation. Cost is calculated at $55.50 per Participant x 20 participants = $2,110. 15. Legal Services: N/A to this proposed budget. 16. Auditing Services: N/A to this proposed budget. 17. Indirect Cost: • Indirect costs cover: accounting, contract development, liability coverage, and administrative services, It is calculated at 10% of the total grant award=$16,000. 18. Staff Tralning: • Staff training Includes fees for staff to become certified in the "Another Way ... Choosing to Change" curriculum by Licensed Clinical Social Worker and Retired Probation Officer Supervisor, Nada Yorke. Cost of training Is $450 per staff x 2 staff = $900. • Staff training also includes fees for staff to become a trainer certified by the National Retail Federation to train and certify participants as Customer Service and Sales Certificate completers. Cost of trainer course Is $120 per staff x 1 staff = $120. • Total staff training cost Is $1,020. 19. Staff Conferences: • Staff conferences includes fees for staff to attend the California Workforce Association Annual Conference. Registration fees are calculated at $500 per staff x 2 staff = $1,200. • Staff conference costs also include cost of per diem $40 perstaffx 2 staff x a days = $240 and rental of a van to transport staff and participants to and from the conference calculated at $50 per day x 3 days = $130. • Total staff training cost is $1,590. 20. Staff Travel/Mileage: • Project Kinship uses $.58 as its per mile reimbursement rate. Staff mileage is calculated at an average of $60 per month for the Case Manager (1,0 FfE) and $25 per month for the Job Developer (,25 FTE) x 12 months = $1,020. 21. Participant Work Experience, Wages: • Work experience wages are calculated at $500 stipend x 4 participants completing a 7- week Silk Screening Training course (60 hours instruction/hands-on practice) _ $2,000. 25A-211 EXHIBIT 2 • Work experience wages also include $250 stipend x 2 participants completing a 1-week Window Tinting Training course (40 hours instruction/hands-on practice) = $500, • Work experience wages also includes a sliding scale wage incentive program with employers. Participants will be hired by employers. Project Kinship will pay a portion of the wages to the employer on a sliding scale until the employer is paying the full hourly wage of the participant, Sliding scale will be based on participants being paid $12 per hour. During the first 160 hours, Project Kinship will pay $8 per hour and the employer will pay $4 per hour. During the next 240 hours, Project Kinship will pay $6 per hour and employer will pay$6 per hour. Duringthe next 120 hours, Project Kinship will pay $4 per hour and the employer will pay $8 per hour. After the completion of 520 hours, the employer will be paying the full wage of the participant. Wages are calculated at $3,200 per participant x 15 participants = $48,000. • Total participant work experience cost Is $50,500. 22. Supportive Servlces: • Supportive services include: bus passes ($4.50 one way; $45 for a 30-day youth bus pass; $65 fora 30-day adult bus pass); gas cards ($5 value for single trips or $50 value for 30-day use); as well as the purchase of participant specific needs such as uniforms, tools, textbooks, driver's education classes, clothing, etc. of various costs. ■ Supportive services are calculated at an average of $350 per participant x 20 participants = $7,000. 23. participant Incentives: • Participant Incentives can be earned in the form of a $50 Visa Gift Card for completing various program outcomes including: obtaining employment; retaining employment; enrolling In education; retaining education (i.e. enrolling in second semester of college; obtaining passing grades); obtaining a Driver's License; completing the 6-week Work Readiness curriculum; earning an industry recognized certification; and/or being discharged from Probation or Parofe. • Participant Incentives are calculated at an average of $250 per participant x 20 participants = $5,000. 24. Youth Conference: • Youth conference costs include registration for participants to attend the California Workforce Association Annuaf Conference. Registration costs are $400 per participant x 3 participants = $1,200, • Youth conference costs also include per diem $40 per participant x 3 participants x 3 days = $360 aswell as the cost of participating in other leadership opportunities, such as a policy advocacy workshops, the Project Kinship Annual Re-entry Conference, etc. estimated at a total of $240. * Total youth conference cost is $1,800. 25. Pertinent Forms to track Work Experience: • Project Kinship will be utilizing the following pertinent documents/farms to track work experience compensation for participants/employers involved in the sliding scale wage program: signed Memorandum of Understanding with employers; signed participant 25A-212 EXHIBIT 2 timesheets; participant evaluation form (completed by employer during first two weeks of employment); and employer evaluation form (completed by participant during first two weeks of employment). • Project Kinship will be utilizing the following pertinent docurnents/forms to track participant Incentives: sign -in sheets from workshop series; copies of in dustry recognized certifications and/or high school diploma; copies of Driver's License; copy of education enrollment class schedule; copy of semester grades; copies of paystubs; and Probation or Parole discharge letters. • See copies/examples of pertinent forms in Attachmenti. 26. Subcontracting client services/activities; N/A to this proposed budget 25A-213 EXHIBIT 2 Assurances & Certifications Selected providers will be required to sign and submit' "actual" assurances and certificates as, required by the City of Santa Ana and the Workforce Udve'lopment Board on all contraels. I recognize that 1 must.give assurances for each item below. If l catmol,'[his proposal will be automatically rejected. Please initial caih bom_ ® I ant authorized by my hoard of Directors, Trustees, other legally qualifier[ officer, or as the owner of this agency or husiness to submit this proposal. ® We are not currently.6n.any. Federal, State of Calilbraia, or local Debarment list: ® We will provide records to show that we are fiscally solvent, if needed, ® We have, or will have, all of the fiscal control and accounting procedures needed to ensure that WtOA rntds will be'used as required by lawand contract. ® We have additioiml funding sources and will not be dependent on WIOA funds alone_ We do or will meet the applicable Federal, State, and local compliance requirements, These include, but arc not limited to: Records accurately retlect actual performance. ® Maintain record confidentiality, as required, © Reporting financial, participant, and peti'ormance.data, as required. Comply with State and 'pederal fiscal and program activity audits. ® Complying with Fedend,and State non-discrimination provisions. ® Meeting requirements of Sccfion 504 of the Rehabilitation Act of 1973. ® Meeting requirements oFthe American'; with Disabilities Act of 1990. (submit contple(ed survey) ® Meeting all applicable labor law, including Child labor Law standards. ® Agee to provide a drug free workplace, ® Agree to iusurc'the'City of Santa Ana through General Liability Insurance and Automobile Liability Coverage in the amount orsL000,000,00 policy. ® Agree to provide all participants with Grievance Procedures. © Agree to insure propctser's employees through Workers Compensation Insurance (including pa t-tune'eniployees) ® Procurement policfcs and procedures are in place and meet federal guidelines. We will not: ® Place a youth in a position that will displace a cur-ent enlployee. ® Use WIOA money to assist, promote, or defer union organizing. ® Use funds to employ or train of persons igsectatian Wivilies. (X] Use funds for youitk in the construction, tiperltion, or ntaintenanc'e of any part of,a facility to be used for sectarian instruction or religious worship. ® Use WIOA funds'for aetivilics [hat would interfere with or replace.regular acadcaiicrequirements for eligible youth who are not dropouts. © Use WiOA funds to carry out programs funded under the School-lo-lltork Opportufiities Act of 1994 unless the program(s) 9r6 only 'tor youth eligible to participate under 11'TOA, Use WIOA money under this contract to purchase any equipment. 1 hereby assure that all of thr above are true.. Chief Operating Officer May21.2019 Name Title Dale E.Y11I131T 11 25A-214 EXHIBIT 2 CERTIFICATE OF LIABILITY INSURANCE THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION,ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY ANIEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. THIS CERTIFICATE OF.INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(51, AUTHORIZED REPRESENTATIVE OR PRODUCER AND THE CERTIFICATE HOLDER. IMPORTANT: If the Certificate holder is an ADDITIONAL INSURED, the polieylies) must be ondarsad. If SUBROGATION IS WAIVED, subject to the farms and conditions of the policy, certain policies may require an andorsoment. A statement on this certificate: does not confer rights to the vaovLrvL Dickerson Insurance Services, license #01,129112 1918 Riverside Drive Los Angeles CA , 90030 (323)662-7200 MURED Challtable Ventures of Orange County 1505 E. 17th Slrao'% Suite 101 Santa Ana, CA 92705 NI IMRFR. Findri9OBanue1os _ Eu1:_(3231-00074,_- ...RodE¢69dtckers9n-gr0up.Com _ IY$t RER(SIAFFORDIIIGCOVERAGE AAI00 -F,Philace_ppla indemnity Insurance Compamy i21014 0: Now York ,M3 ine & General Insurance Corn ny 16509 e: a. EI THIS IS TO CERTIFY THAT TIIE POUCIES OF INSURANCE LISTED BELOW HAVE BEER ISSUED TO THE INSURED NALIED ABOVE FOR TILE POCCY PERIOD YN INDICATED_ NOTTHSTAHDINC ANY RCQUIREIAENT_ TERN OR CONDIT.ON CF ANY CONTRACTOR OTHCR,DOCUYENT WITH RESPECT rO VVIUCH-THIS CERTIFICATE NAY BE ISSUED OR AIAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES CESCRIKE) HEREIN -IS SUBJECT TO .ALL THE TERLIS• U(CLUSIONS ANOCONDITIONS OF SUCH POLICIES LDYJTS SHOWN rAAY HAVE BEEN RECUCED 0Y PAID MAINS i POLICYEFF PpLTCY F.IP TA ttPE OF INSURANCEg{$B( POLICY NUNBEA 112TIC,WYW A1M1IA HYVVI� UNIIIS GENERALLIADRIIY 1 EA I-CCCURREICE 1 1,000,C0 _ ITACEIOFhN'tP , X COHt R IILGE•:EHA lWenllY oRC11aC IE v-i e1 b 10U WO _ _ _ I CUItA M1fUE .rX OGclwi I UEC AP r1T n G cnl �. A _ PHFK1824.;18 CS'2Q2018 07115.12019 R O'uts YOY INJUH 1,000000 _ X AUUSO S PSOIestO110P lOChroCd ia_NCR•L r04FEV. E_ . 7.,00a,000 :GLNLACGRECATE LINITAPPLIFSFFR PRD_DLC:S•GOM1IPYOP zGC � 5 2000,OLYT j X FLa1CY cc I 'ADU$C.3adOlOs!alICO � 5 1:000.000 AUTOMMILE LWERJTY r i—� cou SMff-4W3-c LIJ- - _1.000, I ' I I=_muwa_a). -... - _15 000 I ANY AUTO APO DO""M INJJRV iPm mrm•,I !, R A ALL scREDIK Ep 0.UT05 ldJT05 - 'eOCP.Y'NJ.IRV leer ac�xll! 5 PHPK{82,1818 105:21}2018 07115:20 i9 IR�'- XNON-DxmEo. AMOS HIREOAVTCG PXi FF�V-NJ lc - Deduci.ble S 1,000 '� - UObREWt LWtl CG:A'N I EA0I0_CJRRox..i, a EYCESS lIAL1 W CLAWS war _ Ff.GHEGxr. ._. 5 CEO RETEMIONS = WCRRENSCONFEr:SA11OY. W.: aIAIU �f7tH I-ORr ANO ENPLOYERS'Ua01Utt YJ11 I. _X ❑q.isj..n_ B ANYPR:PFETOR'PA r.VBA'OCECUNw_' I�" "C201al)CM1228 :.i;DOENi s1pe3,DDa. crric1lAG/OERCxCLUDCCI Y�N)AII 051I1:2018 OTI15,QO19�E.LEA 114. ey In tall IE.L CISr:ASF.-F.A ELIPLOYE S-1.000.U00 Illel. aeaa,`e .,Mee _ I E.L. CISCA5L-F-UCYtMIi 5LOW 000, I—i-1 OESCPIPTION Or OPERATION$ 40CA110115 r VF_%ile1.F5 LAtbdi ACORp fel, AdEiflonal R:maa,i acl,ad b, Irmen rpuca i� mnxivtl) ' The City of Same Ana. It's officers, employees, agents. and represenlalives are named as addillonal insured in regards to General Liability. Tile City will be mailed 30 days Wd!ten notice of policy cancellation. City of Santa Ana SHOULD ANY OF T14F ABOVE DESCRIBED POLICIES US CANCELLED THE EXPIRATION DATE THEREOF, N0710E WILL BE DELIVE 20 Civic Center Plaza ACCORDANCE W1TH THE POLICY PROVISIONS. Soma Ana, CA B27D1 AU IHORIIEU REP�EjPTAINE ... III ACORD 25 (2010105) The ACORD name and logo are registered marks 25A-215 EXHIBIT 2 �1�N yy ADDITIONAL INSURED ENDORSEMENT Philadelphia indemnity Insurance Comp -my Insurance Company This endorsement modifies such insurance as is offered by the provisions of Policy Number: PHPKI824618 relating to the following: 1. The City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701: it officers, employees, agents and representative are named as additional insureds ("additional insureds") with regard to liability and defense of suits arising from the operations and uses performed by or on behalf of the named insured. 2. With respect to claims arising out of the operations and uses performed by or on behalf of the named insured, such insurance as is afforded by this policy is primary and is not additional to or contributing with any other insurance carried by or for the benefit of the additional insureds. 3. This insurance applies separately to each insured against whom claim is made or suit is brought except with respect to the company's limits of liability. The inclusion of any person or organization as an insured shall not affect any right which such person or organization would have as a claimant if not so included. 4. With respect the additional insureds. this Insurance shall not be cancelled, or materially reduced In coverage or limits except after thirty (30) days written notice has been given to the City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701. (Completion oftho following, iocludiny countersignature, is +squired to make this endorsement effective.) Effective 09128i2019 . this endorsement form part of policy # PHPK1824618 Issued to (Name Insured) ChariLable Ventures of Orange C.:outity Countersigned by ,Mrdrfp;13uruu m M 25A-216 EXHIBIT 3 Workforce Innovation & Opportunity Act Youth Program Provider Orange County Conservation Corps 2019-2020 EXHIBIT A 25A-217 EXHIBIT 3 AGRE110*1ENT UNDER THE WO)t1fI+ORC1; LNNTO17ATION AND OPPORTUNITY ACT THIS SLBAWARD AGREEI!IB,NT, made and entered into this 1" day ofluly, 2019, by and between tho City ol'Santa Arm, a charter city and municipal corporation drily organved and existing w-lder die Cortstkutum and laws ofthe Stato ofCalifbmia ("C17IY"J and Oran a Cmnh•ConserrutionCn s; a noo- prolit corporation idendkd bytho assigned barn UniimrsalNutnbering System(DUNS) Number 835566431 ("SIMRNCIPIENT"). RECITALS: A. CITY has been designated a Local Work[bTce l)ev&prncnt Area (LtiFDA) under the Workforce Innovation and Opportunity Act of 2014, Public; T,aw I-113-128 ("&u Act'), Catalog of Federal Domcsts Assistance (CFDA) Number 17.259 and Federal Award Idcniilicatitm Number (FAIN) AA253421455A6. B. The State of CalU)mia has created the L%T)A fo administer the Act programs operalLd by the State ofCaffirnia pursuant to the Act. C. As a LNIVDA, CITY is entitled to receive federal funds to establish programs to increase the employment, retcnion and earnings ofParticipartls, arvt increase occupational skills attaiatnent by Participants, and as a result; tarpmve the quality of the worlefaee, reduce weEkrc cicpcudetx , and enhance the productivity and competitiveness oftbe nation ("said program'). D. SUBRECIPWNT is.ceperiLmed in operadug workforco development programs for at -risk youth that provide preparation Sox socondary and post -secondary educatwn, occuTat anal training, aiul emp1oy1=mt. skills 1br entry into the labor market. F. SUBRKC:IPIENT is wlllnl.- to operate said pmgrarn pmruant to the Act and Cammt alavv- WHEREFORE. 1br and ui consideration oftlx: respective axd mutual covenants and promises hereinttfter contained and mado, and subject to all the term; and conditions lterco4 tL- parties hereto do herebyagree as IblIows: T. SUBRECIPIENT'S OBLIGATIONS A. SUBRL•CIPIENT agrees to provide the lbIbwing services pursuant to said pmgrmA as tTme specifically set forth in SUBRECIPIFNT'S Program Narrative cordained in "Exhibit A", as required to he responsive to the Federal Funding Accountability and Transparency Act (FFATA) per 2 CFR §200.33 L(a)(1)(bc), and in the Perfimnance hx icators contained in ``N,xlribit B", per 2 CFR §200.331(d) and 2 CFR §200.328, both attached hereto aral by dtis ruk- cu:e incorporated herein. STIBRECIPIE.NTS failure to provzete bait services may be grourula for CITY to rcadjcst the level of payment to SUBRCCIPIEN'T otherwise provided for hurcinalter, Pagc I of 17 25A-218 EXHIBIT 3 B. SUBRECTPIENT ages nr provide benefits to individuals who participate, in the activities and servicos ILaded by this Agrwinent {'Parthipants') in accordance with the standards and rNuinernents set forth in the Act C. SUBRECIPIEVT names to perform the services set forth herein in a professional, trtnely and diligent manner. D. SLBRF.CIPIENT shall provide wages and bcnefils to Participants in accor'dax:e with the stoaklads aLxl regwremexts ofthc Act including Section 181 ofthe Act, h,'. SUBRECIPMNT shall adhere to the Labor Standards described in the Act, including Section 181 ofthe Act. F. SUBRFCIPIENT agrees to comply with the "Complaint Handling Procedures tinder the NVIOA", attached hereto as "Exhibit C" and incorporated heroin as tIKi g h fully sct :brdt in 20 CFR. 658.411. SUBRECIPIENT shall ad -visa Panics ante of their rights to Idle complaints under the Act and the procedures for resohaion of auv complaints. CITY's procedures for handling complaints alleging a vxrlaticn of the Act, regrdatiom, grants, or other agreements raider the Act shall be followed and any decision ofCTFY, the State or die federal government relating to the complaint shag be bWIng and iblbwod by SUBMCIPIEIT. STJBRFC1PIENTS who are employers shall operate a grievance system that incorporates CTTY's procedures fix resoMon of complains relating to the teats and conditions of =Vloymeril; these procedures shall be approved in writing by CITY, G. As a condition of this award of fMMial assistance Lander the Act to SUBRECIPIENT from CITY, SUBRECTMENT assures, with respect to operation of all prooaons or ncthvitics traded vwih hinds proviticd pursuant to the Act, and all aoeements or arrat4 enoxaots to carry- out such pmgroms or activities, drat it will comply fttlly with the nondiscrimination and ngrral opportunity provisions of the Act (Section 188) and am pliance wwilh Equal Eirployrnert Opponunity prnwisions in ExcerrOm Order (CO.) 11246, as anumoded by E.U. L1375 and supplemented by the requirements of 41 CFR Part 60; the Nontraditional hroploymctn for Wu rren Act of 1991; Title VI of the Civil Rights Act or 1964, as amended; section 504 ofthe Rehabilitation Act of 1973, as smonded; the Age Discrimination Act oft 975, as amended; the Americans with Disabilities Act of 1990; =1 w•idr all applicable requucmanls IrMosed by or pursuant to regulations implanicr.mg those laws, includht& but not Funned to, 29 CPR Parts 33 and 37. The United. States, the State ofCaIkI nia and CITY have the tight to seek judicial en&ncement ofa assurance. H. S'UBRECIPIEhIT agrees that m participant(s) Shall commence training prior to the approval of fund ngpursuant to Section 123 oftbe Act SUBRECIPIENT agrees to de,: &rllowing accoun ttt4 monkori ng, auditing, and review requirements: 1. SUBRECIPIL•NT agrees to maintain such records and submit such reports, data and information, on the form and containing suchinlnrmation, at such as CITY may request or rnquue regarding the per&nrmartce of SUliRECIPIENTS sertiices or actnities, costs or other data, including but not limited to, Participants' attendance, payroll records and job duty statcrueniN• Rage 2 of 17 25A-219 EXHIBIT 3 2. SLBRECIPIENT agrees to forward to the Santa Ana [STORK Center Adniniwath'e Office, Sol W. Civic Center Dr., Suite 200, Sania Ana, California 92701 completed NYorkfnrce Innovation and Opportunity Act Application ibran and angtportirg docuar;nts; a complete Workforce Innovation and OpporluETty Act Bnrollment; any subsequent updates; "VoMbtte Inaovatioa and OppornwrtyAct Youth Test Scores fom> Workforce,lnnovathn and Opportunity Act Gx< lbnn 'yon completimnkerminarbn of active mro➢merit of particoant; and the Workforce hvtovalion and Opportunity Act Folmw-Up limn within ld days tuIIowni; 30, 60, 90.180, 270, and 360 days of exit SUBRECTP)ENT agrees In girder inlormationon the State ofCaliti>min's CaUobs database systu m as instructed and requested by the Santa Ana WORK Centers dmihisb anion. 3. CITY, the State of Caflfirnria and the Unhed Stales government amnion tbeir representatives shall have access for purposes of monitoring, auditing and oxatnining of SUBRFC[PIE,NTS activities, perlimnance, books, documcrts, papers, records of SUBRECIPIEN T SUBRKIPICNTs, bookkeepers, accountants, employces anti Parfx:ipants related to this Agreement. Such approles or representatives shall also schedule on -site am koring at their discretion Mockornng activities may ahm include, but are mrt iitnited to, questioning etuployees and Pandvipanp and onLerina any prcmises or onto say site in which any ofthe =,&es or aethirks fl=lcd hereunder are conducted or in whfuli an y ofthe records OFSTIBR'ECIPILVT ate kept (2 CFR §200.330). T\ othi ig herein shalt be construed to require access to anyprh*gcd or confidential information as set forth in ledeal or state law. 4. In the event SUBRECiPTFNT does not make the above -referenced docwnents avalblo within the City of Santa Ana, C.alithrnia, SUBRECTNENT agrees to pay al necessary and reasonable expenses incurred by MY in coMusrting any audit at the location Whcrc said records aiml books ofaccotut are rmainttined. 5. All accoullng records anI evidence pertaining to all costs of SU13RECIPIENT and all docunx:ms related to this Agrounnern shall be kept availdble at the location where SUBRECIMCNT conduc:t;d the prograrm as well as in the County of Orange, for the duration of this AgreemeW anti tba=aa r fin three (3) ycan atlercornpletion of an audit. Records who :h reiate to (a) ccnnplaiuts, claims, administrative proceedings or Ikigration arisingoul oftiie perfomia=e ofthis Agreement, or (b) costs and expeoses ofihis Jkgreurcutto which CITY, the State ofCalilimria or the United States Governtx it take exception, shall he retained beyond lbe three (3) years tatlil resohrtion of disposition of such appeals, l¢isathin clannv, or exceptions. I. Withotd prejudice to any other section of this Agreement, SUBREQVIENT shalt where applicable, maintain the confidential nature of information provided to it concerning l'articiparls un accordance with the reed ireusents of foderal and state law. Notwithstmiding the foregoing, SUBRECIPIENT agrees to submt to CITY, the State of CaMrna andror the United States Government or their representatives, all records requmted for administrative purposes, including audits, exatninatiorts, monitoring and wrik-atitn ofrecords subailted by SUBRECIPIENT, costs incurred and serviocs rendered hereunder. K. SUBRF.CiPIENT agrees to conTlete a monthly Invoice form showing in detail the arrmi nt of money already expended by SUBRECTPIENT hereunder, as this is a cash rcimbmement contact. Accoturting records m uNt be supported by Sutuh source docu=ntatdon as irrwlces, bilis, staremenrs, proof o f Ya�P 3 of 17 25A-220 EXHIBIT 3 payment, such as cancelled chucks, paymment confirmations, sccouumt statements, paid bills, payroll recowN. tiatr and attendance records, and contract and subgrant award doctrmernts (2 CPR §200.101(b)(2)). SUBRECIPTENT agrees to sudnrdc 111e ahovre-stated documents to the WDB Admitvstrative Olke, 801 NV. Chic Center Dr., SuitL 200, Santa Ana, California, 92'701, by the terrh(10th) day ofthc month f allowing the nvrn1h nr which SUBRECTPTENTS services are perlbrmed. SbDuld SUBRECIPIENT liul to deliver said documents to Cff"Y withia thirty (30) days of said deadline, CiTY shall provide SUFMCIPIENT with w- itterr notice of such defciatcy. If said defa:ic-ncry is not corrmted tvitbin thirty (30) days ofnvAig such written notice, CITY shall have the optiun to deabligate S UI3REC1PILNT's funds and cancel this Agreement by gift SUBRECIPIENT ten (10) days wrRtea notice thereof SUBRECIPIENT shallcit ter return to the MY excess revenues over costs or use such excess revenues as program nn ome liar additional training activities atrthorized under the Act L. SLBRECIPIEItTagreestoexpendallfiuxisinaccorciamewithanappleableHeral, state and local laws and rc g ilalion% STJBRT:CTP)h'NT Ao agrees to provide, at SUBRECIPiENTS oven expense, siypfies and other costs of said PROO&W. M. STTBRECIPIENT shall arrange indcpendendy fn• an audit that irichtdes WIOA fiaals received fimn CITY, is accordance suh de Act 2 CFR 200.500. SUBREMPTENT shall submit one original of each required audit report to MY within ilrrcLy (30) days after the date received by SUB.RECIPIENT. Should SU13RECIPIENT fail to comply with these requirements, CITY may, at its optioM withhold payment of fiords, disallow hinds, or suspend additional grunt fiutds• N. SUBRECIPIENT shall not expend funds pursuant to this Agrectncnl to provide services to arty+ participant ordure cost~ ofirdining are paid for by am other person or entity. 0. SUBRECTPTEN'I' shall eornply wilh the provisions of Uniform Guidance 2 CF'lt Part 200 of the U.S. (Alice of Management and Budget (ONIB) and all otlu7 applicable Ednul statutes and executive Orden and tlmeir implementing regtilaiiotts, including regulations at 29 C.FR Pad 97. P. SUBRECIPIENT shall cornp y with the requirements of federal rcgtdations futmd at 29 OFX. Part 93, which provide that no appropriated fun ds Tray be expended by the recipient of ibrlerah contract, grand, loan or cooperative agreement Io pay any person for influencing or attempting to in0ucnee an officer or employee of am agency, member of Crnrgress or an officer or employee of a member ofCongess nr connection wi h awarding of any Federal contract, the makina of any Ucral grantor loan, entering into any cooperative agreement and the extension, rerjewaG as nidracra or modification of any Federal contract, grant' loan or cooperative agreement SUBRECIPaNT shall sign a CcrtificaturnRegardinglcrbbying to that efect in a frnn as set forth in "Forlihit D," attached hereto and by (his reliu'erxe incorporated berek SUBRECIPIENT shall submit said signed Cerfifleation to CITY prior to perfrnning any of its obligations under this Agreermnt and prior to any obligation arishig on the part of CffY to pay any sun n to SIJ13RKIPIENT under the terms and conditions orthts Agreement. Q. SUBRECIPIENT agrees to provide a drat; -free work place and to execute a DW Free Workplace Certification as set lixth in 'Exhibit P" attached hereto and incorporated herein by this m1bronce. Page 4 of 17 25A-221 EXHIBIT 3 R. S UBRFCIPILNT, ii acconiarr;e with the Child SupportCompliance Act, recognizes and acknowledges the importance of ebild and Eunily support obfgations and shall lidly comply wfih allstate and federal laws relating to child and f rnly support enfotcernent, including, but not lin led to: disclosure of jabot irtbn and compliaame with eamit� assigunent orders, as provided in Chapter 8 (wrarrercing with Section 5200) of Part 5 ol'Divisiem 9 of the state family Code; and, to dx; best of its knowledge is 9* comptyuig with the earnings assiguttent orders of all crrpktyees and is providing the mantes of at new employees to the N ew Employee Registry maivained by the Culiftrmia Ftmpl-) memt Development Dep.mmuni (F.DV). S. SUBRECTPTENT agrees to comply with at applicable: provisiom of die Act, and all applicable federal regulations, utolud*. but not limited to; the Code of Federal Regulations, Subtitle A--• Offwe of Management and Budget Guidance tier (rune ami Agreements, as well as all applicable state and looalregulations. T. SIJBRECTPTEN'I' agrees to mmin in compliance with flee Certification Regarding Debarmuml {"Exhibit F ), as required by the regulations itxplemcildw Executive Order 12549, Debarment. and Swpemifrn, (2 CPR Part 180). U. SUHRECMENT agrees to provide priority of services for veterans and e4ble spouses pursuant to 20 CPR Part 1010, and the regulations implementing priority of service for veterans and eligible spouses in Deparhrtmt of Labor job tntining programs under the Jobs 6Dr Veterans Act published at 73 Fed.Reg. 79132 onDeccmbcr 19, 2008. V. SLBRECIPMN—T acknowledges that the official name for the statewide system of providing employment and trainuig tluceugh the W10A partnersttips and various other local pmgrams is "America's Job Center'. To achieve the goals ofthis grant, it is important that the pub& has a grrk:k and easy method to ldetdifr tluit 41e projects or programs they are taking part in are part of die ".America's Job Center". SLBRECIPTENT agrees tt place the America's Job CenWr keno, ih accordance wilh the State of California guidelktes fur such use, on all public materials, soch as statements; press releases, brochures, adverdsonivnls, reports and other documents describing prgje= or programs funded in whole or impartwy 11 4ViOA finds. When the America's Job Center lugs is used, SUBRFCiPTh:NT may accompany it wilt the following statement. "the (Program vane) is a prom parmer of the America's Job Center network". SUBRF.C(RCHNT shall not use the Amcd ca's Job Center loen in any rmnner that would imph that the Stare of Caffmmia endorses a conmraxcialpruduct, service or activity. IL CITVS OBLIGATIONS A. On April 24, 2019, the CITY was swanied a Department of Labor Workforce Tnnovati n and. Opportunity Act youth grant of $785,103.00 for fiscal year 2019-2020, C'.iTY agrees to pay to SUBRE.CIPII;.NT when. if and to the oxient federal finds are received under the provisions of the Act a sum not to exceed S115,000.00 for SUBRECIPMN rS perfonmuce in accordance with the Budget attached hereto as "Exhibit G" and incorporated herein by reference, during the period of this Agtrcimm, Saki stun shall be paid a11cr CITY receives ino{t:es submitted by S1 BRLCIPIENT as provided herenhahove, 1°age 5 of 17 25A-222 EXHIBIT 3 B. Pursuant to 2 CFR §200331(a)(4), the Indirect Cost Rate for the SLBRECIPIEN T's avrard shall be an approved fcdt-rally recog ind 'uaiircet cost rate negotiated between the SUBRECTI'I NT and the Federal government; or, it"'() such rate exists, Other a rate negotiated between the CITY and the SUBRECIPISIv T, or a de rua» nrir, uidirmt cost rate as defined in 2 CPR §200.414(b) I rxiircct (FRA) costs. C. SUBRECIPTENT has the ability to adjust lino item anxnails in the budget with the approval of the Executiw Director, so long as the total Budget amount dogs not itr,:rease. D. CITY agrees to provide for on -site monitoring renews of said program operation at least annually. In addition, monthly desk -top reviews ol'pertinent information will be conditated. E. CITY has the rl& to do-obligftte the fiuxls herctuuier, and take such banding back Rom SU 311FZIPILNT, due to any of the tbllotvnogreasons: (a) lack ofperrunntmce by SUBRECTPJ;'NT; (b) lack of fiscalaccotntabik,ofSUBRECIPTENT, or decrease unavailable $uxia-C. IIL TERM Or, AGREE14IENT A. This Agr ement shall cormrxmce on_July l 2019; and all duties arising under this Agreenent slmll have been perlormrxl by June 30, 2020, The 'Perm ofthis Agreen"d maybe connoted bya writing executed by the City Manager and the City Attorney. SUBRECIPIENT acknowledges and agrees that it must provide follow-up services for one (1) year after the Perm, whetter funded or oat. B. SUBRECTI?1ENT agrees to comply with tho cktsenut procedures dota&d in 2 CFR §200.343, iucMingtho Ulowing: 1. SUBRECIPTEftiT natst subtffi, nn later than ninety (90) calendar days after the end date of the .period of perlbrmanc:e, all fir aucial, perlbrmance, and other reports as required by tre terms and conditions ofthe Federalawani; 2. Unless the CITY aulhorla-s an extension, SUBRECTPTF.NTintstliquidate all obligations incurred under the Federal attrord not letter Ulan ninety (90) cAndar days after the end date ofthe period ofperforinawo as specified in the tents and conditions ofthe Federal award; 3. SUBRECIPIEfvTtrntstpromptly reliatdany balances oftunbleAtedcash that the CITY paid in ads^uric or paid aril that i, not authorized to be retained by S LBRECIPIEhTT for use in otherprojccts (See OM13 Circular A-129 and 2 CFR §200.345). 4. SUBRECIPaNT Hurst account for arty real and personal property acquired with Federal funds or received ftum the Federal govenunent iaaccordance with 2 CFR §§200.310-200.a" 16 and 200.129; and, 5. The CITY should complete all closecnd actions for the Pcdcral award no later than one year after receipt and acceptance ofall required final reports. Page 6 of 17 25A-223 EXHIBIT 3 M I DEPENDENT CONTRACTOR Coinultant shall. during the entire term oftlis Agc mmi, be coustrued to be uniadependoil contractor and not anemployce of the City. This Agreement is not intended nor shallit be ccoustrucl in create an employer-etttployee rclatinnship a joint voatrae relationship, or to allow the City to exercise discretion or control over the professional manner in whEb Cousultartt perfartns the set-Oces which are the subject matter of this Agn=riu; however, the services to he protadcd by C:onsttltant shall be provided in a manlier consistmit with d applicably standards and regulations govcnritg such sen4ccs. Consultant shall pay all salaries and wa,ocs, catpksyei's social security taxes, one iploprtent nsuramo and similar taxes relating to employees and slrtIlbe responsihle for all applicable witiihokiing Axes. V. AVORIOM'S COMPEN SATION AND EitIPLOYER-S RIGIITS A. SUBRECIPTENI' shall use appropriate liaxis received tom CITY to provide worker8 conPensntioutoallthosehiredbySUBRTCTPIENTuriderthisAgreement. B. SUBRECTPIENT shall have the iWit to hire, dismiss, or promote its ompl vees or contract personnel hind under this Agreement so long as its biting or dismissal poly or standard does not Violato Title VIT of the Civil Rights Act of 1964, Pair Labor Standards Act of 1938, or any other applicable low, and SUBREC1PIENT rmintains ksolfas an Equal Opportunity employer. VT, APPLICABLE GUIDUINES A. The putntles hereto agroe that S1JHREC2MgT shall comply wilt all applicable federal aad ante laws and regulations, uichrctitg, but tart lk ted to the Perihmnance lti&ators (Exhibit B) and generalprolnum requiremonts descnlied in Sectioru 2 and 116 of the Act, and applicable regulations, and the U.S, Depatuttent of Labor grddeline5 and mgedations, including antendtnents or rovisions viadc doming the tcmr, of this Agreemmrt. Said applicable lows are bereby ix:orltorated by rokrence and made part of this Agrmnrenl as though fully set Ibtth herein. B. STBRECIPIENT also asstucs and certifies that: I. SUBRECIPIENT acknowledges and confimts that the U.S. Deparfatcnt of Tabor has established sec (6) perfemr moe indicators for youth (a) Percent of Participants who are in educationlraining activities, or in unsubsidimd employutent dtrrbg the 2: 1 qututor alter exit; (b) Pement of Participants who are Tn cducati )Ma tigg, or at uareubsidized cnVk)yntetrt during the 4i° quarter alter exit. (c) the rtt;:dian earnhigs ofParlicipants in unsubsidired employment during the 2°d quarter after a dt; (d) Pement of Partcipants who obtain recognized postsecondary crcdcntitiI or, secondary dgtbma during panitation or svihir i year alter exi:; (e) Percent of Partn:goants who, during the program, are in education or training that leads to a recognized postsecondary credential or ctiiploy ne t1 and who are achieving rucasutable skill gaits; and, (f) efkctivo in serving employers. SU$RECIPIENT agrees to itytlemeot ad shall meet arty additional PaSu 7 of 17 25A-224 EXHIBIT 3 performance indkatots that may be subsequently regLdred by the Worlclbicc Immvatkm and OpportunilvAet or by any other Fed=L State, and local law. 2, SUBRECIPIENT shall comply with Title VIi of Ute Civil Rigltts Act of 1964 (P.L. 63-354) and in t=oida c: with Title 'V'Ii of the Act, requiring that no person shall, on thc: U rnaads of race, cokrr, religion, sex, ago, handicap or national origin be exckded from participation in, be denied the benefls of or be oftmiso subjected to discrimination umler this Agreement 3. SUBRECIPIENT shall comply with any and Lill federal laws limiting the political activity of employees hiLcd under this .Agreement. 4. SITB'REC'.IPILrNT shall comply with the requircateas that no progrma Lander the Act shall involve political activities. 5. RECORD INSPECTION. SUBRECIPTFNI: shall provide the U.S. Dcparannein of Labor and the Controller General, by and through any authorized representative, as well as the NUB Adnrinisuatim Office, access to and the right to examine all records, books, papers or docurnents relating to Uw accounting and use of fiords under this AgLeeLnent for a three-year period from and after the ellbative date of this Agrocm:m 6. No person with responsbilities iu the operation of any programund cr the Act shall discriminate with respect to any program putkc: )ant or any application lbrpartiui athn in such program because ofrace, croed, mlor, national orig L sex, political of Unflon or beliefs. 7. SUBREC:'IPIENTshallmaintain appropriaLexomdurdsfor bealthand safetyin work and training sitnaations. 8. SUBRECIPiENT shrill. comply with general provisions, MNLIndrA S, anti execute the AssLnances and Cortiticalions attached hereto as 'Exhibit fi" and incorporated herein. 9. EQUAI. OPPORTUNITY. .Any literature distributed by SUR 1.ECIP1LNT fer the purpose of apprising businesses, Participants, or the general public of its pugarm under this Agreemena shall state ilat its programs are supported by the C hi'ofSanta Ana and the Santa Ana VVorklnme hnestmcnt Board; and shall state that Vic program is an "equal opportunity emptoyerlprog anr' and that "auxiliary aids and services are available upon request to hdividuals vLiUn disabilities." 10. Based on the population cligtblL to b e served, or likely to be directly affected by the WIOA program or activity, ilne services or infomaation uxny need to be provided in a language other than English in order to allow sta;li population to be eflectiveh• informed about or able to participate in the pnggram or activity. Pursuant to 29 CPR 37.35, SLBRECiPIENT must take. reasonable steps to provide seni,es and information in appropriate languages alter considering the scope of due ptogramor activity, and tl�c size and concc]tration ofthe population that needs services or information in a Fdrig Lage other than English. Page g of 17 25A-225 EXHIBIT 3 11, SUBRECIPI= certifies that allproperty, finishedoruntihsheddocwnents, data, stWW and reports prepared or purchased under this Agreement, w71h be disposed Orin accordance with the direction of the CITY. In addition, any tools andlor equipment itnrishcd to the SUBRECIPIENT by the COY and;'or purchased by die SUBRECTPiFN1' wah futxis pursuant to this Agrocn,ent, will he limited to use within the activates outl and in this agreement and will renram die property of the Tlnited Statas Government and.. -"or CITY. Upon termination of this Agreement, SUBRECTPTENT will iunnediately return such tools andlor equipment to the MY or dispose of them in accordance with the direction of the CITY. 12. SUBRECTPTFNI' certifies that this Agreement does not pi-mide fibr the adrancernortt or aid to any religious sect, church or creed, or sectarian purpose, nor does it help to support or sustain any school, college, uni ,ersay, ilospilnl or odder nrtitution controlled by auy religious creed, ehiach, or sectarian de000nination_ as specified by Attt-k XW, Section 5, of the Constitution of the State ot'Califomia, regarding separation of church and state. 13. PATENT, COPYRIGHTS AND RIGHTS N :DATA. Tlx: SUBRLCIPIENT will disclose to the CITY any invention, written product, or couyntter program developed, or data assembled, as a result ofperformance of work tauter this Agreenent, within seventy-fiaur (74) days of rwcntoq devekrpme t or assembly. The CITY, State ofCalifonria, and U.S, Department ofLabor m9have the right to paten any irarntion and copyright any vtrihen product or computer program or data generated by SL-BRECTPTENT. Upon written regwst, SUBRECTPI17iT will transt8r all pertinent ingn— rttion, specific:at ons and right, title and interest to the designated agency, 14. INVENTIONS, PATENTS AND COPYRIGHTS. A. Reporting procedure, if any project produces patcnuNo items, patent rights, processes, or iuvmtbm H the course of work Linder a U.S. Department of Labor (DOL) grant or agreenient, the SUBRLCIP]ENT shall report the fitct promptly and fully, to the CITi'. The CTTY shall report the fact to the Grant Oacr, at the DOL. Unless there is a prior aerccnxnn between the CITY and the DOL and its representative on these natters, the DOL shall determine vvbeether uo seek protection on the invention or discovery. The DOT: and ib represenrati,o shall deiennine ]tow the rightsh the invention or discovery, nu hufnrg rights under any patent issued thereon, will be allocated and administered in order to protect the public interest consistent with the "Govcrrm-mural Patent Policy" (President's Memorandtun for Heads of Executive Depararteas and Apaeies, August 23, 1971, and Statertient of Goverarned Patent policy as printed in 36 PR 16889). B. Copyright Policy. 1. Unless otherwise provided in the terms of the gfiant or agreement, when copyright -able material is developed h the course of or under a DOL Crrmt or agreerent, the author and the CITY wldc:h devaloped the work is free to copyrighrt material or to permit others to do so. The SUBRECIPIENT and the WorMbroe Development Board (1VDB) s&•tll have a royalty -free, nonexclusive and irrevocable iuerse to reproduce, publish, use and to authorim odors to use all copyrighted material 2. The DOL reserves a royalty -free, macxclusive, and ka icable license to reproduce, publish or othc utise use, and to autluvbe others to use, for Federal Goverment proposes: (a) The copyright Page 9 o=17 25A-226 EXHIBIT 3 in any work devok)ped under any gram; sub-gratrt, or contract order a grant or subgrant; (b) kiy right of copyright to which a 0antee, subgrantee or a SUBRECIPIL• -T purchases ownership with grant support; and, (e) SUBRECIPiENT shrill comply wuh due requirements of29 CFR Part 97.34, C. Rights to l)nta. '.fhe DOL and the CiTY shall have u flira ted riols, to any data first procured or defa-ercd under this Agreement. 15. CLEAN AiR i 01—AN WATER ACT, if the grant bcrtrraxder exceeds $100,000: Sl.-BREC1PlENT mist comply with Seation 306 of the Clean Air Act [(42 USC 1875(h)]; Sectim 509 of the Clean Water Act (33 USC 1368); Exectaive Order 11738 wai EmurnmtentelProteclion Agency (" 1:PA") regulations (40 QiR Part 35) as any may now exist or lie hereafter antencled. LSnler these Jaws and r aulations, the SL?HIIECIPIE T assures that: (a) ;No fnoility w bo utilized in the perfomietuse of the proposed grant has been listed on the EPA List ofVRilating Facilities; (b) It will notify CITY prior to award ofthe receipt ofany coninwnicutiou from the Director, Ofln;e of Federal Activities, U.S. EPA, itxlicatittg that a facility to be milized Bar die grant is tattler considerathn to be listed on the EPA fist of'VirolavngFacilRies; aril. (c) It will notify the CITY arxi the EPA about any known viniation of the above laws and regelaticons. 16. SUBRECIPiEi T agrees to adhere to the following STANDARDS OF CONDUCT: a. Cieneml Assurance. Every reasonable course of action will betaken by SUBREVIPMT in order to maintain the integrity of this expenditure of publl> lintds and to avoid lkvoritinn. This Agmetta=1 will be administered in an irrt£rartutl iranncr, liec frnm errors to gaol personal, flnaucial, political gum. Si:31tWIPIENT, $s officers and employees, nradrrrirristering this Agrocm nt, will avoid situations whih ga'e rise to a suggestion that any decision was itilu -L ed by prejudice, bias, special interest or desire fur personal gain b. En&rvrrxm of Former Slate or CITY Dmlovees. SUBRHCIPIENT will crnwe that any oPns u>nvloyees who were formerly =Vlryed by the Statc of Calif,mia or CITY, is a poskitm that could have enabled such individuals to in pacipoliey regarding or iatplemerdation ofprograttts covered by this Agrtrcnulnt will nor he assigned to any part or phase ofths actnnies conductedpursuant to this Agreement for a period of mt less than two (2) years following the terminaton ofmch employment. C. Condueft Business Involvira Relatives. No relative by blond, adoption or marriage of any executive or employee of SUBRECIPIENT will receive favorable trealmert when considered for erarillinent in programs proided by, or employment with, SUBRECIP1EN7. d. Conducting Business Involyfna Close Persorml Friends and Associates. Executne4 and employees of SUBRECiPMNT vrilt be parriularly aware of the vn}ing degrees of imbome that can be exerted by Pagc IDof 17 25A-227 EXHIBIT 3 personal fh=ls and associates and, ar administering this Agreemert, will exercise due diligence to avoid situations whU giNr rifle to an asscrtienr that favorable treatment is being granted to iHen da and associates. Wheat R is in the public interest for SUBREC111ENT to cutxlra:t business with a the d, or associate ol'an cxcenrtive. or employee of SEBRECTTEVY, an elected oil dial in the area or a voting or nou-voting member of 0te V,rorkforce Itmeshruont Board (W B.), a pcmxinent record ofthe ft=action will be retained. c. Avoidance of Conflict of Economic Taterest. No oxecutive or empinycc of SLBRECIYIENT elected ollic:i tl ni the area, or voting or ram-votia- member of a NyDH, wd solicit or accept money or anv othor consideration from a third perion, for the porlinitHnce of an act rcinnbtrsed in whole or pari by SUBRECTIMINT or CITY. Srgrpites, materials, equgnnent or services purnlatsed wvith Abn'eemcnt fircafs will be used sold, for pcuposes asserted or allowed tinder this Agreement. No voting member of the W'l7B will cast a vote on the prosisiou of services or vote on any matter which would provide direct lurancial benefit to that member or any business or organinition which the morriber direct, represents. f, Satan• and Bomrs Lnnitutions. M Subrecipients of WIOA program fluids are required to comply with federal requirenents regarding the Eultations on salary and bonus payrneuM in accordance with public Law 109-149, Section7013, V. HOLD 1URMLESS A. SUBRECIPIENT shall indeffr* and save harrnkss C1TY. its officers; agents and employces, li'otn drat against any and alddamages to property or irJuries to or death of any person or persons, including property and eruployces or agerrns of CITY, and shall defeard, irx[etn* and save lwnnless CITY, its oliicets, agents aril employees, from anyand allclanns, derrrmtds, sub, actions or proceedings ofatykftrcl or nature, including, but not by way ol'limitatbn, workers' co rrlrensation claims, resulting from or arising out of the negligent acts, errors or omission of SUBRE•CIPIENT, its employees or subcontrrchns, B. SUBRECTPlhNT shall indwmrify and sate harmless CTTY, its oBicers, agents and employees, from an d against any and al damages to property or nrjurs:s to or death ofany poison or persons, including property and engrloyees or agents ofCT1Y, and shalldolimd, indemnifir and savo harmless CITY, its olis;crs, agents and enrgrloyees. from %xl against any and aIl chin,, demands, suits, actions or proceedings therefore, resulting firm or arising out orthe intentional or martian acts of S UBR12CIPIENT, its employous or subcontractors. N.M. I)0 SCRANCY 1. Commercial CreneralLiabjH % SLIBRECIPIENT agrees to obtain and keep in force duff the teen of this Agreement a policy of coml)whensne commercial general Gabil@i insurance inning the state of California, C=, and S UBRECIPEENT against arry liability Rrr accident, iujrry or death arising oil of or in consequence of this Agreement. Such insurance shall be in an arroutu not less Qnan Orte Million Dollars (SI,000,000,00) fox anvitptryto or death ofanypersonor persons in any single accident or occurrence, with $2,000,000 in the aggregate coverage, Said policy of comprehensive general liability insurance shall be endorsed to provide to CITY and to the State ofCaliBanis, Employmcnt Development Department at least Page 17 of IT 25A-228 EXHIBIT 3 thirty (30) daya written notice prior to cancellation; nanx; CiTY, its officers, agents, employees, and vrolutrtccrs, and the State of Calfornia, its niftcers, empbyces, and vohulleers as Additional insured; and slate that such coverage is prurdtry to any other coverage or sell=inswance of the State ofCalifi>mia and CITY (in substantially the form as Exhibit• l , AddUonal instt'txl Eixi(in ement, attached hm-it)), 6overnnxntal entiiies nary Hub aitate a cettiticatc of Nelf-invtirame. 2. Automobile Ublay Coverage. SUBRECIPIENT al,all also obtain and maintain, during the ellCctivu period of this Agreenacal, broad fonn automobile liability coverage with at least S1,000.UUU ]'silt unk;ss roduced by CITY, which applies to both owned-feased and non -owned actomobiles used by SUBRECTPRI;NT employees nr. Participants in perfomranc•,e oftbis Agrccne;nt, or, in the event that CiTY will not utilize such owned/leased autortxtbilcs but intends to require enipkoyees, Participants or other agents to utilse dicir owv automobiles in the petltmrmnce of this Ag eenhent, SURFECIPIENT shall secum and maintain on file fmnu all such cnpkoyees, Patticipaots, or agents as self-certifiration of aurnTaobik insiranCti coverage. Cmvermnental enliCas nay suhstkft a ccrlifcale ofself-insurance. 3. Workers' Compensation Il' SLBRECIPIENT is an "employer", as set forth nr California Labor Code Section 3300 et seq.. or utilizes Participants as `bmployees;' as set ford, in California Labor Code Section 3350 et seq., SUBRECIP]ENT shall obtain and keep in force during the term of this Agreement full Workers' Compensation insuntnce coverage for itt udLi suffered by Parlic:ipants. Said ins 11%n0c POLY shall guararteQ CITY at least thirty (30) days ,izitten notice of cancellation or nnodification SUBRECIPMNT shalt carry medical and accident insurance for those Participants not quaff*-ing m "employees" lbr Worker's Cortglensation Coverage, pursuant to California Labor Code Section 3350. et seq. 4, ticuimncnt: Coverage. SUBREC IPIENT shag purcimso a policy or policies of insurance covering kiss or dattlagc to any and. all Egnipmomi provided to or pucebased by Sj)BREC:IPIE_VT in accordance with this Agroomwit. Said insurance slxill he ur the amount of the Bill replacement value thereof, prnvidnrg protection against the classification of 1fre, extr ilded coverage, vandalism, malicious mischief theft, and special extended perms. Governmental entities inlaysubstitute a ecrtAIL-ito ol'self-insurance. 5. Youth Proteotion. To maintaia a safe cnviron1nen4 fimded youth prooidem that solrvo youth tinder the age of lie will need to provide a Youth Protmticm Policy and proof of Sexual Abuse & Ylok;station insurance coverage of at least $2,0UU,000. Yount providers will be hail responsible Ibr Conitd;ti❑g a background clearance (live -scan) for staff that have direct interaction with yinch:'mticipama that are under the age of 19. G. Proof ofInsuntnce. Certilicales and endorsements roust be submitted and approved by CiTY prior to any work railer ibis Agrccment. SUARECIPIENT understands that CITY will rdake no payments under this AFeenient until the required certificates and endorsements have been approved by CITY. Page 12 or 25A-229 EXHIBIT 3 IY. CORPORATE STATUS All corporate SC:HR�IP1ENTs shall be in good standinu& witbout suspension by the Calili ntia Secretary of State, Frunchse Tax Board or internal Reyerme Service. Any change in corporate status or suspension shall be reportednntiedudely to C.riY. X. ASSIGNABILITY None of the duties of or work to be performed by, S U13RECIPIENT amdcT this Agreement shah be subcontracted or assigtud to any agency, consultant_ or personwithout the prior written consent of CITY. S UBRL•CIPIENT 117Lu,t subunit all aulrcontracts and oUtcr agructn nis tlUIL relate to this Agreement to CITY. SUBRL•CIPIENT acknowledges and agrees that it mart frllow procurement regulations fx Si]BRECIPTENTs (2 CFR §200.317). No subcontract or assignment shall terminate or akv the legal obligation+ of SCk3ItEC1P1ENT pursuant to this Agreement. Xr. LAWS GOVERNING ITUS AGREEMENT In its perlurmance under• this Agreement, SUBRECIPIIENT sban rally comply with the requirerrterts of thr. lblhwiiq , whether or not otherwise referred to is t}tis Agreement: 1. The Act and all applicable federal statutes, regulations, polcies, procedures and duueth03, includnrg but not limited to, 2 C FR 200 and 20 CFR. Pai1rr 651 and 654 2. All applicable State statutes, regulations, pokies, procedures and dieetives; 3. All applicable CITY policies, praeedta+es and dirmthrs; 4. All applicable local ordaaan:es ami requirements, iucWine use pLrr» is and huensbay; 5. Court ordem, applicable to its operation; and, 6. The temts and conditions of this Agreemont. if any of the foreping is enacted, anre ded, or revised, SUBRECIPIEA T w91 comply ailh such or will notify CiTY after enactment or modification that it cannot ao comply. CITY may theroupon tenrinate this Agreement, ifneccssaty. X11. EXCLUSINT6Y AND ANIENDMENT OF AGREEMENT ThisAgreement supersedes arty anal all oUier agreements, either oral or in writing between the parties. hereto t4itlt respect to the employment of SIIBRECIPTENT by CITY, and contains all the covenants Page 13 of Ve 25A-230 EXHIBIT 3 and agreecetrts between the parties with respect to such cinploymcrr. Each party to this Agreernerrr acknowledges that no roprowntations, inducements, promises or agreenx,nis, ormlly or olk ywise, have been made by any party, or Monc acting on bobaYof any party, which are not embodkA herein, and that rrn other agrccmcut or arnondmonl hereto shall be ellbctiw wiles executed in writing and signed by both CTIN mod SUBRECIPIENT. MI. FRAL-D SU13REC.TPTENT shall aranediately mpori to my all instances and facts co t;emiug possible fraud, abuse or criminal activity relating to expenditure or receipt offiln is under this Agreement. XIS'. CONTINGENCYOR FUNDS SUBRECIPTENT acknowledg s that approval of and funtdfrg far this Agreement is continggrit upon State approval, and fords received or obligated from the State ofCalifbrmia to CITY. If such approval of fiords is not forthcoming, or is otherwise limited, CITY shall immediately notify SUBRECIPIENT. Within twenty (20) days of receipt of such notioe, SUBRECIPIENT shall modify or cease operations as directed by CITY and negotiate necessary modification to thus Agreement and./or reimbursement of costs incurred hereunder. XV. TERMINATION A. 111is Agreement may be lenninaled by either party at its sole discretion, tyran fiv (all) days wriiten notice it) the ocher party. Notice shall be deemed send on the date of nrriling� "However, SUBRECTPTENT may rant temdnate this Agreeneent iftuidue hardship will resukto arTparticipant. K In the event SUBRECIPIENT def rahs by failing to fiM al or any of its obli atfons hereunder; CITY may declare a default and termination of this grcn l by writiennotice to SUBRECIPIENT, wbi:h defau h and termination shall be cffDctite on a date stated is tIu. notice whu;h is to be ten less iban k n (10) days after certified mahig or personal senicc of such notice, ratl ss such dcJfuh is cured bclbre Ilre ellective date If temnfinated for cause. CITY shall he relieved of kuther liabilkyor responsi Tdy under this Ageemeni, or as a result of the fennimtim thereof including the paynent ofmowy, exeept fret paynetit for approved expenses itwurred f>r services satisfactorily and tinnely perFrmaed prior to the mailing or st nic:e ofthe entice oftenninaticm, and except ftreimbuasement of anypaymertts made fbr services not subsequently performed in a timely and satisfactory manner, and (2) costs incurred by CITY in obtaining substitute performance. X4T. DISPLTES Except as otherwise pmtided in this Agreemen; any dinputc concerning any question arising tauter this Agreement shill be decided by CITY. Tn such a case Cfl Y shall reduce its decision to writing and Page 14 ur 17 25A-231 EXHIBIT 3 inail or otherwise fluxrish a copy thereof to SUBRECIPIENT. The decision of the City shall be final and corlohrsiw unless wiihirt thirty (30) cnkndar days from the nutiling or delKrery of such copy, CTTY reecives 5om SUBRECIPIENT written request to appeal said decision, Procedures governing the appeal sluill be prescribed by CITY arui:ior the State of Calilbtrtitt in accordance with the Act and all corresponding regulations and ONM ciouodars. I?ead ng final dispoaili n of the appeal, SUBRECIPIENT shall act ui accordance with CITti's decision unless the dispute involves a change order. Xv,11. BRFACII- SANCTIONS If though any cause, SUBRECIPIENT a-kAjtes amp of tltc terms aunt conditions of this Agreetncnt, and/or prior agreemerAs whereby g vit l'wxls were received by SUBRECIPIENT pursuant to this Agrcemag, or if SUBRHCIPIF.N'T rcporh inaccurately or if any Audit Report makes disallowam>es, SLBRECIPIENT shall piomptly rntucdy ki acts or omissions and-lor repay CITY all armurms due C= as a rosult of SUBRECIPIF.NTs violation. For arty such f fflures or vaolatiom, CTTY shall also havo the right at its sole discretion to either: (L) discontinue pro,$ m support until such tone as SC-BRECIPI1ENT HEW its obligttitma or remedies all violations of this Agreeruent or prior agreements; alxiror (2) collect euthwrtdka atrunmts as determirrcd by CITY due MY by offsetting or debiting imn current claims or irnvioes, if after thirty (30) days` written notice SUBUCIPIENT has ihlkxl to repay same or a repayment schedule has not been [lade. and/or (3) tenmiriate this Agreement by giving written notice to SUBRECIPIENT of such terrminationin accordance the rwtim provision in Paragraph WIT herein below. MIT. NOTICES All notices, reports arch correspondence between the parties hereto respecting this tlgtocment shall be in wrilnig arxi deposited in the United States Mal postage prepaid, addressed as follows: CITY: City ol'Santa Ana Manager, u'DB Admrtristradve 011r;e P.O. Box 1988 (M-76) Santa Ana, CA 92702 CLERIC: Clerk ofthe CilyCouncil City of Santa Ana 20 Cht Center Plaza (--M-30) P.O. Box 1988 Satta Anq CA 92702-1988 Telefacsirule (714) 647-6956 Pan 15 of 17 25A-232 EXHIBIT 3 SUBRECLPiEhfT. Orange County Conservation Corps 1853 N. Raymond Ave., AnahchA CA 92801 Phone: (714) 956-6222 Fax (7L4) 888-0059 Xrx. AIMCER This Agreement. together with the atiaclm=As hereto, expresses the total urulerstatxtia; of the parties. There are no oral underslatatingS of &t parties or temts and cor ditionr other than as stated herein XX. VALIDITY The m-WWhy in whole or in part of any pn>vis-ion ofthis A_weemetrl shall not wid or af%ct the vyaWity of any other provision of this Agreeatumt XXi. MISCELLANEOUS PROVISIONS a. Each unleraigmd represents and wartum's that its signatures hcreinbelow has the power, ant1mrity and right to bind their respectbz parties to each of the terms of this Agree==, and shall Wemmn- CITY full;•, including reasonable cold and attorney's fees, fir any injuries or damages to CITY h fire event that sticb atdhority or power is not, in fact, held by the slawtoryor is withdrawn. b. All Exlubirs referenced herein and attachod hcrclo shall be itiumporated as if!idly set .ibrlh in the body ofthis Agreement. (Signatures nnfollowingpage) Pagc 16 of 17 25A-233 EXHIBIT 3 IN \4'N-NE•SS WHEREOF, the palsies hereto have executed this Agreement the date and.yvar first ahove- wriaen. A'I-I'GST: Norms, Mitre Acting Clcrk orthc Council APPROVED AS TO FORM: Soika R. Carvalho City Attorney By: lit C7. (1d�L' Assistant City .Attorney RECOMMENDED FOR APPROVAL: Steven A. Mendoza Executi a Director Community Development Agency "CITYY" By: Kristine Ridge City Manager "S UBRECI PI ENT" 4;�aBY: 1 J Nance: K. Hu 11 O. Munk Title: Exec` roe Director Tax 11) 9: 33-0563781 'Pale 17 of 17 25A-234 EXHIBIT 3 1. Experience/Qualilieatiuns (1 page max) Located in Anaheim, Califomia, the Orange County Conservation Corps (OCCC) was founded in 1993 as a part of the Analicim anti -gang task force, and serves at -risk youth ages 18-25 years of d throughout Orange County, California. OCCC is a 501 (c) (3) and currently has a team of 11 board members, and 30 full time staff members. Many of OCCC staff are graduates of our program, and continued to give back through leadership and mentor roles. The OCCC mission is: " 20 .serve young, ai-risk adults through employment, training and educational programs that build self-srrf clenq and heneflt the community through ennscri-ation thriven projects. " OCCC headquarters is open'7-5pm Monday through Thursdayand 8-12pm Friday and located off Raymond and Orangethorpe at: 1853 North Raymond Ave., Anaheim CA 92801, with several major public. transportation access points, public parking, and bike locks. OCCC also oilers Corpsmemhtr pick-up points throughout Santa Ana, Anaheim, Buena Park and surrounding areas as needed. Facilities decor highliglrt youth success and youth, entering facilities are greeied by Corpsnicmbcrs in profcasional training positions, within a stato-of-the-art conservation building. Operational facilities and educational programs are located less than I mile away at 1549 Fast Walnut Ave., Fullerton CA 92831, in collaborution with the Orange County Department of Education, College and Career Preparatory Academy (CCPA). CCPA offers high school diploma programs, STF.Vt training coursework, and education services, with 5 full time staff members on site. CCPA school bourn are: Monday through Friday liven 9-6pm. OCCC actively administers the Santa Ana WIOA Youth Programs contract. For the past 13 years OCCC has met and/or exceeded all contract measures, said actively meets all current contract obligations 15vm 2017-18 and follow-up services from 2016-17 Youth. OCCC staff continues to deliver services to a majority of out of school youth througli WIOA contracts year over year, in a long-standing record of service excellence and contract tnanagemenl. Further, OCCC provided youth employment services through the Orange County Workforce De4elopmerrl Board for 6 years, serving over 700 youth, and meeting and/or exceeding full contract expectations. OCCC currently provides contract services for the Orange County Development Board W1OA National Dislocated Worker Grant, WiA National Emergency Clranis (NRCr), serving 62 youth with employment and skills training. OCCC operates an annual budget of$4,.5'11,204 with major funding provided from the State of Calilornia, .Araheim, Santa Ana and OC W10A, North Orange County Public Safety 'Task Force, fees li r service contracts, and various grants to OCCC. In our 251' year of operation, OCCC provides pathways to skill development resources, employment, training, and educational services to Orange County's hardest -to -reach and neediest segment of our young adult population. In these 25 years, OCCC has provided paid jab training program support to over 8,400 npporturnity youth and their families by instilling a strong work eaiic, developing an individual's self-worth, while providing the necessary experience and_job skills to ensure that our young adults become successful candidates in the workforce. No other organization in Change County provides as many hours of paid work expericnco up to 29 hours a week at $12.00 per hour. Last year OCCC paid over 84,000 hours to our Corpsmcmbcrs and over 600,000 hours during the past 5 years. 25A-235 EXHIBIT 3 2. Proposed Program (I page max Youth will enroll in the Orange County Conservation Corps' program. for services in the Ibllow•ing (5) types of measurable skill gains: educational ski11 advancement, occ)Ipatiorral skill training, high school diploma services, individualized paid job training, and pose -secondary educational achievement. Fach youth enrolled wiI] develop an individual service strategy (I SS) in direct, coordination with an OCCC Program Specalisl. The timeline of sendecs 1v911 consist of Lip to 12 months' direct scrvice. Each participant will also be eligible Colt 12-months post exit follow up services. Youth services ure designed to overcome signi licaut barriers not otherwise rnet wvilhin the traditional community assessment ofneetls. OCCC has extensive history serving youth participants with severe barriers. Services include but arc not limited to: recruitment, screening, assessment and linl<ltges, case management, 1SS, orientation, enlvllment, paid job training, certifications, competitive employment, cducatiemd services, supportive services, skill aliainnlew, and service provisions with individualized target outcomes for each participant. Corpsmembers approach the program in 4-phases of leadership devclopmenl. Upon successful completion of comprehensive service goals, youth exporience trantil:onnational personal growth, post -secondary educational gains, and increased wages through competitive canployment. To assist Corpsmcmbers in overcoming the barriers and complete the N&g0A program successfully; the OCCC Case Manager will identify community partnerships and resources which are available and can provide appropriate service to the participant, i.e. Anaheim Housing Authority, Project Kinship (Conviclion Sentence Reduction), Volunteers of.Amenica, Department of Child Support Services. OC Head Start (Child Care), Drug and Alcohol treatment programs; community health care services, Wells Fargo Outreach Team (Financial Literacy), Aimheim R orkforce Center. Cal WORKS, DMV, etc). Support services arc critical to help ensure Corpsrnembers are able to obtain and mauatain employment post -Corp. These include bus passes. gas cards, housing assistance, obildcare assistance and more. The OCCC pro tFun design is comprehensive turd coordinates services for at -risk ; oltlh Qlrou_(rji extensive network or community partners who provide sorvices as in -kind support. • Program Specialist will be responsible for coordinating outside support services with local agencies and community partners • 'Meetings with collaborating agencies will be scheduled monthly ue review and coordinate supped services wit,it parinerhtg agencies • Semi-monthly Program llcpartment meetings will include communtly partner presentations The OCCC's Program Specialist, in coordination with. the W10A participant, arc mentors to our youth. Program Specialist will develop the youth's ISS inclusive of assessment results, work rcadincss evaluation; ONIF.T and counseling and gtudarice. ror personal needs and potential harrier to success. Case managers will review Individual Educational Plans (ILP), help in requesting previous transcripts from high schools, and conduct work readiness pre and post-tests. Corpstnembers receive extensive training in `Green" lecllnologies and projects that address critical state needs, including natural resources and land management, energy and climate programs, emergency response and disaster relief. recycling and land diversion programs, and active transportation development. 25A-236 EXHIBIT 3 3. Population (2 pages max) 87% ol'youth served at OCGG identify as Hispanic or Latin American (91%identify as a minority). 85% of youth served qualiA' for free and reduced lunch, living at or below the IIousing and Urban Development (HUD) Federal Poverty i;evel. Nearly all youth identify as being at risk of becoming homeless and/or experienced homeless. This trend continues in rise, as in 2017-18, 15% of youth entering OCCC programs identified as homeless. Nearly all youth entering programs live with a disability or a significant harrier As purl of this program, 25 youth will be enroll by December 31, 2019. Our program is directed to serve youth ages 18-25. The youth served are primarily high school dropouts (out -of -school youth), who are or have been homeless and/or runaways, have been in foster cure, parenting or pregnant youth, who could have mental or physical challenges, who are court irtvolvecI, on probation, on informal probation, and who have hrcarccrated pareuts. Aside from the NN IOA Youth eligibility requirements, youth do not need any additional requirements. Depending on a youth's barder(s), OCCC may help our youth obtain high school diploma or a copy of their diploma, a letter from the Ibster care system, a birth certificate of their child or children, or a letter from one's heal lh provider stating one's health condition. Otherwise, OCCC does not require any additional documents for enrollment aside Cram the WIOA Youth eligibility requirements. OCCC has successlitlly recruited youth into the Santa Ana W10A program for the pust 12 years. We recently completed 100% enrollment for the 2018-2019 program. OCCC uses a 15-point approach to recruit youth. OCCC has a frill -time recruiter, Brawn Faavua, who is actively- eugaged with our community 40 hours a week.. Further, OCCC: uses several tools specifically targeted to "opportunity" youth, with a priority for out of school youth. '1'hc 15-paint approach is as follows: 1. Collaboration with the Santa Ana WORK center, and Other Orange County one -stop centers. OCCC posts flyers at these locations, and works directly with Evelyn Lenz tO send Out the OCCC recruitment 1..1yer throughout her network of organisations. 2. OCCC is active at.job fairs throughout the year, include.job fairs speciGcully targcled to youth through partnerships with Social Services, OCKET, Orangewood, and work centers. 3. Onsite rccruitmeus with our I.amily Resource Centers. 4. Social media: Fauebook, 'twitter, histagram recruitment postings and engagement. 5. Craigslist and various other career websitejoh postings. 6. Col laberation with the Department of Education, as part of the Career and College Preparatory Academy, in posting OCCC job recruitments throughout the 22 locations, on the Department Of. Education wcbsite, and at the OCCC high school campus. Department of Education teachers and staff also help OCCC in enrolling students in both educational and workfume training programs. 7. Outreach to previous high school dropouts and youth that stopped the enrollment process to re-engaeo in Sol -vices and follow-up care. S. Recruitment partnerships throughout our network of various non -profits organizations; and for-prolif organizations, as we are always hiring youlla. 25A-237 EXHIBIT 3 9. Presentations directly to Youth Guidance Center (YGC), Social Services Agency (SSA), and Health Care Agency (IICA), as well as follow up services with case managers, probation officers, and staff to ensure successful Linkage and collaboration ofeare. 10. Outreach to local high school administrative departments and counselors to successfully tramsition traditional high school students who are becoming dropouts into a continuing educational program such as the on -site charter school, (CCPA) at OCCC. 11.000C recruitment flyer. u'e send it out to all of our community partners to let everyone know we are hiring youth 1825; immediately. 12, We reserve booths at local Swap meets, flea markets and other local business events to recruit youth. 13. Collaboration with the OCRRP in the annual job fair, employment commlttcc, and other ways to establish working partnerships with the community to provide recruitment. 14. Street signs, walk-ins, word of mouth, and siblings of Corpsmcmbers. 15. Customer Service and follow-up services. Customer service is a major part of our recruitment efforts. Wow often work with youth who have experienced significant trauma, experience stigmas, who have been treated poorly by previous employers within the completive employment market. anxiety to a new place is often a major barrier. OCCC wants each person engaged with OCCC to feel comfortable, welcomed and excited to be joining OCCX.. Therefore, we take every extra el'ibrt in making each person entering our facility feel valued. Customer services includes offering a drink and snacks by intake counselors, taking time to explain the process, and to listen to the applicant's experience. Our front desk staff including Corpsmembers in professional training positions, as we understand youth often can relate bolter and Peel more comfortable with youth their own age. We do not leave anything to chance. Ifs. young person can enroll in the program, qualifies and is ail ideal candidate; there is always going to be sigiiilicant barrier(s) duo to their low-income situation. Not only do we encourage follow-up calls, but we also call to check in on youth enrollment status. Our goals is to meet that need by going above and heyond. To meet that person's needs in taking this step forward. This customer service looks di f.Terent for everyone entering* our building, but the idea is that we will meet each person where they are in their personal and professional development. 'these 15-points to recrvitmenthavo successluly allowed OCCC to continue to meet each program's enrollment needs. OCCC successfully complete the past 13 years of carol Iment with the Santa Ana W 10A program by developing th is model. The OCCC team mcots quarterly to further develop this model, as to always seek to expand our services throughout the community. This approach will continue to be the model for enrolling all 25 youth into the Santa Ana WiO.A program by the December 31 ", 2019 deadline. Included in Attachment C is our letter ol'support from Lorri Guy, Program Manager for the North Orange County Continuing Education (NOCE) Workability Program N'OCE collaborates in the care of youth to provide referrals to the OCCC programs. Further, Valerie Rrauks, Orange County Director of Community Services with the Children's BureauoflerS an additional letter of support in referring youth to OCCC programs. 25A-238 EXHIBIT 3 4. Assessment (I page max) OCCC programs explicitly meet the needs of youth with significant barriers including low- incotne barriers, gang involvement, drug use, and domestic violence. Once a Santa Ana resident youth (or homeless youth) enters facilities, the screening, assessment and linkages process takes place with full-time Santa Ana WIOA Program Specialist.ivir. Darin Garcia as follow;: 1. Prospective participant completes and submits the OCCC application. The Program Specialist determines eligi ility for the Santa Ana 4'4'IOA Youth Program. 2. Topics discussed during the assessment process are as follows: eligihiIity requirements Cot program services; what each youth expects upon arrival; an overview of the program mission; expected results,'outennes (employment, obtaining credentials, higher education attainment) and a description of both the youth's and case managers' responsibilities. 3. During the assessment process. the Program Specialist has the opportunity to diseuss important issues in detail and identify youth's individual goals. Program Specialist conducts an interview using an OCCC: 5-page questionnaire (attached in W-aulditicual altaulmients section of RF'P) to assesses over 50-paints upon entry into programs. 4. Once the youth is deemed eligible to be enrolled in the WiOA youth program, registration in CalJobs and selective services 19 verified, Tf youth is not enrolled in Callobs or selective services, Program Specialist assists in registration as necessary. The youth completes an individual Service Strategy (ISS); which allowsthe youth to identify their interests and goals, skills and abilities and personal characteristics. Yount then adnimistered the Test for Adult Basic Education (TAM) pre -test in literacy and numeracy skills. According to the 20 ] 2 Anaheim Youth Services Assessment (he. term "tit risk" is widely used when referring Cu youlh who may be at risk of"lifelong disadvantage".1hc assossment found "youth are att.risk due to a number of challenges that have the potential to keep them itoni achieving success in their linos. Tlie lop lour risk outcomes idtnid lied airougJi this assessment process, including poverty, gang activity, school dropout, and drug use'. OCCC rcenuls and serves to thesebalriers. OCCC is the type ofprogratn needed to help youth overcome these btnTiers. OCCC hies hamcless youth; OCCC: hires youth living in deep poverty; OC:CC is felony -friendly. OCCC Provideb a sate haven from gang activity and gang -pressures OCCC supports youth living Mai severe mental health, disabilities, addiction(s) and abuso, dual diarmosis, and cater conditions; OCCC gridtnit.es youth who have. dropped out. ol'tradirional K- 12 educational tracks. OCCC rekame barriers as potonitat streng(hs. building one's resistance, OCCC supports youth seeking to escape domestic violence. V -1ile OCCC recruitment eflbrtb target all youth of Santa Ana, the majority ol'yauth entering programs continue to live in Santa Ana's lowest income, socio-economically restricted neighborhoods, uithactive gang recruitment, and drug abuse, OCCC recruits and serves youllt with the most significant harriers, meeting or exceeding the out -of -school recruitment numbers every year over the past 13 years I'm the Santa Ana WIOA Youth Program. OCCC stal9fprovide exceptional customer service to complete the assessment and follow up tasks. Stafrgo above and beyond. Supportive services are provided, as needed. Stain transport and pick up youth, as needed. Youth gain trust of OCCC. 25A-239 EXHIBIT 3 5. Paid & Unpaid Work Experience (3 pages max) Corpsmcmbers may remain at the Orange County Conservation Corps for up to two years to "earn ... learn... and serve". This gives them the time necessary to develop the skills to enter the workforce. OCCC's program provides an opportunity for participants to earn a living through paid work experience, learn job shills and further their education, while they serve the public by completing conservation projects and services. Corpsmerbers who determine to work at OCCC work 29 hours per week, Monday through Thursday, and receive additional training, workshops, mcntoring, supportive services and case management upon returning to the campus at 2:301nn. As one of 14 local and state certified conservation corps in Cali Cor tia: OCCC belongs to a State association of local conservation corps designated to previdc services to our at -risk young adults. T7ie year-round paid job -training work oCCorpsmembers help mitigate clnnigring climate impacts through lire fuel reduction, flood protection, water quality, reforestation, habitat restoration; vvodands protection,"mparation, wildlife and native species protection, homeless encampment cleanups, bottle/cau, tire, F.-waste, and oil recycling..All activities support reduction ot'Green House Gas and a to-wor-carbon footprint. Many underrepresented young people in Orange County have little to no access to outdoor experiences. This is especially pervasive in the urban areas wo serve, among communities of color and poverty. The mission at OCCC is to preserve and protect the environment, as well as provide paid job skills training and carrier technical education opportunities for young wren and women who come from some of the states most disenfranchised communities or experience homelessness. C'orpsmernbers participate in programs and projects that address critical state needs, including natural resotaces and land management, energy and climate programs, emergency response and disaster relief., recycling and land diversion prograos, and active transportation development. As part of youth training, Participants have tho option to he placed ut Work L•'xperience Site (WWTX) and On -the -job -training locations through various multi -year partnerships with OCCC. Our community placement partnership sites including the firllnwing sites: Aerofit, Pathways Group, Heavy Equipment College of Cali limria, Associated General Contractors of America -- Apprcndcoship (AGC), Working Wardrober Thri ft shop, PA Commercial Construction, IIeritage lfuscum, Boys & Girls Club of Brea, Yorba Linda & Placentia, Anaheim indcpcndencia FRC, Community Action Partnership, Monkey Business, Walgreen's— (Santa Ana, Anaheim sites), CVS — (Santa Ana, Anaheim sites), Moxie Glum, Smart & Final, G.O.A.1;.S., Costco, llad's Matter Children's Bureau, Crush Studios; Friendly Center, Anaheim Library, Goodwill Industries, Mesa Cold Storage, Orangethorpe Elementary School, and the Southwest Carpentry Union, as nica-sured by the worksite manager. W YA si Les, ofTered year round, also lead to the opportunity for direct hire employment following the completion of the paid job training experience. 'Today, several sites continue to employ previous Corpsmembers in WEX cvho are now Job Coaches, Managers, Ilrivers, TT Specialist, Administration Assistants, IIR Clerks, Warehouse staff, and more within that company. Youth training at W F.X sites complete a site agreement, orientation specifically detailing policies, and transitional assistance into competitive employment. OCCC WRX sites offer paid job training in opportunities that include in -demand industries identified in the Orange County Regional Plan including Manufacturing (Aerotec site), 25A-240 EXHIBIT 3 InCormation Technology (Goodwill Industries), Healthcare (C:hildren's Bur -eau), and Hospital itylentedainment (Marrot). We collaborate with the Marriott International serving all of Orange County, in collaboration wish Ms. Karen Kretschmer, Human Resources Market Tvlanager- Orange County to provide WFX training sites and direct hire within all of the hotels and ollices throughout Orange County. Youth receive (raining in customer service, front dcslt operations, hospitality, and stewardship. Youth then have an opportunity to gain competitive ctnployment fnlloµing their training with theMarriet, as well as the Voyage Global Leadership program, including exposure to specialized training of several functions with our global hotel network. Marriott Hotels includes Four Points, Fairlield, Residence Inn, Towneplacc Suites, and Courtyard. Oorpsmembers also have an opportunity to join paid and volunteer disatster response assignmeM4-j, as needed throughout the County and Suite. F..ach year certain community needs arise. Currently, Corpsmcmbcrs are eornplel.i kg projects in recently burned areas of north Oramge County devastated by several wildfires. These projects help remove. debris and lire fuel, clear and restore habi tat, amd require significant tcamworlt and coordination with the County staff City staff, Crew Supervisors, fellow Corpsmenibers and community members. Other projec(S include building emergency sand hags; removing fire fuel from dangerous areas, and cleaning up homeless camps Cron the San(a Puna Riverbed. Letters of support from the City of Garden Grove's Public Works Facility--l4anager Ron Mcistahn highlighting the effibrts of Cho paid job -training program youth completed, Further Michael .1. Byrne, Senior Management Analyst from the City of irvine's Solid Waste and Recycle Program has provided additional support ofthe OCCC crewvs and paid job -training program. Numerous Corpsmcmbcrs have gone on to work fur City and County Public positions related to cuvirnnrncntal c17orts, public works, and conscnyation technologies. OCCC.' through our on -site partnership 5vith the Orange County Department of Education, College and Career Preparatory Academy (CCPA) provide STEM training directly to Corpsmcmbcrs. Corpsmcmbcrs work in teams or "crews" to develop healthy teamwork skills, healthy communication skills, all apart of the STEM Workplace Skills found to be needed by Orange County companies and entrepreneurs (OCSTEM, 2019). Corpsmcmbcrs arc required to participate in STLM workshop opportunities to prepare students for college readiness, including Common Care life skills, healthy communication skills, and to have the ability to solve problems. CCPA teachers recently completed the following STEM training courses 1n 2018t (1) two day training on the new California Social Science Framew-ork and how the adopted social SGiMCe curriculum coincides with the new framework. (2) half -day training on the adopted English i,uuguage Arts curriculum and its online components. (1) staff were trained in the remedial reading program; MAX Scholar, to mee( the needs of our students to improve literacy skills. (4) three day training on computer use in education. CCPA Principle Dave Conner provided a letler of support hiehlh Ling the partnership with OCCC and CCPA. Each of the 25 OSY completing programs at OCCC, in collaboration with CCPA, is required to meet one-on-one vvith a CCPA instructor to improve skills, with an emphasis on STEM based practices and training. Each OSY receives a laptop computer to complete courscwork, workshops and STEM based skills. C(TA staff enroll OSY students near completion oftheir 25A-241 EXHIBIT 3 high school diploma in community college, with an emphasis "Increase staff and student utilization of technology in instruction and learning as demonstrated by teachers and students incorporating 21 st Century skills of collaboration, communication, probiem-solving, creativity, and character development into assignmen(s" —Dave Conner, CCPA Principle, Orange County Department orF.duoalion, Division of Alternative Education. OCCC recognizes another major hurdle to competitive, employment in Orange County is a driver's license, as nearly 90% of youth entering programs do not have a driver's license. This Challenge is especially pervasive for at -risk youth living in low-income neighborhoods. OCCC is currently developing a 3-year plan to develop urban lbrestry and arboriculture career development in partnership with'Nest Coast Arborists, Orange County Department of Education and the Disneyland R.esorts.'The project involves tree planting and ntnniloring within disadvantaged or severely disadvantaged communities, reduction Of Greenhouse gas, career development and driver's education. if the grunt is awarded through Proposition 61, OCCC plans to provide onsite driver'~ education to all youth needing a driver's license the OCCC campus. OCCC offers multiple on -site collaborations with postsecondary institutions, directed at post- seeondary educational certifications. OCCC collaborated with the North Orange County R eldonaf Consortium for Adult Education (NOCRC:), School of Coulinuing Education, to bring multiple certification programs to the OCCC campus. These courses included basic computer skills certification (Microsoil Word, Excel, Outlook, PowrerPoint), ]Sarly Childhood elasswork, IT Certification and other courses. NOCRC provide an on -site teacher, and cohorts of 12-20 youth completed certification coursework. OCCC also collaborated with Pomona Pairplex and the Water training program to provide on -site Water Technician and [[rater Distribution California State Certification. OCCC hired an state certified instructor to train cohorls ofstudents to pass the Water Distribution 1 (DI) and 2 (132) level testing requirements, as well as the Water Technician 1 (Tl) and 2 ('12) level certification. The program was also supported by the Orange County Community Foundation.'I'hese efRirts led to 21 youth participating in the program, youth gaining meaningful employment within the water treatment industry. Field site visits were also taken to various major water treatment facilities throughout the region. OCCC 01.1'ersmultiple on -site collaborations with pre -apprenticeship programs. Associated General Contractors of America- Apprenticeship (AGC:) completed on -site presentations, workshops, recruitments, and information session at OCCC. Several Corpsmcmbcrs have gone on in complete Journeyman apprenticeships with AGC. OCCC and CCPA have also collaborated with Local 441 International Brotherhood of Electrical Workers, with the most recent recruitment taking place at the OCCC campus on 1.131.12019 at 3; 30pm to all active Corpsmembers (flyer attached to Attachment W). On -sin training for Corpsmembers in the conservation paid job'training also receive hand tool training skills certification, 4-phase leadership development, Workshops, linancial literacy, incentives for multiple achievements, food and snacks, hydration flasks, uniforms, boots and safety training skills. Youth receive extensive training in orientation, as part of their on -boarding to the program. Stat31meet Corpstnembers at the start of their first shill to provide additional support, answer any questions, assist with the time clock, and assist in the assignment of one's Project Supervisor. Santa Ana City Council _Member Jose Solorio provided a letter of support of OCCC 25A-242 EXHIBIT 3 6, Altemative Secandary School Serviceo (3 pages max) The College and Career Preparatory Academy (CCPA) is an affiliate Charter School to the Orange County Department of Edmudon/Altemativc, Community, and Correaloiud Education Sclteols and Services (.ACCESS). CCPA provides an educational program for those 18-25 years u:l' age that have not yet completed a high school diploma. This program serves the targeted population with an independent -study model of instruction that provides the flexibility and support to work and participate in career training programs. CCPA supports its students in a way that focuses on one of the leldslative intents in the Charter Schools Act, wbich is to "increase learning opportunities for all pupils." Through collaboration with a viviety of partners, CCPA's ability to meet the needs of its diverse population is strengthened. The most irnportaut parunerships are those formulated between leachers, students, parents, mentors and the community. The dynamics among these groups are critical to the planning, implementing and design of CCPA. Agency and community partners are vital to the academic said personal progress, and meaningful learning experiences for CCPA students. Those partnerships provide guest speakers, mentors, field hips, career fairs, job shadowing, project -based learning experiences, internships and community service opportunities. CCPA partners with seven agencies through their federally funded workforce programs. Since its inception, it has impacted the lives of more than 600 young adults by giving them the opportunity to complete their high school graduation requirements, developing ail Individualized Education Career Service Plan (iECSP), to connecting them with Workforce innovation and Opportunity Act (WIOA) partners and the Change County Conservation Corps, who assist them in career exploration and guidance, appornunhies for skills training in high demand industries, and leading to a good job along a career pathway or postsecondary education. CCPA opened its doors in the fall of2018 at the OCCC educational campus, sub -leasing the facility. The majority of our students reside in the cities of Anaheim and Santa Ana. The school's ethnicity breakdown consists e f 79 percent ilispanic or Latino, 13 percent white, 2 percent A I'rican-American, 2 percent Asian, 4 percent multi -ethnic, and gcudcr mix is equal. Sixty-seven percent of our students range in age from 18-20 years old! but also 17 percent of our students are age 23 and 25. The percentage of students classified as English learners is 38 percent, as low income is 92 percent. CCPA teachers have received signiticant training within STEM and OC, STEM, and Common Core. CCPA provides workshops, one-on-one weekly mcntoring, and drop -in study times. OCCC students receive a personal laptop rental provided by CCPA. Youth can complete coursework at the campus, with WIFI capacity, or take their laptop computer with them to complete coursevvork at home or throughout the community. CCPA on -site staff includes Principle Dave Conner, who assists day-to-day operations, retention services, and dropout recovery. CCPA and OCCC collaborate to coordinate services in dropout recovery. Staff consistently weekly case management meetings, specifically targeting "holspols" to provide appropriate interventions in reconnecting youth to services. Hotspots are considered someone at risk o Cfalling out of services, experience crisis, or other immediate needs. CCPA and OCCC staff have received significant training in provided support to youth in crisis. OCCC staff have 25A-243 EXHIBIT 3 the ability to go to the OS Y to provided interventions. OCCC staff also call youth, providing mentoring services and counseling support to problem solve issues, provide referrals to address specific needs, as well as provided supportive services to address further barriers. OCC:C staff provide pick up points at various locations throughout Santa Aau, Anaheim and Buena Park to help with transportation barriers. OCCC staff link parenting youth to various childcarcproviders including Orange County Head Start. OCCC supports mental health issues with directly linking youth to the Health Care Agency Rehaviond IIealth Services for intakes and assessments. OCCC: reler. youth to several domestic violence shelters and hotlines to support young men and woman, provide psychoeducation regarding the "Cycle of Violence" and the negative effects ofActlence in the household on early childhood development. Program Specialist for OCCC's Anaheim WBD Grant are led by Ms. Veronica Yepez. Ms. Ycpor own life experiences include domestic violence, low-income hortsing and now she possess the skills to help mentor, guide, and counsel youth to succeed in completing program outcomes. Ms. Ycpcz recently was honored us a guest speaker at the Ruth IIouse of trope and shared her own survival story from domestic violence. Ms. Yepcz has sewed youth at OCCC for 8 years. Ms, Yepez also has a Bachelor's of Science in Accounting. She i s a (alerted and passionate role model for the young adults-, especially those experiencing "hotspots". Ms. Vepez has years of experience in dealing with crisis situations. OCCC and CCPA provide quarterly buck to school celebration events, as all the past students are given speoifie information needed to continue their educational goals. Staff RRC) and often hold icehreaker activities, complete tours and do everything in our power to re-engage youth in educational and employment programs. OCCC; Program Manager Susan Soria often collaborates with local organization., us she recently was able to get the radio station 97.1 to host a back to school event, which was featured on their radio station, and the campus held a friendly staff vs. Corpsmembets basketball game. OCCC holds Youth Advisory monthly meetings'to address improvement of services, increased participation of youth in programs, and innovation within the OCCC. Dropout recovery i s also addressed in these advisory meetings, in which OCCC youth present ways to better improve retention services. OUT have raised funds to host a "prom" night, which Working Wardrobes was able to collaborate in donating drosses for the ladies, and suits 1 br the men. The event provided retention services, providing a lot oCexcitement for tire youth who dropped out of school and were never able to attend their own prom. The event was ultimately a success, and featured in the Orange County Register. The Corps joh readiuess and workforce preparedness (raining incorporates the SCANS Fowidution Skills and the dcvclopmcnt ofell'ective personal qualities: Basic Skills: Corpsmernber:s will became competent in reading, writing, mathematics, speaking and listening. Thinking Skills: Corpsmembers will develop the ability to think creatively, to learn, to reason, to make decisions and to solve programs. Personal Qualities and Leadership Skills: Corpsmembers will develop individual responsihilily, self esteem, self -management, sel l=control, stress management, sociability and integrity throw* i OCCC participation. OCCC collaborates with the local Universities and Colleges to provide intcrnshlp opportunities. Internships include students completing social work hours, organization development, and 25A-244 EXHIBIT 3 counseling psychology. Interns have worked with students in the areas of personal, social- enmotionul counseling, group therapy, and crisis intervention. Interns also work on connecting youth with connecting students with services, as needed. OCCC Corpsmembers are eligible Av AmeriCorps scholarships while completing Crew -based work at OCCC. Youth who complete 300 hours ofpaid joh training receive a post -secondary scholarship I'm $1271. Further youth who complete 450 hours of Crow -based work at OCCC receive $1542 in a post -secondary scholarship. Once enrolled in college, and youth complete their first 3- units, youth receive their I'ull AmeriCorps scholarship award(%), Youth can cam up to (3) AmcriCorps scholarships while working at OCCC, valued at morn than $3700 to start one's post -secondary career. CCI'A hosbi an annual Governance Council Network Conference, which CCPA Principle Tlave Conners hosts more than 60 community business leaders, school site administrators, community college outreach specialist and community leaders to gather in developing education, career preparation, workforco training, employment and SUM based -best practices. OCDE partner agencies are encouraged to network with employers to gain a better understand of what our community needs are today. CCPA youth are referred fur services through this consortium. CCPA and OCCC high school specialize in disability services, including when a Student has an IF.,P. Special accommodations include one on one tutoring and support. OCCC also In the past 5 years, OCCC has graduated nearly 450 yottth with a C:aliforni a high school diploma 25A-245 EXHIBIT 3 7, Preparation for Postsecondary Education and Training (3 pages max) OCCC provides integrated services to "at -risk" or "Opportunity Youth". "Opportunity Youth - sometimes reOerred to as "disconnected youth" - are defined as people between the ages of 16 and 24 who are neither in school nor working. As ol'2015, there are approximately 5.8 million young An 11 in 6 youthj tvlro meet the definition of Opportunity Youth"(13ridgcland and Milano, 2012). further, Substance Abuse and Mental Ilealth Services Administratirni (SAMHSA) found adults under age 24 are the fastest growing segment of people experiencing homelessness, and may be at greater risk of homelessness than any other age group. in 2014, 34% o f peopl a experiencing homelessness were under age 24, according to IIousing and Urban Development (IIL'D, 2012) report. SANISHA further reports Opportunity Youth are "failing to build an economic fnrnrdatiOlr I'ur adult independence'. In these 25 years, O(XX' has provided paid job training program support to over 8,500 Corpsmembers by instilling a strong work ethic, developing an individual's self-worth, while providing the necessary experience andjoh skills to ensure thatouryoung adults become successful candidates in the workforce. Corpsmembers receive an education, learn professional job skills, take critical steps forward to become an employed and self-sufficient adult; an asset within their families, as asset within their community, an asset for all of California. The Santa Ana ZkrIOA Participant will have the opportunity to earn several cettificates of completion and•'or acconrplishmonts such n,; California high school dipinjna!GF-D, Americorps Educational Award(.), Fnrkli 11, Cminsuw, Red Cross CYIz'Firsi Aid, Sale Serve Food handlers, CaNIi),rnia State Guard Card, OSILk-10 hour (cmphasimd for Construction), and otherjob training readiness certification;. Each certification is individualized to advance each Participants progross toivarc[s their rF.P and JS.SP overall goals. The OCCC organizational piuposc is to empower young adults to become self ;oil icienl members of their community. The Corps accomplishes this by Offering activities and organized instruction krrgeted toward the educational, profcs ional, and personal development ofyoutlr- Some of the common and additional mea,ures to be utilized to cvaluato the success of this program will he as Ibllowq! Participants who are unemployed and out of school will hocome enrolled at the Corps and Will Succcssfidly complete the OCCC paid work experience assignment, as measured by the Corps Crew Supervisor's work ledger. The work of OCCC's Corpsmembers help mitigate changing climate impacts through lire fuel reduction, flood protection. water quality, reforestation, habitat restoration, weilands protection reparation, wildlife and native species protection, homeless encampment cleanups, bottle/can, tire, H.-waste, and oil recycling. All activities support redaction of Green house Gas and a lower -carbon footprint. Participants enrolled in the CCPA school will earn their high school diploma and mill successfully co -enroll In post-sewndar'y education as they get close to graduation, as measured by clasm)otn instructors teaching records Participants will successfully acquire "saJl" and "hard" occupational skills training needed to complete their assigned work proiects (i.e. disaster response, habitat 25A-246 EXHIBIT 3 restoration, construction, recycling, conservation projects, trail building), as measured by the W10A Program Specialist and the Corps Crew Supervisor's evaluation records. • Participants will successfully improve Their basic skills wmd improve at least two grade levels on a standardized test, us measured by TABS tests and instructor records. y • Parricipatits will successfully participate in multiple work and educattiooal leadership experiences, as measured by a list ol'guesl s7�eaJ<.ers, workshops, field trips, instructors daily planning, and youth's portiblio. • Participants will successfully apply for androceived scholarships Cor post -secondary instruction, as measured by wbolurship awards, post -secondary enrollment. • Participants will successfully demonstrate leadership skills through vaiiou crew -based. pccrto pact• based, and icam-based activitiest as measured by Cre,.s• Supervisor and Program Specialist evaluation notes. • Participants will successfully comnptctc, college preparation; fiintucitd aidl apprenticeship training, Coticge enmllrriont workshops, as neasured by Program Specialist cvatuatiai notes. Post -secondary educational opportunities/activities which will be offered to `JVIOA participants also include: • Earning credits towards and completing their high school diploma • Earning scholarships i:or post -secondary opportunities • Remedintion of basic skills and individual tutoring in academic subjects needed • Accompanying youth to make personal introduction and/or visits to individual oCfiuesldepartments, community colleges, trade schools, universities • Completing financial aid packages, waivers, grants • Ou-site Social Workers to work with students in the areas orpovsonal, social -emotional counseling which is greatly needed at our school site. As we approach each OSY persorud and professional development from a strength's based individual assessment, OCCC must be able to meet each person w1bere they an in their development. Therefore, we have built an extensive neiwork of partnerships within the Orange County post-soeondary educational ccnnmuuity, as mentioned in previous sections. Our years of experience have Cound that there are hundreds of career pathways that lead to a livable wage. We are often working with high school dropouts, and signi ficanl amount of lime is taken to complete one's high school diploma and graduate. As we get close to graduation, our goal at OCCC is to provide co -concurring enrollment at the cornmutuity college level. Our team helps with every step along [he way to enroll a person in college, including taking tours and completing documents at the campus. PAFSA o ftcn requires parent taxes, or a waiver, which OCCC staff assist OSY in completing the entire process. Then our goal is to graduate high school, enroll in the counseling course at the local community college, pick a career pathway, and begin taking general education classes, earn credits, and find one's personal passion. Follow up services we continue to support youth in completing our first classes, enrolling in additional courscwork, and helping with additional resources, crisis interventions, supportive services, ongoing emotional ntentoring, as well as other follow up services. OCCC have worked in collaboration with the Santa Ana, Fullerton, Cypress, Golden West, Rancho Santiago, and other Community Colleges to support youth in the enrollment or the community college process. We also help youth understand all the specialized training at the 25A-247 EXHIBIT 3 community colleges including programs like. the Nursing programs, FIVAC, Auto -mechanical, and so many other programs, as these are career pathways to a livable wage in Orange County, Another critical tool used at our campus is the benefit ol'an education. These numbors are highlighted at the campus: ''College graduates, on average; earned SG%mom than high school grads in 2015, according to data compiled by the Economic Policy institute. That was up from 51 % in 1999 and is the largest such gap in RPi's figures dating to 1973. Since the Great Recession ended in 2009, college -educated workers have captured most of the new• jobs and on eyed pay gains. ?ton -college grads, by contrast, have Faced dwindling job opportunities and an overall 3% decline in income, EPI's data shows." The OCCC Leadership and Development Team focuses on further skills acquisition. F.'aclx youth completes 4-phases of'dteir development, ranked according to leadership components: work readiness, certifications, high school diploma, attendance rate, disciplinary write-ups, S.M.A.R.T. goal attainment, leaders -hip activities engaged in at OCCC, and performance reviews. L.ach phase is represented by a bolt, orange, green, silver and black. '['earn sports, including basketball and soccer tournaments. all-star games, staff vs. student games, and games against local area Conservation Corps are included in this, "phases process." Youth are encouraged to participate in team activities to bring out the best in their social, emotional, and physical wellness, Annual picnics, holiday party meals_ family Christmas and Thanksgiving meals allow for C'orpstmember appreciation events, recognition for achievement, and phase advancement. The Laguna Canyon Foundation's Executive Director IIallic Jones has provided a letter of intent to continue support including educational training for Corpsmembers in conservation, environmental stewardship, and habitat restoration. OCCC and The Laguna Canyon Foundation complete several extensive traininu programs a year lur youth in programs, followed by hands on training in habitat restoration, trail rostoration, and natural science (erosion, water science, native vs non-native). Josh Volp, Director of Operations, has served OCCC for 19 years. In those years, Josh has nearly seen it all. "Crews" of Corpsmcmbers are assigned to individual Crew Supervisors, and many of due Crew Supervisors were once Corpsmembers. Josh rewards strong work ethic, and alien hires Corpsmembors who show sung leadership, initiative, and drive. Posh takes pride in a job done right, which is the culture within OCCC:. Project Supervisors, who have graduated from the OCCC program and gained competitive employment at OCCL;, olleu provided additional support and training to Corpsmembers because they have 1 ived experience. They provide peer to peer services that allow more compassion; understanding, empathy, and ability Co overcome barriers. Nearly all of the Program Supondsors are previous Corpsmcmbers. This level of peer to peer is a pillar and driving force in the recovery model in supporting people with disabilities, as nearly all Corpsmcmbers entering programs live with a disability. 25A-248 WO"-. IN 8. Tutoring (1 page max) Santa Ana DSY will receive tutoring from The College and Career Preparatory Academy (Cf'PA) on a weekly basis one hour per week with a CCPA Leaelter. OSY and CCPA wilt review the weeks progress in coursework, answer questions, explain topics; pro%.ide. reedback on test scores and results. teach STEM based fundamentals of Common Core, develop a safe and busting relationship, and ultimately lead to completion of each course. Tutoring will improve TADS literacy and numeracy skills from pre to post test. CCPA facilities also have the ability to provide additional support in tutoring through use of software programs. At times, these programs are able to meet certain grade level n unteracy development goals. For example the computer lab has a mathematics program flint provide visual queues rather than word problems to develop basic 4- 5th grade numeracy skills. Further, when accommodations are needed due to Individualized Fduculional Plans (IL.P), CCPA teachers are able to accommodate those needs based on the specific plans in the I Ell. Program Specialist will also provide tuioring services for OSY considered below "basic skills deficient". One-on-onc nuoring is available at both the campus and OCCC headquarters in a private room, conference room, or at the computer labs, based on the OSY preference. Program Specialist also have the ability to tutor youth off -site at a location more preferable to the youth. 25A-249 EXHIBIT 3 9. Mentoring (1 page max) OCCC has provided mentoring services for 25 years. OCCC Program Specialist, OCCC Project Supervisors, all CCYS stall and OCCC adminialrative staff have all taken on mentorship roles. OCCC has built a strong network of community partnerships to address challenges, crisis, and barriers each youth face. OCCC case managers and staff irave helped the most difficult cases, the most challenging, heartbreaking, and tenacious participants at OCCC. We appmuuh each case individually, understanding that life's'struggles will happLn while in the program, yet challenge our youth to give us their best. At OCCC we hold each participant accountable. We seek, and expect the absolute hest out of our youth. We challenge our youth to Cake pride in the work they complete. Homelessness is a signiCeant burden to our youth. We often recognize one's strength of resilience to build on their self-esteem if they are completing a program while living on the streets. It is an incredible accomplishment. To address this need, in 2018 we started partnering with Citynot, in collaboration with the Cily of Anaheim, Mercy Zlouse, and the Heal Ih Care Agency to link our homeless- youth to services. Through the Orange County 211 referral system, a VSPDAT can be completed and we can link them to additional support in the community. We have successfully linked youth to supported housing programs, as well as transitional and emergency housing programs. We rely on due rullcrton and Santa Ana Armory in the cold seasons for emergency shelter. We also re fer to shelters, as a few more have opened in the past b months. We have had housing programs present at all staff meetings as well. Mental health issues and homelessness are often tied closely together. Our staff have received mental health fast aid training, and continue to support youth in connecting: to the Health Clare Agency for mental health services. The health care agency and probation departments also provide referrals to youth in recovery services, as OCCC; is willing to support youth with multiple barriers. OCCC stafThave taken and sat with youth through initial intakes at the mental health clinics, as there can often be significant stigina attached to the initial meeting with a mental health professional. We also bring mental health providers onsile to present and help. OCCC partners with the Department of Child Support Services to assist young men and women with custody issues, child support issues, and other signilicant barriers facing a young adult. Substance ,those is a motor coping strategy among at risk youth. In the past Nve have hosted AA meetings onsile, referred directly to Drug and Alcohol treatment programs, NA meetvigs, and Co-occurring support with the health care ,Agency. Often times youth are in significant denial, not understanding the risk they are in if they continue to use. We provide psychocducatiun using our own lived experiences, as well as the leadership ul'our youth who are in recovery. OC;CC Corpsmember of the Year in 2017 entered the program homeless and drinking dail y. Through his recovery, he was ollen able to speak directly to our youth in crisis about his own recovery. Because youth spend 6-9 hours a day in a healthy program, they o flen become their owu mentors and friends. At times they will also reach out to stafi'to alert when someone may be at risk, and further interventions are provided by OCCC staff Domestic violence and gang violence is another major barrier. We've created a safe haven Ilom that life-style. We offer a large network of community resources. We challenge youth to change. 25A-250 EXHIBIT 3 10.Workshops (2 pages max) We% Fargo Representative Joey IIernandez provides intensive financial literacy thmrtgh our multi -year partuership. Wells Fargo outreach team offers multiple topic -specific workshops (establishing credit; huying your first car; opening a. baulcing acoount, starting your own business, intere4 rotes, overdrall fees). l e offer a financial incentive for opening a ban]: accounr, often inviting several local batiks to the campus to help teach yoa(h the benefrts of a bank account. As we understand at -risk youth are extremely vulnerable To financial predators, over the year; Ni•e have established a deep (rust in our financial partnerships to ensure youth receive concnete information fivm trusted people in financial literacy, and ghat eve have a working relationship for our youth. Workshops are provided on a. montbly and al' times quarterly basis, depcndina on Wells Fargo availahili(y. OCCC teaches the Corps to Career workshop SCricS, including workshops on owaing your own business. If there is one thing that is Blear; youth a.re ex(mmely resourceful. ]zany young adults know how to run their own business, yet lack some of the fundamental skills needed to maintain a healthy business over the years. 'Tire Corps to Career worlcshop on hntrepreneur skill training focuses on the "soft" and "hard" skulls needed to be your ownboss. Corps to Career workshops cycle through a gamut oftopics throughout the series before restarting again. OCCC reiterates the fundamental point that education leads to increased wages. This point starts at orientation, and continues throughout one'; lime at OC'CC in various Corps to Career workshops. (range Cinunty`S livable wage is increasingly going higher and hither into the mid 20's, and there:lore infomration regarding labor markets that pay well above the livable wage, especially the markets within the high demand industries (Construction, bealth care, IT, hospitalityrcntertainntcnt) are emphasized, Appreuticeslip workshops are also given on a quarterly basis. Parenting classes, ftnnily planning, as well as long term financial planning, are a par( of the ongoing partnership with Dad's ivlattcr acith the ClAdren's Bureau. These workshops and scraticc , are available on an on -going basis. OCCC also has a G-series parcuting class with Working AVardrobes, which ends with a fashion show in which al l of the women get to attend, dress up, get their hair done, and be a part ora special event with the coma- miry. This class addresses safe sox, safe relationships, f'arnily ph nring. self esteem, and personal self-worth. lkorker's Rights/Labor Laws arc completed in OCCC.'program orientation; completed every two weeks, for multiple hours per session, including a post-test and copies of one's rights, the laws, xigned ]or both Corpsmembers aid the organization. OCC'C also often has guestworlcshops with various agencies which touch on these topics including Goodwill of Orange Clouniy human Services presentation from Rlwnda Garcia. Rhonda often presents sun HR perspective as well as an omployCrs rights perspective io lea h youth haw to rtpproaCh interactions with Human Resources. OCGC also facilitates monthly guest speakers to present on various topics including health, wellness, careers, colleges, and much more. For example, Planned Parenthood is Scheduled 1'or February to present to the entire youth body regarding health resources. In the past Human Options has completed domestic violence presentations to the entire youth, which have created intense reactions rrom our youth who have experience sexual assaults, domestic violence assault, as well as challenged the culture of abuse within some low. -income communities_ These 25A-251 EXHIBIT 3 workshops ollen fzature healthy options including creating a safety plan, getting help and geidne out of an abusive relationship. 'These workshops are presented on a quarterly rotation, as the organization is available to present. The Corps to Career workshop series goes into significant depth about personal and prol:essional development. Topics covered include attitude, saCaly, commuuicatlwt, hnitiaitive, cooperation, appearance, work quality vs. quantity, Eatendrnce, personal accountability, %York othie, work readiness, leadership skills, disability awareness, volunteering in the community, rosponsibility, career patlaivays, certificadoms, post -secondary education, civic emalgeoxent, colmxnauty. 'Throughout all of these workshops. analytical skills rtt the workplace are presented at various topics. Youtl] are adso encouraged to participate in volunteer opportunities throughout varioa.; OCCC partnerships to fimrthcr their development, and achieve leadership skills as part of the Corps to Career trodol. OCCC also host guest speakers who have significant barriers and disabilities, to provide a cotimrou ground of resilience and hope.'To shove that people in very tough situations can overcome anything, achieve anything they set iiirlh in accomplishing, and motivate our young adults to become leaders of tomoiTow. 25A-252 EXHIBIT 3 11. Civic Engagement or Leadership Development (2 pages max) The OCCC Leadership and Development Team focuses on furthor skill~ acquisition of each Corpsmernber in the program. Every Corpsmembcr starts wil.b an orange belt at Orientation. Euch youth completes d-phases of their dnclopment, ranked according to leadcr hip componcuts: work readiness, certifications, high. school diploma; attendance rate, disciplinary Write-ups, S.M.A.R.T. goal attainment, leadership activities enguged in at OCCC:, and performance revicw-s. Each pbuse is represented by a belt, orange, green, silver and black, with black belt mpresoming the highest level of personal and professional deveopmeut. Social events, team sports, iamily events and participation including basketball and soccer tournamenis, all-star games, staff vs. student games, and trivia games are included in this, "phascs process." Youth are encouraged to participate in team activities to bring out the best in their social, emotional, and physical wollness..Annual picnics, holiday party meals, family Christmas and Thanksgiving meals allow for Corpsmcmber apprecitrtion events, recognition 6or achievement, and phase adwineement. Each phase o I: leadership and dcvolopmenl takes on new challenges. Prograrn Specialist, CCPA teacbing staff, Project -tanagers and Leadership and Ilevelopnnent Program--Llanager all work together to support a ;moth's development through his time at the Corps. The second phase, "Green bolt" includes 3o days of perfect attendance, which is also an incentive gotil, a goad work and performance evaluation, and personal growth & development, tis determined by staff eagaged with the Corpsmcmber. The green belt also requires completion ofnorlcshops. leadership development with your program specialist, and work readiness components. The third phase of the program, the "silver belt" includos an additioiud 30 days of perfect attendance, good Work and perlbmumce evaluation, persorwl growth and development (physical; mcntal, educational), completion of a State Recognized Certification, multiple Corps to Carcer workshops leading to the dovcloptncnt of a personal portfolio, and additional carter and post- secondury workshops. Additional linancial literacy gains, and additional leadership development are also acquired. '1110 final belt, the "Black" belt requires an additional 30 days orperfect attendancc, good work and performance evaluation, personal growth and development (physical, mcntal, educadond), completion orone's personal portfolio and additional competitive employment workshops to prepare for intervieays and competitive employment. All youth participate in rho leadership and development. OCC'C also participates in civic angaIgement. On election clay, and leading up to election day, special efforts are made to educate youth on the civic duties one possess as an adult, informing youth an local and natioiud voting rights; Where to vote, as well as allowing television time to follow the day's election news. All Corpsmembers participate in these election days. Another civic engagement OCCC creates is flying a group of 2-4 Corpsmembers to Sacramento to meet with the other 14 Conservation Corps and tour the State Capital, meet with legislators, compete in educational actiAlies, often meet with the Governor and other legislative leaders and policy advisors shaping California, and allow for dialogue between Corpsniember and one's representative, 25A-253 EXHIBIT 3 12. Supportive Services (I page max) O. Will ,your organization provide supportive services to youth such as gas cards, bus pass, childcure assistance, etc.7 If so, please describe. OCCC provides supportive services to youth, including gas cards, monthly bus passes, housing support, childcure assistance. Supportive Services comply with W.I.A. Regulations: 661.805: support service may only be provided to individuals who are: participating in core, intensive or training services; unable to obtain supportive services through any other programs provided such services. when they are necessary to enable individuals to participate in the WIA program. Supportive services arc available to youth throughout the 12-months in program, as well as the 12-months in follow- up after exit. OCCC has provided supportive services and has extensive history in providing this service with care, accountability, and accuracy. At times very special cases will arise, iu which the Supportive Services processing procedure will be followed- as with all supportive services (Please see attachment G). 25A-254 EXHIBIT 3 13. IneentiveH (I page max) A. Will your organization provide incentives to youth for accomplishing progran benchmarks or personal goals? if so, please describe. B. Include the Incentive Policy as ALUaclnnent II. OCCC provides incentive to youth for accomplishing program beuchmarks or personal goals. Nine total incentives are offered to youth in programs. The following incentives am offered: Perfect Altendance For entire month $50 Driver i.icense Tucentive $50 State Recognized Credential'Certification $50 Placement in Ftnployment $50 Open a Rank Account $50 {limit one account) ParolelProhation Discharge $50 Completion of Work Readiness Cm-rioulumlCan er Exploration.! Corps to Career $50 Post -Secondary Fducatiou S50 Education Program incentive 5100 Any speciPc rules 11or each incentive are included behind attachment H. 25A-255 EXHIBIT 3 14. Fallow -Up Services (3 pages max) Each participant will be eligible for 12-months .post exit lbllowup services. Follow up sorvices include but are not limited to: i,eudership Development, Regular contact with participant's employer addressing work related problems, work related peer Support groups, tracking progress of youth in employment and training, suppurtive service activities, assistance in securing better paying jobs, career development and further education, and adult mentoring. Follow up se vices will be captured by Program Specialist at four time intervals: 90 days into follow up (I" quarter), 180 days into follow up (2"`i quarter), 270 days into follow up (3)"' quarter) and 360 clays into fallow up (4°i quarter). Employer names, j ob title, wages per hour and hours per week will be tracked throughout all 4 quarters of follow up services by the Program Specialist. !Additional comments regarding participant progress will be provided in the file workshcet, and doeunrcnted in individual case notes. Case notes will be captured throughout participants time in the program, as well as follow up services. Incentives, supportive services will be provided during Cllow up services. Program Specialist will continue to maintain excellent rapport with each participant in follow up services, to continue to be able to track and maintain engagement hi the program through the 12 months of follow up services as well as, io update and complete their Individual service plan goals. Program Specialist will meuturparticipants to continue each individual goal attainment. Program Specialist will provided regularly scheduled follow up appointments with the participant to monitor progress. As a -workforce Innovations and Opportunity Act service provider, the OCCC for nearly a decade, has successfully partnered with the Workforce lnvesunent Boards of Orange County, Anaheim and Santa Ana, We have developed comprehensive metrics within individual case management to meet and exceed the strict guidelines and expectations of these reentry contracts. We will use these same metrics and internal reviews to conduct our proj ect evaluation and provide measurable outcomes I'm this project. Youth will continue to be stimulated to attend job retention workshops, career advancement and training opportunities, guest speaker presentations, peer support groups, individual follow up mcotings on a monthly, if not more frequent, time period. If a participant were to still need to obtain per['ormancc goals, Program Specialist will continue to provide excellent customer services, maintain a working relationship, quid continue to mentor and motivate youth to exceed the goals set tbrth within the 188. 25A-256 EXHIBIT 3 15.WI0A Porformance Indicators (3 pages max) OCCC has arigorous 15-point recruitment plan; including full time recruitorl3rown Paavae, to meet Lhe (25) youth enrolled by December Wr, 2019. Once a Santa Ana resident youth (or homeless youth) enters facilities, the screening, assessment and linkages process takes place with Mr. Garcia as follows: I, Prospective ptnticipant completes and subndls the Orange County Conservation Corps online application or walk in application. 2. 1'he Intake/pre-screening process begins. 'the Program Specialist determines eligibility 1 ire the Santa Ana WIOA Youth Program. 3. Topics discussed during the intake process are as follows: eligibility requirements for program services; what each youth expects upon arrival; an overview of the program mission; expected resullsicutcomes (employment, obtaining credentials, higher education attainment) and a description of both the youth's and case managers' responsibilities. 4. During the intake process, the Program Specialist has the opportunity to discuss important issues in detail and identify the youth's goals. Program Specialist conducts an interview using a questionnaire. 5. Once the youth is deemed eligible to be enrolled in the W IOA youth program, registration in CalJohs and selective services is verified. If youth is not enrolled in CaDobs or selective services Program Specialist assists in registration as necessary. G. Program Specialist will then go over eligibility checklist and determine what documents the youth should bring to the next appointment to process enrollinent e.g. parenting youth (children's birth certificate or social security card), disability (TEP/504 plan form), emancipated or Coster youth letter: pregnancy (doctors note), homeless (individual statement, written stuwuient from shelter or social service agency and applicant statement as a last resort), substance abuse (a letter from a drug or alcohol rehabilitation program) and offender (sclf- certification, applicant statement, court documents). 7, Program Specialist provides the youth an orientation information street and list of skills und job duties. g. if youth is a High Schuol drop -out, the Program Spccialisl assists youth in requesting unofficial transcripts. 9. Prograin Specialist meets with youth to process enrollment. 'fhe following (binis are provided to the youth to be signed and completed: Eligibility Checklist, W10A application, pre - application, program overview form, Equal opportunity form, grievance form, Information release authmiration fibrin, program overview I tarn and high poverty index area deLerntinatiort using Census Tracts) , selective service print-out, right to work documents 0D, SSC, Birth Cori, and or/passport), prool' of income (if applicable), applicant statement (if applicable), objective assessment (TARP Test), other cligibilin, Does. 10. The youth completes an Individual Service Strategy (1SS); which allows the youth to identify their interests and goals, skills and abilities and personal ebaructerisfres. The youth completes an objective assessment (MUE test) of literacy and numeracy skills and the OKET, Work Readiness pre -test. 11. Once completed, the Program Specialist provides the eligibility forms to the City of Sanlu Ana for approval. 25A-257 EXHIBIT 3 17. Fiscal Competency (1 page max) OCCC has dedicated accounting software MIP500. timekeeping software NovaTimc3000. and payroll systems M3 to manage our fiscal responsibility. ClientTrack on-line database. internally developed forms and custom databases will track a wide variety ol'prograrn and grant outcomes. 1lrilh multiple revenue streams, (federal. state, and local), the OCCC utilizes l:und accounting; to allocate, capture, and report fiscal data. Rind accounting allows expenses to be tracked and allocated to individual funding sources using; a specific fund account and project code(s) for that fund account. OCCC currently administers several other California Stale, local, private and federal contracts. Contracts include intensive disaster response projects, State recycling projects, County restoration and trail building assignments, and much more. All finances have been overseen by Tony llulmh lbr the past 16 years as Chief Financial Oflicur (CFO). Tony has his Master's degree of Rushiess Administration (MRA), with an e,nphasis in Finance from Pepperdinc University and all WTOA services are directly reported under California's reporting guidelines. Tony has been in lnaneial management within Non-profit. organizations for over 20 years and at the OCCC currently operates an annual budget of $4.6 million dollars. Tn 25 years n( operating, OCCC has outstanding ethical business standing with Federal, Stale, County, and City recordsr with no issues to report. OCCC, having completed over 20 comhined years of contractually comparable services to this proposal, and has the technical experience to fully deliver on another year of services. 25A-259 EXHIBIT 3 ial ORANGE C:OUN'iY toff free: (888) 641-CORP (2677) CON'5ERVATION CORPS .t. f rorn... Lown... Servv.., saww.hlreyoutls.aryl Took in C.7reen tlm l kuurel Orange County Conservation Corps Paid Work Experience Policy Purpose: To establish guidelines for the paid youth work experience of any grant program governed by W10A regulations or alternative funding and to provide youth with meaningful work experience in order to assure the successful completion of our program. Eligibility, • An individual must be WIOA eligible and enroll with Orange County Conservation Corps (OCCC) or eligible for our general enrollment. • An individual must have legal right to work in the United States and be able to furnish proof upon enrollment in the program • As it is with all WIOA services and our general enrollment, provision of services is not an entitlement. Placements; • All participants will start at the current state of California minimum wage (as of January 2018, it is $11.00 per hour) and will be provided paid sick leave. • All participants may be work up to 29 hours per week. • All participants enrolled under the WIOA will have the opportunity to wart at a minimum 6 weeks and not exceed 45 weeks or a maximum of 900 hours. Exception will be made on a case by case basis. • All other participants enrolled in our general program will have up to one year to complete the program. Extension may be requested. • All placements will be made based on the individual interest and plans developed with Case Manager/Program Specialist to support the youth in the career exploration and achievement of their goals. Placements will be available on OCCC crews and worksite partner organizations. Roles and Responsibilities: Case Manager/Program Specialist is responsible for: • Assessing and keeping record of youth's work experience needs and placements. • Inform participant of the OCCC policies and formal procedures. 25A-260 EXHIBIT 3 ORANGE COUNTY CON,SEWAUCIN CORPS • In collaboration with the Placement and Recruitment Specialist and other staff, refer youth to placements. (Attachment A — Worksite Referral Form) • Providing counseling and guidance. • Monitoring worksite compliance of labor laws and compliance with job description duties. (See attachmentAt) Participant is responsible for: • Providing necessary documentation to asses eligibility and maintain legal right to work throughout duration of the program involvement. • Follow OCCC;s procedures and protocols (attachment A2 — Corpsmember Worksite Agreement). Respect and cooperate with supervisor and fellow co-workers. • Perform the very best of his/her abilities. • Report and incidents or accidents to the supervisor and/or Case manager/Program Specialist. Placement and Recruitment Specialist is responsible for: • Managing relationships with worksite representatives. ■ Ensure all proper MOUs and in place and all policies are followed. • Monitor and report all activities of youth at worksites to the case manager. 25A-261 EXHIBIT 3 ORA.NG I_ COU NTY toll free: WON (541-WRP (2377) f,:i')iV51'R�',q"17Ofd C;:C;l3:P; e& ua�m.blraya�chsarg 'ibcds so Gwen th;r':�iiur.,! WIOA Supportive Services Policy and Procedures Effective JUry 1, 2019 Purpose: To establish guidelines for the issuance of supportive services to youth enrolled In a WIOA funded program and are actively engaged in WIOA Title I activities and/or post -exit follow up services. Procedures: ELIGIBILITY: 1. To request and receive support services, a participant must be actively enrolled in one (1) or more of the fourteen (14) required program elements, including during follow-up services. 2. Supportive services will be approved upon verification of enrollment and participation in required program elements, when it is necessary for youth to participate in required program elements, and when the youth is unable to obtain supportive services though any other program or agency. 3. Provision of support services is not an entitlement and it will be determined what supportive services are reasonably required for youth based on individual need, assessment results, and the Individual Service Plan (ISP). AVAILABILITY OF FUNDS AND ASSESSMENT OF NEED: 1. All Support Services not offered through OCCC are processed on a reimbursement basis. 2. Support services are delivered contingent upon availability of funds. 3. Initial assessment of need will be determined by the Program Specialist. The need for services will be recorded on the Individual Service Plan (ISP) and through on -going assessment. 4. Program Specialist is responsible for determining if transportation is a significant barrier to participation in required program elements, and whether or not the youth were unable to obtain services through another program or agency. 5. Supportive services may be provided while a participant is enrolled in one or more of the 14 elements, including when a participant has exited the program and is eligible for follow up services. Supportive services must be determined based upon the individual and must include a reviewlassessment of the participant's need for supportive services to meet goals and clearly documented in the case file. Supportive service obligations and expenditures are to be tracked separately and are subject to the additional policies below. 25A-262 EXHIBIT 3 Wly C:O,VS£a;VAi'ICk!`: C:OEih;r SUPPORT SERVICES PROCESSING 1. Prooram Specialist is responsible for: a. Assessing and recording needed services on the ISP form. b. Informing participant of support service policy and the required documentation needed to justify services. c. Referring participant to other supportive services offered outside of OGCC's program. Describe the method for documenting need and the absence of such services through non-WIOA resources. d. Reviewing and approving most reasonable estimates. e. Keeping a log of all supportive services received by each participant with a running total value. f. Filing copies of receipts for supportive services (when applicable) in the participants' files. g. Collecting and reviewing all invoices/statements for accuracy. h. All value cards shall be tracked with a Master Log. 1. Participant is responsible for: a. Obtaining services that are referred by Program Specialist but not provided through OCCC. b. Turn in appropriate documentation. If a participant fails to turn in appropriate documentation, no supportive services will be provided. c. Any lostlstolenldestroyed prepaid value cards requests need to be submitted with an affidavit from the participant. 2. Program Manager is responsible for: a. Reviewing all Supportive Service Receipts before submittal to the finance department and ensures that no deduction is submitted for an initial issuance to a grant funded participant. b. Program Manager will appoint a custodian who will keep the value cards in a secured storage place and keep a Master Log of all value cards. c. Program Manager will perform inventory of value cards at least on quarterly basis andlor make corrective actions to ensure the policy is followed. 3. Chief Executive Officer is responsible for (when necessary and applicable): a. Reviewing and approving invoices/statements for payment. 4. Fiscal Officer is responsible for: a. Verifying the availability of funds and notifying the Program Specialist and the Program Manager. b. Processing payment and use approved contractor policies. 25A-263 EXHIBIT 3 fJR �h C;F COUNTY ciC.. N"N iUIVATJON [:O'.PS Supportive Services; TRANSPORTATION SERVICES: 1. Bus Passes a. One 30-day bus pass will be issued per month. b. In the event the participant loses a bus pass, the participant will be charged for the cost of the replacement, except at the discretion of the Case Manager and approval from the Program Manager. c. Program Staff are responsible for issuing the bus pass and completing the information necessary on the bus pass log, the bus pass receipt form, and the voluntary deduction agreement form, if applicable. d. Copies of the bus pass receipt and Supportive Services Request Form(and voluntary deduction agreement, if applicable) will be kept in the participant file. 2. Gas Cards a. One gas card will be issued per month. In the event the participant loses the gas card, the participant will not receive a replacement. Other: Exceptions will be made at the discretion of the management. All supportive services under WIOA Supportive Services will be provided at the discretion of the Programs Manager and/or other Executive Staff. Other supportive services in additional to the ones mentioned above will follow the same procedures when applicable. 25A-264 EXHIBIT 3 SeSell � (:tE CS)U IN toll Free: {Gas) 64I-C:QKP (2677) ll J1i1:RV�ta'If,1N C:C)itl:'S �W r:am.,.F,Ami... Suve"' ovwur,ltirerystmth.or I'nol.• to Groin fie f;t!n.e.nl! Incentive Policy Effective July 1, 2019 Purpose: Incentivize youth for attainment of performance indicators and/or key benchmarks toward those outcomes (including but not limited to attainment of employment skills and goals, mastering competency levels, participating in unpaid career exploration activities, etc.). Encourage youth to participate in activities throughout program duration, including post -exit follow up for up to 12-month andlor based on contractuallagreement for obligations/deliverables. Procedures: An incentive is a payment to a participant for the successful achievement of established and measureable goals as a result of program participation. The incentive must be linked to an achievement and must be tied to training and/or education, work readiness skills, and/or occupational skills attainment goal as identified In the Individual Service Plan (ISP) or Incentive Listing. Such achievements must be documented in the participant's file as the basis for an incentive payment. All incentives are awarded in the form of a prepaid card. Incentives may be awarded for, but are not limited to, the following goal accomplishments as a result of program participation: • Attainment of degree or recognized certificate • Placement in employment or education • Significant accomplishment — reference ISP or Incentive Listing OCCC Youth Incentive plan ensures the following: a. All incentive payments must be relevant to the results of the objective assessment of each participant's ISP. b. All incentive details must be specified in the participant's Incentives Log, including the amount that was provided, the funding source used and the participant's acknowledgement of receipt. c. Participant records (ISPICase Notasllneentive Log) and financial records pertaining to incentive payments must be made available for review by local, state, and federal monitors and must most financial management standards including tracking of actual expenditures against budgeted amounts and support for accounting records to 25A-265 EXHIBIT 3 ORANGI! f,.OUNTY C ON'SEI' rION C OMIS ensure proper charging of costs. Incentive Services Processing Program Specialist is responsible for: a. Informing participant of incentive services policy and the required documentation needed to justify services. b. Assessing and recording incentive documentation. C. Keeping a log of all incentives services received by each participant with a running total value. d. Filing copies of proof of attainments of goals for incentive services (when applicable) in the participants' files. e. Collecting and reviewing all documentation for accuracy. f. Submitting the Incentive Request Form for review and approvals. 2. Participant is responsible for: a. Securing proof of incentive attainment to receive an incentive. 3. Finance/Other Staff is responsible for: a. Ensuring a strategic process of establishing incentive plans for the youth participants to support best utilization of incentives based on budget constraints. b. Reviewing and approving all Incentive Requests before submittal to the finance department. 4. Fiscal Officer is responsible for; a. Verifying the availability of funds and notifying the Program Specialist and staff. b. Processing paymenUbilling. Other: Ali incentives are optional and are not required. All incentives will be provided at the discretion of the Program Staff andlor other Executive Staff. 25A-266 EXHIBIT 3 t:)RAN(;t:CX1l.i I'rY toflirec:{tipg)fiAt•(:ORP!t67Y? CtJi 15tdRb �'i iCt� CDRFS ��. Frn�...Lcarn..,5rrvr:--- www.hir'd:yD;rttLllYlj 'fords w Ox-len tho Ful'ure! Incentives Effective July 1, 2019 Attendance Incentive $50 CM must have perfect attendance for both work AND school during an entire month For CM who are In school. CM must have perfect attendance for scheduled work only for CM who is not in school. No absences are allowed (Including excused absences & Leave of Absences). CredentiallCertification Incentive $50 CM must successfully earn a state -recognized credential or certification. Driver License Incentive $50 CM must obtain a Class S or Class C Driver License while enrolled with the OCCC. Placement in Employment Incentive $50 CM must maintain employment and submit proof of employment at time of incentive processing. Post•Seoondary Education $50 CM must submit proof of enrollment and class schedule Open a Bank Account $50 CM must open either a checking or savings account while enrolled at OCCC. Participant must submit proof of new account. CM will not be eligible for existing accounts or opening additional accounts. ParolelProbatlon Discharge Incentive $50 CM must be discharged from probation or parole while enrolled at OCCC Completion of Work Readiness Curriculum/Career Exploration $50 CM must complete all workshops assigned and submit completed checklist Others— Management Discretion $TBD but no more than $50 At the discretion of management, certain accomplishments and attainments not listed above may be given; when it is determined that the participant has made great stride in the program. 25A-267 EXHIBIT 3 ORANGE COUNTY .toll free: (888) 641-CORP (2677) CONSERVATION CORPS ...Learn..Serve... 'to, Earn www.hireyouth,org Toots to GrcKn the Fulure! Purchasing Policy Policy Purpose The purpose of the purchasing policy Is to set standards and guidelines for the procurement of supplies, equipment, or services and to ensure that they are obtained as economically as possible through an open and competitive process, This policy ensures they are managed with'good administrative practices and sound business judgement and in absent of any conflict of interest. It also ensures purchases will meet any special contractual obligations. Policy Scope Purchasing policy covers both small (less than $5,000 for single item) and large (greater than $5,000 per single item). Policy Procedure Small Purchases: • None routine purchases will need to be approved by managers/directors (can be verbal or in writing), • Routine purchases can be executed based on operational steeds including time and effort • Periodic price sampling for small purchase should be done on a minimum annual basis • Ensures compliance with all contracts Large Purchases: • All large purchases in excess of S5,000 for the purchase of a single item will need to have three bids if possible. • Sole source will need to be justified and pre -approved • Bids will be reviewed by the Chief Financial Officer or Chief Executive Officer. • Award must be'specially approved in advance by the, CFO or CEO • Ensures compliance with all contracts Presented to ROD on 01'O u18 ROD Approved on: xxrxx1xx Lfective: OW01117 25A-268 EXHIBIT 3 ORANGE COUNTY toll free: (888) 641-CORP (2677) CONSERVA1]ON CORPS r N'4 Farn... Learn..Scrve... www.hlr6youth.org Tools to Green the Future! Orange County Conservation Corps Procurement Policy Effective 7.1.2016 The OCCC will maintain, follow, and enforce procurement procedures to efficiently 'purchase the equipment, supplies and prepaid cards needed to carry out the daily operations of the.000C, ensure the OCCC is financially secure, operates within approved budget while maintaining a balanced budget: A. Code of Conduct No employee, officer, or agent of OCCC shall participate in the selection or in the award or administration of any procurement if a conflict of interest, real or apparent, would be involved. Such a conflict could arise if the employee, officer, or agent; any member of his/her immediate family; his/her partner; or an organization which employs or is about to employ any of the above has a financial or other interest in the firm selected for award. No officer, employee, or agent of OCCC shall solicit or accept gratuities, favors, or anything of monetary values from contractors, potential contractors, or parties to sub -agreements, except where the financial interest is not substantial or the gift is an unsolicited item of nominal intrinsic value. Any alleged violations of these standards of conduct shall be referred to the Chief Executive Officer. Where violations appear to have occurred, the offending employee, officer or agent shall be subject to disciplinary action, including but not limited to! dismissal or transfer; when violations or infractions appear to be substantial in nature, the matter may be referred to appropriate officials for criminal investigation and possible prosecution. B. Procurement Procedures The officer, employee or agent responsible for procurement of services, supplies, equipment, prepaid cards or construction shall review all proposed procurement actions to avoid the purchase of unnecessary or duplicative items. All services and items will be purchased with consideration of these priorities: 1. Best value 2. Cash -on -hand status 3. Features and quality of the item 4. Willingness to meet billing, delivery, and service needs. 5. Minority or Woman -owned supplier. 6. Ability of vendor to support the Mission of the OCCC. 25A-269 EXHIBIT 3 • 19/'`'q ORANGE COUNTY ® CONSERVATION CORPS Services and items less than $5007 Comparisons of prices, quality, and features can be made by visit, telephone, or by consulting advertisements and catalogues (including the Internet). All purchases must be made within budget guidelines. Written authorization (purchase request approval) and sales receipt confirming payment must be kept on file. ' Services and items Ancludinq prepaid cards) costing less than S500 (routine purchases) a) A designated staff member shall identify two or three vendors Who offer discount or competitively priced supplies. Staff shall routinely "shop" those vendors, looking for the best overall price on each order —though not necessarily on an item -by -item basis. Recommended once each year, the staff shall determine which two or three vendors in the area offer the most competitive prices. b) Nothing in the paragraph above shall prevent staff from taking advantage of tower prices from other vendors whenever better prices are available. c) When possible, staff shall attempt to negotiate discounts for large volume purchases, and should inquire about discounts for paying cash. d) All purchases must be made within budget guidelines. Written authorization and sales receipt confirming payment must be kept on file. Services and items (including prepaid cards) costing more than $500 (infrequent purchases) a) A designated staff member shall obtain written quotes, Interviewing, screening or advertisements from three vendors whenever possible. Notation of the process should be documented. Purchase decisions shall be made on the basis of the most advantageous purchase for OCCC, based on the above priorities. b) Nothing in the paragraph above shall prevent staff from taking advantage of lower prices from other vendors whenever better'prices are available. c) When possible, staff shall attempt to negotiate discounts for large volume purchases, and should inquire about discounts for paying cash. d) All purchases must be made within budget guidelines. Written authorization and sales receipt confirming payment must be kept on file. Sole Source Procurement The use of a sole source supplier is discouraged, and requires authorization of the Chief Financial Officer or Chief Executive Officer.. Requests for sole source procurement must include the reason for the lack of competitive information and justification for the selection. C. Authorization a) Staff Authorization: The Chief Executive Officer may, at his or her discretion, give one or more staff members purchase authority for purchases. b) Funds for all purchases must appear in the current board -approved budget. D. Unauthorized Purchases 25A-270 OVA :1: ORANGE COUNTY, CONSERVATION CORPS The purchase of supplies for personal use is prohibited, as in any purchase made 'without the approval of a.staff member having purchase authority. In addition td being subject to disciplinary action under the personnel policy and any remedies available under the law, an unauthorized purchaser will be held personally liable for the cost of the unauthorized purchase. 25A-271 EXHIBIT 3 YSPN MEMBER PERFORMANCE PLAN 2019-2020 W I OA YOUTH POPULATION k of - 70TALNUMBER OFYOUTH TOBESERVED I 14 14 WIOA ELEMENTS mark a "x" next to 1he elements provided In your X 11. Tutoring, study skills training, dropout prevention XI2. or 3, Paid & unpaid work experience that have academic and occupational components, which may X include: summer employment, pre -apprenticeship, Internships &job -shadowing, or On -the -Job training (20% of funds must be used for this element] 4.Occupational skills training —priority far recognized credentials aligned with sectors In- X demand X S. Education offered concurrently with workforce preparation activities _ X i 6. Leadership development -community service & • peer centered activities _ X . 1. Supportive Services X I B. Adult mentoring X 9. Follow-up services for not less than 12 months afterexit (required) X 110. Comprehensive guidance & counseling drug & x i 22. Entrepreneurial skills training _ X ` 13.Labormar kerInformation-careerawareness and exploration X 14, Activities to help youth prepare for and transition to astsecondaryeducation EXHIBIT B PERFORMANCE MEASURES (Projected Benchmarks subject to change Baseline=BL ) 1, %of Participants who are In education/training, or in unsubsidized employment during the 2"° quarter after exit 2. %of Participants who are in education/training, or in unsubsidlzed employment during the 40 quarter after exit Benchmark; 64% 3. The median earnings or Participants In unsubsidized employment during the 2nd quarter after exit Benchmark: BL• "Pending further Stare and Federal guidance. 4. % of participants who, during the program, are In education or training that leads to a recognized postsecondary credential or employment AND who are achieving measurable skill gains Benchmark: BL* *Pending furtherState and Federal guidance._ S. %af Participants who obtain a recognized postsecondary credential or secondary diploma during participation OR within 1 year after exit In serving employers Benchmark: RV "Pending further State and Federoi guidance. 1 25A-272 EXHIBIT 3 COMPLAINT HANDLING UNDER THE Workforce Innovation Opportunity Act Santa Ana Local Workforce Development Area Revised May 20, 2019 EXHIBPT C 25A-273 EXHIBIT 3 Table of Contents Information Regarding Complaints 3 A. Nondiscrimination and Equal Opportunity Complaints 3 Polioy Statement 3 2. Civil Rights 4 3. Nondiscrimination laws under 4. How to File Your Complaint 5 P. Criminal II. General Procedures for Handling Non -Criminal Violations of the Act 6 III. Procedures for Handling Complaints at the LWDA Level 8 IV. Procedures for Handling Complaints at the State Level 12 V. Procedures for Handling Discrimination Complaints by Participants 15 VI. Procedures for Handling Disability Complaints by Participants 17 GLOSSARY OF WICA TERMS 2D EXHIBIT C 25A-274 EXHIBIT 3 Information Regarding Complaints A. Nondiscrimination and Equal Opportunity Complaints 1. Policy Statement In carrying out the purpose of the Workforce Innovation Opportunity Act (WIOA), the City of Santa Ana Locaf Workforce Development Area (LWDA) will establish programs to prepare youth and unskilled adults for entry into the labor force and to afford job training to those individuals facing serious barriers to employment. Every effort will be made to provide services necessary for eligible individuals to obtain productive employment. In implementing VVIOA, all contractors in the Santa Ana LWDA will faster equal opportunity and non-discrfmination, as provided in State and Federal equal opportunity and non-discrimination laws including, but not limited to: • Title VI of the Civil Rights Act of 1964 • Title VII of the Civil Rights Act of 1904 ■ The Age Discrimination Act of 1975, as amended • Section 503 of the Rehabilitation Act of 1973 • Section 504 of the Rehabilitation Act of 1973 • Title IX of the Education Amendments of 1972 • Section 188 of the Workforce Innovation Opportunity Act of 2D14 In keeping with our commitment, no individual shall be excluded from participation in, denied benefits of, subjected to discrimination under, or denied employment, in the administration or of in connection with any WIOA funded program because of race, color, religion, sex, national origin, age, disability, or political affiliation or belief. Participation in programs and activities financially assisted in whole or in part under WIOA shall be open to citizens and nationals of the United States, lawfully admitted permanent resident aliens, lawfully admitted refugee, parolees. and other individuals authorized by the Attorney General to work in the United States. No individual will be intimidated, threatened, coerced, or discriminated against because of filing a complaint, furnishing Information, or assisting or participating in any manner in an investigation, compliance review, hearing or any other activity related to the administration of WIQA. EXHIBIT C 25A-275 EXHIBIT 3 Administration responsibility for this Equal Opportunity/Affirmative Action (EOIAA) Program is delegated to the Equal Employment Opportunity (EEO) Officer for the Santa Ana local Workforce Development Area. Equal opportunity and non- discrimination, however, will only be achieved through leadership and implementation of a viable Affirmative Action Equal Opportunity Program. 2. Civil Rights No one applying for or enrolled in the Workforce Innovation Opportunity Act (WIOA) programs may be discriminated against because of race, color, creed, disability, national origin, sex, age, political affiliation, or beliefs. This means that -- for any of the characteristics listed above: • You may not be denied the opportunity to enroll in WIOA. • No benefits or services may be denied you fordiscriminatory reasons. • You may not be segregated or treated any differently from other applicants or participants, while you are being registered, interviewed, counseled or tested; or while you are working or attending classes as part of the program. • You must be provided an equal chance to use all facilities available In the program. • Fair employment practices must be provided to all staff with regard to recruiting, hiring, transferring, promotions, training, compensation, benefits, layoff, and termination. You have the right to make a complaint if you feel you have been denied any of the above opportunities. You cannot in any way be penalized for filing a complaint. Your WIOA sponsor has established a mechanism for handling complaints and grievances. Your complaint must be filed within 180 days. All complaints will be handled confidentially. 3. Nondiscrimination Laws under WIOA Title VI of the Civil Rights Act of 1964 Prohibits discrimination on the basis of race, color, national origin, or religion. The Age Discrimination Act of 1975 Prohibits arbitrary discrimination against persons' age 40-70. The Rehabilitation Act of 1973 EXHIBIT C 25A-276 EXHIBIT 3 Prohibits discrimination based on disability. Title IX of the Education Amendments of 1972 Prohibits discrimination in any education or training program or activity receiving federal financial assistance. OTHER CIVIL RIGHTS LAWS: Title VII of the Civil Rights Acts of 1964 Prohibits discrimination in employment based on race, color, religion, sex, or national origin in all terms and conditions of employment and establishes the Equal Employment Opportunity Commission as the administrative agency. Creates the office of Federal Contract Compliance and prohibits discrimination based an race; color, sex, religion, or national origin. Department of Labor Secretary's Order no. 4-73 Prohibits discrimination based an sex. Ea ual Pay Act of 1963 Prohibits pay differential solely because of sex. Emergency Employment Act of 1971 Prohibits discrimination based on race, creed, national origin, political affiliation, or beliefs. 4. How to File Your Complaint a. Put your complaint in writing. b. Have it sworn to before a notary public, if possible. c. Provides details that tell what happened; where it happened and when it happened. d. Give the name and addresses of all persons who were present or who had anything to do with the matter. ...Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief. retaliation and citizenship, must be filed within 180 days of the alleged oocurrence directly with: EXHI BIT C 25A-277 EXHIBIT 3 Director Civil Rights Center U.S. Department of Labor, Room N-4123 200 Constitution Ave., NW Washington, D.C. 20210 Complaints on the basis of disability must be filed within 180 days of the alleged occurrence. These complaints must be filed directly with the WIOA administrative entity. The WIOA administrative entity shall issue a written decision within 30 days of the filing of the complaint. If the complaint is still unresolved, an appeal may be made to the Chief of State Workforce Investment Division Office. The Department of Labor, the Civil Service Commission, the Equal Employment Opportunity Commission, and many other offices and agencies are committed to assuring equal employment opportunities for all persons. They will protect you. A case may be taken to court if the other processes do not yield satisfactory results. You may hire your own lawyer, or if you cannot afford one, the court may appoint one for you. It is unlawful for an employer; union, or employment agency to punish you or any witness for attempting to present the facts in a case. YOUR CIVIL RIGHTS UNDER THE WORKFORCE INNOVATION OPPORTUNITY ACT Santa Ana Local Workforce Development Area 801 W. Civic Center Drive. Suite 200 Santa Ana, CA 92701 (714)565-2600 B. Criminal Complaints In accordance with the WIOA and the implementing code of Federal section 667.600.... Federal handling of criminal complaints and report fraud, abuse and other criminal activity. "All information and complaints involving fraud, abuse or other criminal activity shall be reported directly and Immediately to the City of Santa Ana and the Secretary of Labor." General Procedures for Handling Non -Criminal Violations of the Act The following procedure is promulgated to meet the requirements of Title 20, of the Code of Federal Regulations, Section 186 through 188 of the VVIOA regulations, and Section 181 of the Act (Public Law 105.200: 29 U.S. Code Sec. 2931 et seq.) at the State and LWDA level for the receipt, Investigation, hearing, and resolution of complaints by VNIOA participants, sub EXHIBIT C 25A-278 EXHIBIT 3 recipients, applicants for participation, or financial assistance, labor unions, community based organizations, or any other persons. These procedures provide for resolution of non -criminal complaints arising from the operation of the Santa Ana LWDA. A complaint is defined here as a written expression by a party alleging a violation of the Act, regulations promulgated under the Act, recipient grants, sub agreements, or other specific agreements under the Act, including terms and conditions of employment of such participants in employment training programs. All complaints; amendments and withdrawals shall be in writing. These procedures are intended to resolve matters which concern policies, procedures or action(s) arising in connection with WIQA programs operated by each LWDA grant recipient and sub recipient under the Act. These procedures shall not be construed as affecting any other available legal remedy outside of the WIQA complaint process (i.e., disputes regarding terms and conditions of employment of any employee who is not a participant), either separately or simultaneously, that a person may wish to pursue in the resolution of a non-WIOA complaint. Also, these procedures do not restrict the LWDA grant recipient staff in carrying out Informal discussion Procedures do not restrict the LWDA grant recipient staff in carrying out informal discussion and resolution of any problems outside of and without resort to the formal complaint procedure. A. The following principles and rules apply to all complaints at all steps of the complaint procedures: 1_ All complaints must be made in writing within 180 days of the alleged occurrence, except complaints alleging fraud or criminal activity. 2. All persons filing a complaint shall be free from restraint, coercion, reprisal, or discrimination. Good faith efforts shall be made to informally resolve the complaint prior to the scheduled hearing. Complainants have the right to withdraw their complaints (in writing) at any time prior to the hearing. A complainant may amend his/her complaint to correct technical deficiencies but not to add issues. 3. Complainants shall have the right to be represented at their own expense by person(s) of their choosing at all levels of the complaint process. 4. Upon enrollment Into employment or training, participants shall be provided with a written description of these procedures, including notification of their right to file complaints and instructions for filing. An employer of participants, including private -for -profit employers of participants, may use this or other complaint resolution procedures so long as the participant is informed of the complaint resolution procedure they are to follow and the time frames governing review of complaints are met. EXHIBIT C 25A-279 EXHIBIT 3 A "participant", within the meaning of these procedures, is an individual who receives employment -training services under a program funded by Santa Ana LWDA. The Complaint Resolution Procedures contained herein (or the alternative procedures which an employer may use) shall be available to participants to resolve disputes regarding items and conditions of employment of such participants in employment training programs. However, such procedures shall not be used to resolve disputes regarding terms and conditions of employment of any employee who is not a, participant. as defined herein. 5. If a complaint does not receive a decision at the LWDA grant recipient level within 60 days of filing the complaint or receives an unsatisfactory decision, the complainant then has a right to request a review of the complaint by the Governor. 6. Complainants must initially file and exhaust LWDA grant recipient/hearing procedures prior to appealing to the State except where the State determines that the LWDA grant recipient's procedures are not in compliance with the State's procedures. IIf. Procedures for Handling Complaints at the LWDA Level A. Receipt Complaints Pursuant to the WIOA regulations found at 20 CFR, Section 683.600, the LWDA administrative entities have the responsibility to conduct hearings and resolve complaints made by individuals about the administration of programs in the LWDA. 'LWDA level" encompasses LWDA administrative entity and employers to which the administrative entity has delegated the complaint resolution process. The following comprise the guidelines for resolving issues arising in connection with WIOA programs operated by the Santa Ana LWDA including resolutions of complaints arising from actions, such as audit disallowances or the imposition of sanctions taken by the Governor with respect to audit findings, investigations or monitoring reports. 1. Form and Filing of Compliant Official filing date of the compliant is the date the written complaint is received. The filing of the complaint with the Santa Ana LWDA Equal Employment Opportunity Officer shall be considered as a request for hearing and a decision must be issued within 60 days. The complaint must be in writing and must be signed and dated. The complaint should also contain the following information: a. Full name, telephone number, if any, and mailing address of the complainant; b. Full name, telephone number, and mailing address of the agency involved (respondent); c. Clear and concise statement of facts including dates constituting alleged violation; d. What provisions under the Act, regulations, grant or other agreements under the Act, are believed to have been violated; EXHIBIT C 25A-280 EXHIBIT 3 e. Remedy sought by the complainant; and f. If the complainant is a private or public entity or corporation, and not a natural person; the filing of the complaint must be duly authorized by the governing body of such entity or corporation. The absence of any of the requested information shall not be a basis for dismissing the complaint. A copy of the complaint must be sent to the respondent and both parties notified of the opportunity for an informal resolution. At each step of the complaint process, the complainant must be notified in writing of the next procedural step. 2. Informal Conference Informal conferences will be utilized by the Santa Ana LWDA to resolve complaints; however, such informal conferences shall not extend the time within which a decision must be issued after receipt of a complaint. Attempts at informal resolution will commence with two (2) weeks of the date of filing of the complaint. a. The EEO Officer will review the case and ascertain facts prior to the conference so that appropriate resolution can take place at the time of this meeting whenever possible. b. Although the complainant should be encouraged to attend this conference, his/her failure to do so should not preclude his/her right to request a hearing on the matter. c. If mutually satisfactory resolution results and the Santa Ana LWDA concurs, the EEO Officer will write a brief report for the file stating the issues and resolution. The matter shall then be considered closed. d. If resolution does not result, the complainant shall be provided the necessary information and assistance to request a hearing if he/she so desires. 3. Request for Hearing a. As in the case of the complaint, the request for a hearing should be put in writing and be filed In person or by mall. A governing board resolution of authorization to appeal should also be submitted when appropriate. The request should be filled with: Jennifer Sommers Sr. personnel Analyst — EEO Officer 20 Civic Center Drive, M-24 Santa Ana, CA 92701 (714) 647-5348 EXHIBIT C 25A-281 EXHIBIT 3 b. A hearing will be scheduled by the EEO Officer within thirty (30) days of the date of filing of the complaint. 4. Notice of Hearing Upon receipt of the request for hearing, the complainant and the respondent will be notified in writing of the hearing ten (10) calendar days prior to the date of the hearing. The ten-day notice may be shortened with the written consent of the parties. A decision will be issued by the Santa Ana LWDA within sixty (60) days of the date of filing of the complaint. The hearing notice shall be in writing and contain the following information: a. The date of notice, name of the complainant, and the name of the party against whom the complaint is filed. b. The date, time and place of hearing before an impartial hearing officer. c. A statement(s) of the alleged violation(s) d. Advise as to where information or assistance may be obtained, and the name, address, and telephone number of the Santa Ana LWDA Equal Employment Opportunities (EEO) Officer who can answer inquiries. 13. Conduct of Hearing The hearing shall be conducted in an informal manner with strict rules of evidence not applicable. Unnecessary technicalities should be avoided. It should provide the flexibility to enable adjustment to the circumstances presented. 1. The hearing officer shall have complete independence to obtain facts and make decisions. The hearing officer shall be in a position to render impartial decisions and thus should not be subordinate to the Santa Ana LWDA or its sub recipients. The hearing officer will be selected from a fist of names on file with the EEO Officer. 2. Full regard must be given to the requirements of due process to insure a fair and impartial hearing, 3. The hearing office designated by the EEO Officer to function in a quasi-judicial capacity should begin the hearing by summarizing the record and the issue and should explain the manner in which the hearing will be conducted. making sure that everyone involved understands the proceedings. Such explanations should be adapted to the needs of the specific situation. The hearing officer might take testimony under oath or affirmation to give some assurance of veracity to the hearing. to EXHIBIT C 25A-282 EXHIBIT 3 4. The burden of proof should be reasonable and flexible, dependent upon the circumstances of the case involved. The hearing officer determines the order of proof. Generally, the party making the complaint has the obligation of establishing his or her case and should be examined first. 5. The party involved should have the right to be represented (at their own expense) if he/she so desires. Other he/she is limited to his/her own abilities and those to the hearing officer in obtaining testimony in the case. 6. It is important that the hearing officer obtain the fullest information for the record. If the parties involved, or their representatives, do not know how to ask the right or pertinent questions in pursuing their right to due process, it shall be necessary for the hearing officer to step in to have all the materials and relevant facts elicited. 7. The practice in informal hearings is generally not to apply strict rules of evidence in obtaining facts. However, the quantity of evidence required to support a decision on an issue should be sufficiently credible that the state (or other appropriate agency), upon reviewing the decision, would conclude that the decision is supported by substantial evidence. 8. The hearing officer should attempt to negotiate a resolution of the issue at any time prior to the conclusion of the hearing, 9. Within ten (10) days of the conclusion of the hearing, the hearing officer will issue a recommended decision to the LWDA for final determination. The recommended decision shall be in writing and may be accepted, rejected or modified by the Santa Ana Workforce Development Board. C. Issuance of Decision Within sixty (60) calendar days of filing of the complaint. the Santa Ana LWDA shall issue a written decision to all parties by first class mail. The final decision shall contain the following information: 1. The name of the parties involved. 2. A statement of the alleged violation and issues related to the alleged violation. 3. A statement of the facts. 4. The decision and the reasons for the decision. 5. A statement of corrective action, if any, to be taken. 6. Notice of the right to request, within ten (10) calendar days of receipt of the decision, a review of the decision by the State Review Panel. u EXHIBIT C 25A-283 EXHIBIT 3 D. Record of Hearing An administrative file containing support documents on the complaint resolution process hearing conducted will be retained by the Santa Ana LWDA. The purpose of a record is to serve as substantiation of the process followed by the Santa Ana LWDA on the resolution of the issues and the results. This information would then be available for subsequent review in the event the matter is raised with the State. Such records must be retained for a three- year period after the grant has been officially closed out. The Santa Ana LWDA's written decision will be included in the record. Evidence received at the hearing, notes by the hearing officer, stenographer's notes and tape recordings may also be used. E. Establishment of Complaint Procedures In accordance with Section 683.600, each employing agency including private -for -profit employers of participants under the Act is required to establish a complaint procedure for resolving matters relating to the terms and conditions of employment_ Employers may operate their own grievance system or may utilize the Santa Ana LWIDA's established procedures under Section 683.600. At a minimum these procedures must include: Written notice, upon enrollment into employment training services, of the scope and availability of such procedures. Employer's grievance procedures shall be set forth in a written document and must meet the regulation mandate that a complaint will be resolved with sixty (60) days from the date the complaint was filed. A copy of employer's grievance procedure shall be provided to each participant upon enrollment in employment training. 2. Written notice; at the time the grievance is filed, of the procedures under which the grievance will be processed. 3. Written notification of the disposition of the grievance and a written decision shall be issued within thirty (30) days of the riling of the grievance unless a present and long established grievance specifically provides other limits; and 4. Written notification of the participant's right to request a review of the employer's decision by the Santa Ana LWDA and the State Review Panel in accordance with Section 683.600. IV. Procedures for Handling Complaints at the State Level Section 181 (c) of the Act and the WIOA regulations at 20 CFR. Section 683.600 (d) requires the Governorto establish a State Review process of complaints filed at the LWDA grant recipient level and of complaints initially filed at the State level. Appeals of decisions issued at the LWDA level including audit disallowances and sanctions shall be reviewed by the State Review Panel, The State Review Panel shall review the record v EXHIBIT C 25A-284 WOMM. WIN established at the LWDA level and shall Issue a decision based on the information contained therein. Complaints which may be initially filed at the State level will be heard by an independent hearing officer designated by the State Workforce Investment Division (WID). The hearing officer shall conduct a hearing and issue a recommended decision to the State Panel. The recommended decision shall be in writing and may be accepted, rejected or modified by the State Review Panel. A. Form and Filing of Complaint. I. Request for State Review of LWDA Level Decisions On receipt of a complainant's request for review because of an unsatisfactory decision, the State shall provide for an independent state review. 2. Filing of Requests for State Review The State Review Panel shall review all LWDA level decisions when a request for review is filed within 10 days of receipt of the adverse decision. Such requests must be filed In writing with the Chief of the WID Office. The request for review should contain the following information: a. Full name, address, and telephone number of the party requesting the review b. Full name, address, and telephone number of the other party c. A copy of the decision d. Brief statement of reasons for review or the section of the LWDA decision to be reviewed including regulatory and statutory citations e. A statement of the relief sought. $. Complainant Responsibility It Is the responsibility of the complainant to include in the request for review a written statement setting forth the facts presented at the LWDA hearing which support the requested relief. The Chief, WID, shall mail a copy of the request for review to the other party and to the LWDA. It shall be the responsibility of the LWDA to submit the complete record including a typed record of the hearing to the Chief, WID, within ten (10) days. B. Conduct of Hearings. 1. Request for Hearing at the State Level .1a EXHIBIT C 25A-285 EXHIBIT 3 If no decision has been issued at the LWDA level or the State has determined an audit disallowance or imposed sanctions, the complainant may request a hearing. The hearing officer will then issue a recommended decision to the State's Review Panel for final determination. 2. Filing for Request for Review The request for a State hearing shall be filed within ten (10) days after LWDA should have issued a decision or ten (10) days after the Issuance of the audit disallowance or sanction. The request shall be filed directly with the Chief of the WID in writing and should include the following: Full name, address, and telephone number of the LWDA Name, address, and telephone number of the LWDA c. Copies of complaints made at LWDA level from which no decisions were issued or sanctions and imposed. d. A statement of basis for the request for hearing. 3. Evidentiary Hearing Upon receipt of the request for a State level hearing, a hearing before a designated hearing officerwill be scheduled. The hearing will be recorded mechanically or by court reporter. Both parties concerned will have the opportunity to present oral and written testimony under oath, to call and question witnesses in support of his/her position, to present oral and/or written arguments, to examine records and documents relevant to the issue(s), and to be represented. The hearing officer shall issue a written decision, which shall be forwarded to the State Review Panel for final determination. The State Review Panel may accept, reject or modify this recommendation. The decision of the State Review Panel is final except for audit disallowances, which must be approved by the Secretary of Labor C. State Review Panel The State Review Panel will consist of a panel of three representatives from the Employment Development Department: one from the Legal Offices, one from the WID, and one from the Director's office. The panel will issue a written decision, which will be sent to the appropriate parties within thirty (30) days of receipt of the request for State review. sa EXHIBIT C 25A-286 EXHIBIT 3 V Decisions issued by this panel, under the authority of the Governor, are final. D. Issuance of State Review Decision. The State review will be limited to violations of the WIOA, implementing WIOA regulations or the grant agreement. This review shall be limited to the record established at the LWDA hearing. Procedures for Handling Discrimination Complaints by Participants. A. Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief, retaliation, and citizenship, where appropriate, must be filed within 180 days of the alleged occurrence. "I. It is the responsibility of the Santa Ana LWDA's Equal Employment Opportunity (EEO) Officer to determine jurisdiction and to make the complainant aware of and provide assistance in filing a complaint in accordance with the Santa Ana LWDA's procedure under Section II (A). 1.s EXHIBIT C 25A-287 EXHIBIT 3 No later Bran --• I'm days of Handling of complaints filed at LWDA level arising in connection with aiieged WtOA programs operated by LWDAs drsrrirnination Informal Resolution Process Filing of Complaint/Request for Hearing -. Notice of Hearing issued by LWDA Hearing Conducted LWDA Decision within 60 days J Unsatisfactory Decision or LWDA Decision not issued within $0 days Within to days or receipt of unsatisfaciaiy decision or 10 days from dale Request for State Review LWDA decision o should have becn issued. Governor's Decision issued by State Review Panel If no decision issued by State Review Panel Appeal to DOL 26 EXHIBIT C 25A-288 EXHIBIT 3 In cases where areas of authority overlap, it is the responsibility of the EEO Officer to advise the complainant of the existence of State, Federal and other proper action agencies, which may also have a bearing. 3. Complainants alleging discrimination under this part will be made aware of their right to file directly with the Office of Civil Rights (OCR), U.S. Department of Labor and applicable procedures. 4. Complainants must file their complaint directly with: Jennifer Sommers Sr. Personnel Analyst — EEO Officer 20 Civic Center Drive, M-24 Santa Ana, CA 92701 (714) 647-5348 VI, Procedures for Handling Disability Complaints by Participants Complaints alleging discrimination on the basis of dfsabifity will be filed and processed under the Department of Labor regulations implementing Section 504 of the Rehabilitation Act of 1973 at 29 Code of Federal Regulations Section 32_ 1. Complaints must exhaust the Santa Ana LWDA's informal resolution procedures before filing their complaint with OCR. 2. Complainants will be made aware of the 180 days requirement In which to file his/her complaint. A. Procedures at the LWDA Level The complainant shall file his/her complaint directly with the Santa Ana LWDA. Upon receipt of the complaint, the EEO Officer shall investigate and gather information concerning the complaint. 2. An informal conference will be held with the parties concerned in an effort to resolve the issue(s)_ The complainant has the right to be present and may be represented during the conference. 3. The Santa Ana LWDA shall issue in writing its decision to the complainant no later than thirty (30) days after the filing of the complaint. B. Procedures at the State Level I. The complainant may appeal to the State if he/she Is not satisfied with the decision of the Santa Ana LWDA. 27 EXHIBIT C 25A-289 EXHIBIT 3 2. The Complainant must file his/her appeal as a request for review directly with the Chief WID within ten (10) calendar days after the receipt of the Santa Ana LWDA's decision. 3. The Chief-WID; shall issue a decision no later than thirty (30) calendar days after receipt of the request for review, 4. After the complainant has received a decision or no decision has been received from the Director of Employment Development Department (on behalf of the Governor), the complainant has the right to appeal hislher complaint within thirty (30) calendar days to the Office of Civil Rights (OCR) with the Department of Labor. zs EXHIBIT C 25A-290 EXHIBIT 3 No Inter than 180 days of Dilr,"ged discrimina6un Filed within 30 days of LWDA/Sta to Decision or 90 days from date of Initial filing of complaints Filing of complaint on the basis of Disability with LWDA Day 1 Info ImaJ ResoJution If no resolution reached Request for Hearing L- Notice of Hcaring I Hearing con ducted LWDA DeclMon Unsatisfactory Decision or No Decision State Rcvieva Governor's Decision Appeal to Assistant Secretary Department of Labor 19 EXHIBIT c Day 143 Day 60 Days 25A-291 EXHIBIT 3 GLOSSARY OF WIOA TERM AGE DISCRIMINATION ACT — A law passed by Congress in 1975 which prohibits discrimination an the basis of age by any program or activity receiving Federal Funds. APPLICANT — An individual who applies to a subrecipient or contract for services provided under WIOA and who has not yet transitioned to the status of participant. ASSESSMENT— Services designed to determine each participant's employability, aptitudes, abilities and interests and to develop a plan to achieve the participant's employment and related goals; also to identify the available employment and traning activities appropriate for the participant. Testing and counseling may also be used during assessment process. CHARGING PART Y (GP). COMPLAINANT. GRIEVANT OR AGGRIEVED PERSON — The person who charges that he/she has been discriminated against under Department of Justice nondiscrimination and civil rights regulations andlor guidelines. DISCRIMINATION — In general, a failure to treat all equally, whether intentional or unintentional; the effect of an action, policy or practice which selects an individual or class of persons to receive unequal treatment. ELIGIBLE NON -CITIZEN — Lawfully admitted permanent resident, aliens, lawfully admitted refugees, and parolees and other individuals authorized by the Attorney General to work in the United States. EMPLOYER — An employer subject to the provisions of the Civil Rights Act of 1964, as amended; including state and local governments and any Federal agency subjects to the provisions of Section 717 of the Civil Rights Act7 as amended; and any Federal contractor or subcontractor covered by executive Order 11246, as amended. GRIEVANCE — An allegation that something imposes an illegal obligation or burden or denies some equitable or legal right, or causes injustice . INDIVIDUAL WITH A DISABILITY — Any individual who has a physical or mental disability that constitutes or results in a substantial challenge to employment. INTAKE — Includes screening to determine eligibility; to select from eligible applicants those individuals who are most in need and can benefit from program services; to complete procedural requirements necessary to enroll an individual into the program and to refer those not enrolled to other programs. JOINT COMPLAINT — A complaint of employment discrimination covered by Title VII or the Equal Pay Act and by Title VI or Title V. Individual "joint complaints" are normally investigated by EEOC unless OCR has a compelling reason to investigate. "Joint complaints" alleging discrimination in employment and other practices and pattern or practice "joint complaints" are normally investigated by OCR. 20 EXHIBIT C 25A-292 EXHIBIT 3 JURISDICTION — Authority to investigate and resolve complaints against an institution subject to law or statute which has been assigned to OCR for enforcement, i.e., Title VI, Title IX, etc. PARTICIPANT — Any applicant who has: (1) Been determined eligible for participation upon intake; and (2) Who is receiving subsidized employment, training or services (except post -termination services) funded under the Act, following intake, except for an individual who receives only outreach and/or intake and assessment services. za EXHI BIT C 25A-293 EXHIBIT 3 CERTIFICATION REGARDING LOBBYING CERTIFICATION FOR CONTRACTS GRANTS LOANS and COOPERATIVE AGREEMENTS The undersigned certifies, to the best of his or her knowledge and belief, that: 1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any'agency, a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant,'the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. 2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing orattempting to influence an officer or employee of any agency, a Member of Congress, an.officer or employee -of Congress, or'an employee of a member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. 3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including agreements) and that all subrecipient's shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into: Submission of this certification is a prerequisite formaking or entering into this transaction imposed by 31 U.S:C: 1352. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and -not more than $100,000 for each such failure occurring on or - before October 23, 1996, and of not less than $11,000,and not more than $110,000 for each such failure. Katharyn Muniz Name of Certifying Official Signature EXHIBIT D OCCC OSY Services Program Title 25A-294 EXHIBIT 3 Certification Regarding Drug -Free Workplace Requirements The certification set out below is a material representation upon which reliance is placed by the U.S. Department of Housing and Urban Development In awarding the grant. If It is later determined that the contractor knowingly rendered a false certification, or otherwise violates the requirements of the Drug -Free Workplace Act; the U.S. Department of Housing and Urban Development, In addition to any other remedies available to the Federal Government, may take action authorized under the Drug -Free Workplace Act. CERTIFICATION A. The contractor certifies that it will provide a drug -free workplace by: (a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession or use of a controlled substance is prohibited in the contractor's workplace and specifying the actions that will be taken against employees for violation of such prohibition; (b) Establishing a drug -free awareness program to inform employees about— (1) The dangers of drug abuse in the workplace; (2) The contractor's policy of maintaining a drug free workplace; (3) Any available drug counseling, rehabilitation, and employee assistance program; and (4) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace; (c) Making it a requirement that each employee who will be engaged in the performance of the grant be given a copy of the statement required by paragraph (a); (d) Notifying the employee in the statement required by paragraph -(a) that, . as a condition of employment under the contract, the employee will - (1) Abide by the terms of the statement; and (2) Notify the employer of any criminal drug statute conviction for a violation occurring in the workplace no later than five days after such conviction. (e) Notifying the U.S. Department of Housing and Urban Development within ten days after receiving notice under subparagraph (d)(2) from an employee or otherwise receiving actual notice of such conviction; EXHIBIT E 25A-295 EXHIBIT 3 (f) Taking one of the following actions, within 30 days of receiving.nctice under subparagraph (d)(2),.with respect to any employee who is so convicted M Taking appropriate personnel action against such an employee, up fo.and including termination; or (2) Requiring such employee to participatesatisfactodly in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law. enforcement, or other appropriate agency; (g) Making a good faith effort to continue to maintains drug-free.workplace through',implementation of paragraphs (a), (b), (c), (d),.(e) and`(f). The contractor shall insert in the space provided on the attached "Place of Performance" form the site(s) for the performance of work to be carried out with the giant funds,(including street address, city, county, state, and zip code) :the contractor further certifies that,, if it is subsequently determined that additional sites will be used for the performance of work under the -contract, it shall notify the U:S. Department,of Housing and Urban Development immediately upon the decision to use such additional sites by submitting a revised 'Place of Performance" form. r Date Pro ram Operator Sign tore EXHIBIT E 25A-296 EXHIBIT 3 DIVISION OF EMPLOYMENT SERVICES PLACE OF PERFORMANCE FOR CERTIFICATION REGARDING DRUG -FREE WORKPLACE REQUIREMENTS Name: Katharyn Muniz Name of Contractor, Orange County Conservation Corps Contractor Number: A-2019- Date: July 1 2019 - June 30 2020 The Contractor shall insert in the space provided below the site(s) expected to be used for the performance of work under the contract covered by the certification: Place of Performance (include street address, city, county, state, zip code for each site): 1853 N. Raymond Ave. Anaheim, CA 92801 Address EXHIBIT E 25A-297 EXHIBIT 3 Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions This certification is required by the regulations implementing Executive Order12549, Debarment and Suspension, 29 CFR Part 98, Section 98.510, Participants' Responsibilities. The regulations were published as Part VII of the May 16, 1988, Federal Register (Pages 19160-19211). (Before completing certification, read instructions which are an integral part of certification) 1. The prospective primary participant, (i.e. grantee) certifies to the best of its knowledge and belief, that it and its principals: a. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarilyexcluded from covered transactions by any federal department or agency; b. Have not within a three-year period preceding this proposal been convicted or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state "or -local) transaction or contract under a public transaction; violation of federal or state antitrust statues or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property. c. Are not presently indicted for or otherwise criminally or civilly charged by a government entity (federal, state or local) with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; and d. Have not within a three-year period preceding this application/proposal had one or more public transactions (federal, state or local) terminated for cause or default. 2. Where the prospective primary participant Is unable to certify to any of the statements In this certification, such prospective participant shall attach an explanation to this proposal. Orange County Conservation Corps Grantee/Contractor Organization Katharyn Muniz / Name and Title of Official Authorized to Certify On Behalf of the Grantee s D te�J 25A-298 EXHIBIT 3 Orange County Conservation. Corps Santa Ana Workforce Investment Board -The Youth Service Provider Netviork Request for Proposal PY 2019/2020 ORANGE COUNTY CONSERVATION CORPS HUDGET NARk4TiVE Administrative Staff —.02 FT'E— 52,800 or 2.43% of budget Administrazivo skdTconsists ol'a small percentage of the Chief Financial Officer'to per, form va)aous administralive functions including; genera] & .I.intmcial rnanabemcnt; payroll, accounts payable and office coordination. Administrative StalT'Taxes and Betrcfits - $242 or 0.21 % of budget Taxes and benefits include State unemployment at 6.2% of fits($71000 earned. 7.65% FICA and workers compensation. Program Staff —1.17 PTE — S55,101) or 47.91% of budget Ptogram staff consists of 3 individuals of which 1 Program Specialist will he exclusively dedicated to ensure the programmatic success of the grant which includes reczuit, enroll youths and overall rase management. Other programs staffivill be involved to provide overall support: leadership, management, coordination, daily superNision, training engagement and tr entorship of enrolled youths. ';>,'IOA Program Specialist— 75% 1'TF: fultp responsible for (he success organ: Operations Manager - 2?/o F'TG: projects management and acquisition Crew Supervisor I-40% FTE: proiecl supervision and mcntorShfp Program Staff Taxes and Benefits — %11,210 or 9.75% of budget These include taeas and fringe benefits associated with each staff and their corresponding percentage o€tune spent on fulfilling all progratmnatic aspect of the grant. 6.24% for State Urremployment insurance for first Sl,UOtl earned, 7.65%f'or FICA and an allocated %of respective health benefits including retirement contribution cost tint each associated stall'. Project Transportation — S1,678 or 1.46% of budget Project transportation includes vehicle insurturce, fuel, repair and maintenance. Costs are allocated based on the numhcti• o (' participant hours on the. grant compared to overall Corps 'total participants hours. Total costa are computed and allocated during each billing period. Participant Wages, Taxes and Benefits — $34,870 or 30.32% of budget IT ages arc paid directly in participants who carp a rnhtimum of $12.00.'$ l 3.00 per hour and are scheduled to work up to 29 hours per week while enrolled in our program. Taxes and workers compensations are directly associated with participants wages and are paid by tho Corps. 14 participant •;u?6.1 «weeks vvith 29 hours per week uverage rc'412 per hour and (ddz,$13 per hour EXHIBIT G 25A-299 EXHIBIT 3 Orange County Conservation Corps Santa Ana Workforce Investment Board -The Youth Service Provider Network Request for Propcsar PY 201WO20 effective January 1, 2019, NOT including any additional leveraged wages by OCCC. Additional costs ind ude taxes and workers compensation. Support Services — $6,309 or 5.48 % of budget Sapportive Services mainly ineltide uniforms, bus basses and gas cards. Clthcr supportvo service may includc hotel voucher, car repair, tattoo reanoval, dress :for success; material and supply for certification [raining and any uther related costs in helping the participants to success fully complete ilte program. Incentives — $2,8011, or 2.43% budget Incentives a»e costs associated ivitlt prepaid carols given duoctiy to die participants for successfully completing oraccomplishing certain required or encouraged milestones. These include obtaining certification, earning a high school diploma and other milestones. Budget Summary Overall. 9791a of the budget is &Ldgeted toward proera[nmatic expenses where most of the fund budgeted is directly benefiting the participants in forms of wages, benefits, incentives and supportive services, In addition to the budget, the Corps will also be leveraging approximately up to Sl 171223 of various costs associated with operating the program. Follow-up Serviiccs — rollow•-up services tior prior year participants {PY18119) ming current budgeted amount in supportive services. Tracking OCCC uses linger biometric to track all participant hours in additional to daily field sign -in sheet. Time cards arc generated bi-weekly and are sigmed off by participants with the corresponding supcnisor- Various labor distribution reports are used to track participant hours and earnings- Incentives and supportive services are requoswol through an applicable form with proper approval before they are delivered. Incentives and supportive services report can be genorated at will from our backing databases. 5ubeontracting — OCCC does not subcontract any obligations or duties in this proposal. EXHIBIT G 25A-300 EXHIBIT 3 Santa Ana Workforce Investruet ScarciYouth Council Workforce Innovation & Opportunity Act Program Year 201912020 Budget Form Orange County Conservation Corps Adminlstrative Program Total WIOA 'i.a:. ,55,10D Salades !List titlesflrd FTts)° 2,800, 57900 Benefits" 242 11,216 11,,452 Total Personnel 3,0421 68,31DI 89.352 ..........:..... fy,.:. ......... . nE ...ate'.. Kx. '•y'.1 •�� q... `.'t^jJ=Fl.:.a1:. Rent - Occuparcy Related' - - Willies Phones Irate: net tees Parting fees Security Maintenance Insurance Equipment -ental fees' ' Vehiola'ease charges (mhiclos Tay not os purchaseol I Office expenses (consamables) Account'ng Serdces Proect Expenses ' Adminstmtive Services ' Irdireel costs (attach indimc: test rate play.') Professional Services Marketi ng.'M embership Finance Charges S=training Staff haLeBmBeage,'ccnferences - Panldpsn'. Wages & Bene: rt5" 34,870 34,B70 Support sorecas' 8.300 6,300 Proft (for nrofts only) Other 0st)" Incentives 2,000 2,000 Project Transyrtatian 1,678 1,070 Charter School Total Operating Expenses GRAND TOTAL Follow-upSetvices(22j staff time +fol up svcs) r• - 45,643 45,648 rrr Grand Total with Follow-up Services 1 $ 3,042 $ 111,958 $ 115,000 EXHIBIT G 25A-301 EXHIBIT 3 i Santa Ana Wdfkfbrce Investmet 80alCYouth Council OCCC Workforce mnontfon & Opporlunny Act DIIEGrArOQiAlq {�•.x(JV` r�.q Program Year 20IN2020 WJOA WIDA OCCC SYaf(iYagaoBaLtrlaa TlmaY Arnount RC.m47.lfa0ro S;a.rr Chloe Flnnneal Clfae' T. Hugnh 2?4 2,80C.03 Subtotal Admin Stiff 3 2.800 Ennloye.rTaxa-a $ 214 Workers Colnpensat:on $ 2a Benefits y _ 5uhrom7 Admin 5at7 TaseS/Bene0p. S 242 Total Administrative Expenses 5 3.042 prjaram Sfarr Pnjerf Manager J. Newton k% 2 COUG 9t:nenlaorI TD) 40% 'aeouc INIOA P'otinvir Sbeelalist 0. Garcia 7S% 57.500.00 Subtotal Program Staff S 55,100 E'n2101'erTax9e $ 4,21a hlbrksn C"p=.nsatinn $ "95S Bene-its g S D4.0 Subtotal Progmrp Steff7axao'eanakts T 17,210 Program vpansea Pro'eri Tmnaporta; an ��eaIGIE, In$:rallae, N"f., mpolr & mai�tl ,, �6ig S:aff Tminrg 5 , Ocrupan./ Related f' rttal, Allt'es 'coal' & make 5 Subtotal Program Expenma S 1,678 Total Pmgmm FApenses S 67,988 Cbrpamembet(CMJ Expenses Amiga Total hrs' WIDA C.rn'Sfica^:rs not C14S HOUMy Rate GM Amount CMS f20 -.•Ma x 11 •Mt.) 14 5.2•tn 533 2.477 SBrI$1 Cant/-ova•s .� CMs Tota'Hours!Paid WoC<Ex crlcnx 2,477 EnaloyerTaxes $ 21307 Workers Comoensntlor $ 2,412 CM Sapand Total t4 S 24,870 Suppar'Ivb Sml,o!Jni farms!hus nxsaesIMS crdsle0oks!ruitlon!a[hws 14 $ 450 $ 6.3C0 CMI!ncundyes/Benus 1A $ 2w, Suntotal Cma Expenees 6 43,970 FollovFvp SWWCM Prior Year l22) (daft Ultra +• sup avc) 6 _ Total lvnn FollaWlrP S"icas ; 115,000 OCCC lAatcb OCCC Sta:' Sasdes & Wagcs g SO.."n Taxes & Bw.M:s S o,W7 OcccMatch- part;cipantWanes&Benefits $ 20,003 OCOECharker5nual $ 2,W5 OCCCFxaenses $ 35408 Total OCCC Caslt & Di Kind S 117,223 EXHIBIT G 25A-302 EXHIBIT 3 Santa Ana workforce Investrnet BoardYnuth Council 0ccc WorWreo In naval on A Opartunity an BIMIlido Proamm Year 2015rA929 P11DA Occe Ar SE 0aiipad Wrnea aVIOA'F O!ge Indind •:hdrs�:elixQ zw K. Sat.onl M - 3.3w Che!rinaloal ome• '. HtPJar 2% yhSD 2.SD.' Amvu-:a Ps'e:le N. Hlaez 0% - LAC I•smll SpnISW E. C:naz OSS I hfa^e"ar P. 810•pe 0% ZCD: Ulm-txcl Opasflms J. Vclp 01.4 LCrr) Prim hlms.• J. hL:nMn 2,A :,D'A T,CD: etpe Ecr1 Ti0 41A 1.rAZO 9,7.'a: A,o-niscr ll Trn D% - 3'sw. Fnmm ,Alm:y_� £GWa D% F,cklmSx,Y!Ils. Y'. °spm OA - i,GV.' 10JA Pdl],arl 9taNA-M D (,'a is ': bK, 31V..0 32.YX IieCNllef E hW'.Ai Irk - 2.20: suMtow 9ra7sahvlas 6lYages ! 57,501 4 Oe1110 SnNofsf Sk73ierIDf(a h 1f,4f2 1 9,607 Tnhf 2&ff Wagna4d En,efi(4 1 69,2e1 1 09,71? %'AOAAmwnt WIOA V710A Oche ,41[iGTW E� Budget 2.9% Panian 2" (naiad t4n4 Adndlstallen 34.3:A 1,CW - - 1.05 S:aF::allalne/s'aFf E'EloS': meerltde D.6Jp]my bf4,07C 2,19J - - 2,79r F.en:lu:fltlesipiIDrEa/Ctl'doutia Yp3aCY eleled nen.iryvoerkl•D•pe•Jml10r®yea 351O.i0 1.CEC - - I•Y27 ua:liJLOCJ:ayroll pm-mssar'aa Rl"etl•p'Ovmbamhic 27,070 78.7 - A; Ceris membe•j:llp and outreach carrpssn O-ce Ezpapeas 191070 5:•9 - 534 Oflcn upalles :'riece�o•el se+'cae 15,OW 77d - �;S CPAA-d! HIBLv.R:C;nau:ml c:mrEzisu!!rasa ProjwLExpnsas :Id2,0w lisp'. 75,5O Cn!tooly:atcvs,.pPilcsJunifornslpro;eR dked relazi Ta•sccts:im Tqd. inwv,cr., n.-i,? 144;D[d 4.191 LrA 1nx v,hl, asvJptrpairas, trh ojlantlan, tuel.:ns. malts Tmd S Cn-flan-c:: 12 S0 I.C.w. r! - 1,010 Ti!A lOn ow :'a'alsJCenia:eACPr 0....nr Mp.W, S0.1 72.009 2,CLV - 2,lNe .. .-nilaa8; n,d ni•m lannc�a=M.IJJwnfaaences ...^M =a:6PM1 "NapsIEwkl!a 2U.D:V M.u:1C - 2--.Wl 0ne,ls.•n•aaad pa•li_ya. l: n:nF.'ri8 ha„�,:d ::rcFits Tow 0,mmOn3flPaasea S I.M,9W 6 0,144 4 :, 679 1 57.506 TOOT acdc dfakA(Cato $66NOW 1 t1T,aza ' To.a V:4DA P• .;sule: R- a 2.4" 'I'o:a UCCC I-rjscud Ham W.Ow Prolaetl; iwl0.hm'OCCC hrs} � 2.95i EXHIBIT G 25A-303 EXHIBIT 3 Assuranees & Certifications Selected providers will be icquircd to sign :and submit"actual" assurances and certificates as required by (he City of Santa Anti and the Wdrklbrcc Development Board on all contracts. recognize (hal I must give nssununces for cach.itent below. If I cannot, this proposal will b ' automatically rejee(ed. I'leaw mint each bay. ant authorized by niv Board of Directors, Trustees, other legally qualified officer, or as-tho owner of this agency or business to sut,init this proposal. in We'are not currefily on any Fcdcntl,.Slaie of{alifirnia, or local Debumtent list. We will provide records fo show that we are fiscally solvent, if needed. We have, or will have, all of the fiscal control and accounting procedures heeded to ensure that 14 W1OA funds will be used as required by law and contract. We have additional funding sources and will tint be dependent on WIOA funds alone. We do or will mecl the applicable Federal, Slade, and local compliance requirentenis. 'These include, hill are not limited to: Records accurately reflect actual perl'orntance. iNlaintain record confiden{ii1hy, as required, Reporting financial, participant, and performlance data, as required. Cyrnply with State find Federal fiscal :ind'progranraclivily audits. Congth'ing with Federal and State ilon-discrinihiation provisions,. -Meeting requirements of Section 504 of the Rehabilitation Act of 1973. �( Mcc(ing requircnlcnls of the American's with Disabilities Act of 1990. (submit completed survey) Mecting all applicable labor law, including Child Labor Law standards. Agree to provide :a drug fire workplace: Agree to insure the City of Santa Ana through tIeneral Liabiligy Insurance and AutomobileLiabilin, 4 Coverage in the amount Iof$1,otfo,000m policy. Agree to provide all participants with Grievance Procedures. Agree to insure proposer's employees Iltroitgh Workers Compensation Insurance (including part -tine cnlpltryces) Procurement policies aid procedures are in place and meet federal guidelines. Vve will not: Place a youth ilia position that will displace a current employee. Use WIOA mmncy to'assisl, promote, or deter union organizing. Use fiords to employ nr train of persons in scctatiam activities. Use finds for yowli in the construction, operation, or inaintenance orally part of facility -to be used 12 for se ti rian instruction or religious worship. ' l -Use WIOA funds for activitics that would interfere with or replace regular neadcntic rugtliremcnts for \\ eligible youth who are not dropouts. Use WIOA funds to carry out -programs funded under the School -to -Work Opportunities Act of l(f94 unless the progranl(s) arc ionly-for youth eligible to participate under 41 IOA. (y J Use W IOA money under this contract to purchase any eyuipmenl, I hereby assure that all of the abum am trae. Chief Fsecutivc OOSccr s me 'Title CX111BIT H 25A-304 EXHIBIT 3 CERTIFICATE OF LIABILITY INSURANCE T1d[5 Cp}1nKtCAM IS ASUED A5 A MATYER OF tNrOMIATIDN DEV ANp CONFERS NO RIGKr$ UPON THI DERTIFICATB DOSS NOT AFF MAT'IV56Y OR NE(2ATIMy AMD7D. LXTEND OR ALTEI.1 THE: COVERAGE 13F_'LOW, THIS ODRTIFICATE DP INSURANCE LIMA NOT CCNSTItUTS A GONTRAOT SFT'4VEEN IHE IESUII REppA.SeMTA-VyE OR PHODUt:FF7, A.NDTHG CERTIFICATE. 41OLDOL IMPORTANT; Iftbs.eprtlticato bolder Ia an i4bDIT10 AL 1N4UHaD, the policypes) mart Dave AODITIONAt.INSUI, 11 SUBFOGATIOFI IS WAIVED, nublact to the terms and uehditl0na of the poltoy, oarraln pAUGias may raqurra ah thla cactificate dnog not cagier tf htatin the eartifl�ole bolder It, lisx of 9aoh eAdamomsht A). FNOUCCEII Gl Anhur J. nalloghE' & Go, w..wtw ....... ... ._..._—..... . .........._----- inSUnITI a Broker" u, 0alltontia, Inc. L1(10 0T26283 °Aa 6235 34tlery stte(310450 san FraoG ;co OA 2`1111 .. _......... _._.,.Hrd111Fe A: �IOEti?fT1F' Ll?1Yed YJJ. k�•re' Can Ix&Wf9 N7-NhLfNs(A (1faflC8 calory uG1780IiM]tIOn L'01' S INaCIIGi B_,Sdfcly NallUlSalf:a'JUtlIfy CC,ej7gn i 5063North RavmentlAl,ennn Irraulrnc: _. _I�, c1ANs lance. I ." mcua GCi4L AOEgaLRRTE�I7NITAPI'IiEN��SN: j AUTENIPS 1La I:AbILr"t hNvAl;T0 aGiC hJi phYy MIUD EIaF.E FCn,00A1Y A.'-R',SOMLY _ I UMFRELLAWAg --.{I CCCLIh FMI)IISs WAS L= a_marh, ..._i...._.— �. ' _ ' x VftrNAEt4a UdAFNN^y1TIhR ��� f � ANe 1RIPWROGTAIMMY Yrx I CA.PrvFY,d'E'P'.i?iH 7YKb�IMED7 IRNz I -"I NiA VIMA!Uy!p '7m dwed0a v G(:SI`I•'VI �kiKJF e:fiRATI�Na1MLlr _ Useeu'an,ga0nnp .=Anday: Marla Ana Wurkioraa Invaabmetd Beard Fran JWIzi 1000 East 6911ta Ara BcufaVmd 4?.00 6anto Ana CA 82701 cat.6a'I$ BY statonlapl on suAEr. o, I �IIRFRY REVISION NUId@t{R4 �'- dECN Iagum 'Itl 71-9 IN8l:r7EC N/:WFb AEIO'VN FOR THE POLICY ANY CON1RACi Ofi D i Hof DOC:IWIF.NT V1ffH RCFPL'CT 70 WR BY T41C POLID:rdi 7"A"vHIEkD FIEN6IN Ig aUBJL•C7 'f7 ' YNe it•`. flEUUli60 nV PAID xAsA18. "`r'iFicvlidd i' naaRcmre .-.. ..••..•_._a-._. ..-.-._.....J.. LCAEPAL. YOE ' _ Pn"i�Rlel]I�O�IAP;�6 ROu - I; ' F I eq aCG;LY rtJUPY ;Pa: riTG4n {— .L ann11.Y:`1.IUFvlpmrnd4eYl:1 FaR _ 'Ar.:1 S.CCDFayN05 r. 1rcU1n i 1:7rYUaa �!unl spec is aHOLILD ANY OPINE AOOVE 063OR113E0, POL4JE0 BE YNE EXPInATION DATE TF15REOF, NO -P.M WILL AGCONOANG& W(TH T)IE PQLECY PHOYISI'ONs. ACORD 26(201(v08) Tna AGORD IInme and 1040 Me lEgE.stared M Wl Of AWRD 25A-305 a U OANGL; o OEPONE 11E W-MEM00 IN 2Ji 947E EXHIBIT 3 CERTIFICATE OF LIABILITY INSURANCE I DATE (rdRl'DDYYYp THIS CERTIFICATE 15 ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW, THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURERSj. AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLOER, IMPORTANT. If the certificate holder is an ADDITIONAL INSURED, the pollcAles) must have ADDITIONAL INSURED provisions or he endorsed. It SUBROGATION IS WANED, subject to the terms and conditions of the policy, certain polleles may require an ondorsemont. A statement on this cenlflcato does not confer rights to the certificate holder In llsu of such endoisomentfsl. Arthu• J. Gallagher & Co. Insurance Brokers of CA. LIC. # 0726293 605 N Brand Blvd, Suite 600 Glendale CA 91203 INSURED JNA\CUj'9 Orange County Conservation Corps 1853 N. Raymond Ave. Anaheim, CA 02801 COVERAGES CERTIFICATE NUMBER: 667487771 PHCNE 1. 818.63R.8601 __ FAX xoJ: 818.530.8701 .LIAIL �' s; Aflnle_Lee(�eIG-mrn INSUREINSI0.FFOP91N0 COVERAGE NAJCN INSURERA: Great American Alliance Insurance Cc ., 26B32 INSURER II: Great American!1RUranDe Corngany of NY 2213G NsuRERC: Von Profits URlled iNsuksa o: Navl. alnr6 hlsurance Company ! 42307 INSURER E; INSURERF: REVISION NNMRFRI THIS IS TO CERTIFY THAT TIDE POLICIES OF INSURANCE I IS'IED BELOIAr HAVE BEEN ISSUED TO'IHL :NSURED NANIED ABOVE FOIL TI'IE POLICY PERIOD INDICATED. NOTV0111STANDING ANY REQU'REMF,NT, TCIt%l OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT %,.V)I'H HESPECT TO WHICH THIS CF.RT.'FIONrE MAY BE ISSUED OR MAY PERTAIN. THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUDJECT TO ALL THE TERMS EXCLUSIONS AND CONDITIONS OF SUCH POLICIF5. LIMITS SHOWN MAY HAVE BEEN R_FDUCLO BY PAID CLAIMS. ILTR TYpEOF M9URANCE ADDS, SVBa - POUCYEFF POI1CY Flp: POIKVNUMEER s r MrdDCfaY --" LIMITS A X CONAIERCIALGENERALLIABILITY Y FA tl:; -0'4 10'b2'.'S 'G11!301P Jcf!ox—IRFGKE a%0:0.W0 _ _I CALMS -MADE lx� OCCUR �F .tM $EBCEsE\TzVll:•i • 3-W,O.".f. . _.. _1.110 CXF ;:bi1• ore r4iY.L1 3 E.0:0 _ P:F3CN/�I.3 am! INJL'NY S 1,0: .0: GFIT-A30HE—GAI'-LMTA181=13 aETI . [E\ER.AI A; OREGAI'E 33.000'0: - % I.. F.C_._T C r[I_IC"cc FRCCUCr6-CCrahpa AGG cD,ecM,:D] -'-HCR; I F 3 AUTOIMIEIIELIADILITY CAa09E126i05 "a+1R015 ' iviat'9 L MdINEDS:NCLEUl1IT aMic.e. f_E ILOW_ X ANYAL-O _ EQ.:IL1 h:LTY ar. JV:•VC' SCHF.WL-o AUTOROT:Y IALROE 00]IC! N.,,RY IFrrm.UmO ! x (OKM-ONLY f�CyEaTYC NAGE 'f x, idROR ONLY %Ur X ' CIrn ilao X :DI $5:0 A X UMBRELIALIA9 X CLMk FG^QLtiP AHOCCLIF\CF $4'0:0'0GGLi UCESSLIA13 CIkAC M AGGRF..-C i4:wp:0 DEC I X RFTFN-ICN$ .• _ $ p 1YORHERSCOMPMV6ATION 111-1 Y35:0'.201a Ii1:20:6 'Y. •2C1S X C"R' ANDENPWYERS'11ABILIIY YIN :dIA UTE _ C? _ ANWROPk EfC1Y:HIn16dFs-CU-'IVE - ^'rICER.'.'dEl/-SFY.ki:CliO:.••' I NSA =L EaCII?.C$:F,, 1 3Mx1.Ixm •. lAtentlebrY in NNI '- CL]aFA,'F-FA eill'_O"-'.S',O:+I Ix)p _._ _ :LS:RPTL^.N CF C+FH%;qC\b falpr FI :SFASt-'CL LYLMT �•�oUxl U DIv::m&Oklcex rIYuDULvcs'al M.' :C IR016 18M •].:SS Pmklm' 12:D:,u::al Arc'mr.: 42.:x.:U a DESCRIPTION DID OPERAYMNS. LOCATIONS S VEHICLES JACORD dOLAd&Honal Rnmvks acltsdUl6, May of s(huhad If mare spaco Is mqulred) Pclicy: Abuse and molaStatIop CDVerRge Policy#: PAC 5154680. 14 Carfler:Great.Arnerican Alliance Insurance Co, NAIL: 20832 Ten: 1 D!01/2018 ADIO J201D Each CDC: $1.000,0.00 Aggregate : $3ADU,000 Policy: Prafessfanal Liability See Attached,., Cityy o' Santa Ana, Workforce Investment Board 10D0 E. Santa Ana Blvd,. Ste. 200 Santa Ana CA 02701 SHOULD ANY OF THE ABOVI; DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN ACCORDANCE WITH THE POLICY PROVISIONS. AUTHOANZED M R&0>.. ACORD ALUVKU LS (RUISJU3) The ACORD name and logo are registered marks of ACORD 25A-306 EXHIBIT 3 AC 7 L> AGENCY Achur J, GGIla9her d Co. POLICY NUGEER CAIiRIeR AGENCY CUSTOMER ID: ORANCOU-19 _ LOC 0: AnnIT1ONa1_RFMARK53CH1=1 iv F NAIL CGGE NAMED INSUME) 0,ango County Consarvatinn Cerps 1853 N. Raymond Ave. Anaheim- CA 92801 Page i of THIS ADDITIONAL REMARKS FORM 19 A SCHEDULE TO ACORO FORM, j FORM NUMBER: 25 FORM TITLE: CER1IRGATt OF LIAWLIIY INSURANCE 11 Insurance Co, NAIL: 20832 s ofFioars, agents, employes and velar-Wrs, and the Stateot CaOfmnla, Its of9uays, employees, and volcntGors are named addilional with respocfto the operations of the named insured per the n!tached GO 2026 endorsement. Such insviance is Primary and :raCompensation coverage evidence only. The AGORO name and logo are registered marks of ACORO 25A-307 Orange County Csnsewatlon Corps EXHIBIT 3 Policy No: PAC 5164680 14 E£ec5ve Date: 10t01l2018 CG 20 26 (Ed. 04 13) THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY. ADDITIONAL INSURED - DESIGNATED PERSON OR ORGANIZATION This endorsement modifies Insurance provided Linder the following: COMMERCIAL GENERAL LIABILITY COVERAGE PART Schedule Name of Additional Insured Person(s) or Organizatlon(s): The City of Santa Atu1, its officers, agmits, employees and coluntrcrv, and the Stale of California, its officers, employees, and volunteers Information required to complete this Schedule, if not shown above, will be shown in the Declarations. A. SECTION II - WHO IS AN INSURED is amended to include as an additional insured the persons) or organization(s) shown in the Schedule, but only with respect to liability for "bodily injury," "property damage" or "personal and advertising injury" caused, In whole or In part, by your acts or omissions or the acts or omissions of those acting on your behalf: 1. in the performance of your ongoing operations; or 2. in connection with your premises owned by or rented to you. However: 1, the insurance afforded to such additional insured only applies to the extent permitted by law; and 2. if coverage provided to the Additional Insured is required by a contract or agreement, the insurance afforded to such additional insured will not be broader than that which you are required by the contract or agreement to provide for such additional Insured. S. With respect to the Insurance afforded to these Additional Insureds, the following is added to SECTION III - LIMITS OF INSURANCE: If coverage provided to the Additional Insured is required by a contract or agreement, the most we will pay on behalf of the Additional Insured is the amount of Insurance: 1. required by the contract or agreement; or Copyright, ISO Properties, Inc., 2012 CC; 20 26 (Ed. 04113) (Page 1 of 2) 25A-308 W3.IU1kIN 2. available under the applicable Limits of Insurance shown in the Declarations; whichever is less. This endorsement shall not increase the applicable Limits of Insurance shown in the Declarations. Copyright, ISO Properties, Inc., 2012 CG 20 26 (Ed. 04113) (Page 2 of 2) 25A-309 25A-310 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 2, 2019 TITLE: APPROVE AGREEMENT AMENDMENT WITH WESTBOUND COMMUNICATIONS, INC. FOR "READY OC" EMERGENCY PREPAREDNESS AND "IF YOU SEE SOMETHING, SAY SOMETHING TM11 PUBLIC AWARENESS CAMPAIGNS (STRATEGIC PLAN NO.1.6) CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 151 Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO ��— FILE NUMBER CITY MANAGER RECOMMENDED ACTION Authorize the City Manager and Clerk of the Council to execute an agreement amendment with Westbound Communications, Inc. for the continuation of the Ready OC Emergency Preparedness Campaign and the "If You See Something, Say Something TM" Public Awareness Campaign. The amendment includes revisions and updates to the original scope of work, but does not increase the overall three-year agreement amount of $1,335,000. The amendment will cover the period of July 1, 2019 to June 30, 2020, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION The United States Department of Homeland Security has developed the Urban Areas Security Initiative (UASI) funding program. UASI is designed to address the unique planning, equipment, training, and exercise needs of high -threat, high -density urban areas and provides funds to local emergency first responders that assist in building an enhanced and sustainable capacity to prevent, protect, respond to, mitigate, and recover from acts of terrorism. The grant specifically provides funding for anti -terrorism equipment, planning, training, exercises, and technical assistance. In Fiscal Year (FY) 2006, the United States Department of Homeland Security combined the Anaheim UASI and the Santa Ana UASI into a single Urban Area. The City of Santa Ana now shares grant administrative responsibilities with the City of Anaheim, annually alternating the function of lead administrative agency. Anaheim manages the grant during the even years (i.e., 2012, 2014 etc.), while Santa Ana manages the grant during the odd years (i.e., 2011, 2013, etc.). On September 18, 2018, the City Council approved an agreement (#A-2018-225) to expand and enhance the ReadyOC Emergency Preparedness and "If You See Something, Say SomethingTm" Public Awareness Campaigns through creative marketing strategies and outlets. The ReadyOC campaign utilizes a multi -media approach to educate residents and businesses within the community on the need to be prepared for emergency events while providing resources to help take the necessary steps. The "If You See Som2" Spy Something" Campaign seeks to inform the First Amendment to Agreement with Westbound Communications, Inc. July 2, 2019 Page 2 community, and raise the awareness level, for reporting suspicious activity, persons, or objects to the local authorities. Marketing strategies include the development of website and smart phone applications for both campaigns, printed brochures and promotional materials, public service announcements, and displays for community outreach events. This original agreement was approved for one year with two one-year renewal options contingent upon the receipt of a UASI Grant Award for the FY18 and FY19 grant programs. The FY18 UASI Grant award has been received and project funds are sufficient to support the next cycle of the campaigns. The first one-year renewal has been exercised and the proposed budget for the scope of work being added meets the previously outlined and approved budget incorporated into the total agreement amount of $1,335,000. During this year of the agreement, Westbound Communication will implement a revised scope that includes several micro -campaigns, such as the School Assemblies Outreach Program, Public Trauma and Active Shooter Training Program, and the Pet Preparedness Program. Westbound Communications will also continue to maintain the campaign websites and conduct updates to the social media platforms. The cost for this revised scope will be covered by the original three-year agreement amount of $1,335,000. Therefore, staff is not seeking an increase to the original agreement amount. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal # 1 Community Safety, Objective #6, (enhance Public Safety integration, communications and community outreach). FISCAL IMPACT There is no fiscal impact section associated with this item. This amendment only changes.the scope of the agreement. 1 �2Lentin Chief of Police Santa Ana Police Department Exhibit. 1. First Amendment to Agreement with Westbound Communications, Inc. 25B-2 Exhibit 1 THIS FIRST AMENDMENT to the above -referenced agreement is entered into on July 2, 2019, by and between Westbound Communications ("Consultant'), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City„). RECITALS A. The parties entered into Agreement No. A-2018-225 ("Agreement') dated September 18, 2018, to provide community outreach and promotional services related to the ReadyOC (ROC) Emergency Preparedness Campaign and the "If You See Something, Say SomethingTM" (S4) Public Awareness Campaign. The term of the Agreement runs from September 18, 2018 and continues through June 30, 2019. B. On June 19, 2019, the parties exercised the first of two (2) optional one-year extensions of the Agreement through June 30, 2020. The Agreement is current and in -effect. C. The Agreement provided the various scopes of work for the ReadyOC (ROC) Emergency Preparedness Campaign and the "If You See Something, Say Somethinem" (S4) Public Awareness Campaign via funding through a grant from the Urban Areas Security Initiative ("UAsr) for which the City has received funding for its next fiscal year. D. The City, if granted further funds through UASI, will utilize the current Agreement to provide the services noted in the Agreement and in this First Amendment. E. The parties now wish to replace the Scopes of Work originally provided as Exhibits A and B to match the needs for the new fiscal year funding noted above. In addition, the parties wish to further allow for revisions to the Scopes of Work for this new fiscal year, and any change to the Scope related to an extension to the Agreement, to be approved via a writing executed by the City Manager and the City Attorney. F. As the Agreement progresses, the parties wish to make the process of approving changes to the Scopes of Work more efficient where the change to the Scope of Work does not amend the Compensation terms of the Agreement. The parties recognize and agree that any revisions to the Compensation terms of the Agreement are subject to approval by the City Council for the City of Santa Ana. This First Amendment to the Agreement does not amend the Compensation terms of the Agreement. The Parties therefore agree: 1. Section 1, Scope of Work, is hereby amended to remove and replace Exhibit A and Exhibit B to the Agreement with Exhibit A-1 and Exhibit B-1 regarding the ReadyOC (ROC) Emergency Preparedness Campaign and the "If You See Something, Say SomethingTm" (S4) Public Awareness Campaign. Revisions to the Scopes of Work, during the current extension of the Agreement, may at the sole discretion of the City, be approved in a writing executed by the City Manager and the City Attorney. 2. Section 3, Term, is hereby amended to include the following sentence: The City, upon its sole discretion, may adopt and revise the Scopes of Work to this Agreement through use of an optional extension letter to the Agreement. Page 1 of 2 25B-3 3. Except as modified by this First Amendment, all terms and conditions of the Agreement shall remain in full force and effect. IN WITNESS WHEREOF, the parties hereto have executed this First Amendment to the Agreement on the date and year first written above. ATTEST NORMA MITRE Acting Clerk of the Council APPROVED AS TO FORM SONIA R. CARVALHO City At orney By: TA A A BOGOSIAN Assistant City Attorney RECOMMENDED FOR APPROVAL DAVID VALENTIN Chief of Police CITY OF SANTA ANA KRISTINE RIDGE City Manager WESTBOUND COMMUNICATIONS Food L S-C-01mmiff— Title: • Page 2 of 2 25B-4 EXHIBIT A-1 FY18 READYOC STATEMENT OF WORK General Information: The following Statement of Work (SOW) defines the principle activities and responsibilities of all parties for public outreach services to support the ReadyOC (ROC) Emergency Preparedness Campaign. This scope of work shall stand as an agreement between the City of Santa Ana (herein after Santa Ana) and Westbound Communications (herein after WBC) for the contracted period. WBC will supply the following services: ROC Website Management o Site content updating o Social media content updating o Site optimization o Site maintenance ROC Advertising and Promotional Communications o Paid advertising o Social media outreach o Broadcast news promotions o Media/corporate promotions o Publicity services o Public Information Outreach Support for ROC Program o Multimedia production and outreach o Citizen and faith -based outreach o Project Administration Services No deviation of this SOW will be allowed without written consent from the Santa Ana Project Manager. Nevertheless, Santa Ana recognizes that projects of this magnitude will likely encounter various unforeseeable events that may cause tasks to overlap or change, and such change will be permissible with the written approval of the Santa Ana Project Manager. This SOW is contingent upon both WBC and Santa Ana fulfilling their respective responsibilities as defined in the Agreement and within this document. Contents The following are included with this SOW: Task Descriptions • Project Change Order • Project Schedule • Milestone Payment Schedule 25B-5 General Project Management Responsibilities Project management occurs throughout the project and is involved in every task. The overall project management activities are listed here for reference. Westbound Responsibilities: a. Maintain project communications with Santa Ana's Project Manager. b. Manage the efforts of the WBC staff and coordinate WBC activities with the Santa Ana Project Manager. c. Conduct on -site status meetings with Santa Ana's Project Manager on a monthly basis or when reasonably required at the discretion of Santa Ana to discuss project status. d. Provide timely responses, within ten (10) business days, to issues raised by Santa Ana's Project Manager. e. Prepare and submit, no later than the fifth business day of each month, a status activity report that includes: the accomplishments of the previous month, activities planned for the current month and any update to the project schedule. f. Prepare and submit project Change Proposals to Santa Ana's Project Manager as necessary. g. Prepare and submit Task Completion Letter(s) with appropriate invoices to Santa Ana's Project Manager. Santa Ana Responsibilities: a. Maintain project communications with the WBC Project Manager. b. Manage the efforts of ROC involved staff and coordinate ROC activities with the WBC Project Manager. c. The Project Manager must ensure that personnel have ample time, resources, and expertise to carry out their respective tasks and responsibilities. d. The Project Manager or his designee will participate in status meetings with the WBC Project Manager on a monthly basis or as may otherwise be reasonably required to discuss project status. e. Provide timely responses, within ten (10) business days, to issues raised by the WBC Project Manager. f. Liaison with all Santa Ana -provided third -party vendors and associated systems. g. Ensure acceptable Change Orders are approved by authorized signature(s). h. Ensure acceptable Task Completion Letter(s) are approved by the Project Manager or his designee. i. Ensure timely payment of invoices. j. Ensure WBC access to server and network equipment and work areas on a 24x7 basis, with pre -authorization for off -hours. k. Provide workspace for WBC personnel as reasonably requested. SOW Format: Each task includes the following: Title, Objective, Task Description, Responsibilities and Completion Criteria. The tasks are depicted on the project schedule. All parties recognize that the SOW is not formatted chronologically with contractual obligations defaulting to the Project Schedule unless otherwise noted. TASK 1: 2019-20 READYOC MARKETING ROAD MAP Objective: Create, establish and implement a formal marketing plan and road map to best promote and provide outreach for ROC during the campaign period. The road map will include project schedules, management procedures and proposed activities. Task Description: Develop, refine, review and approve plan for all campaign initiatives, including the marketing plan and project schedule. Activities include: a. Launch Meetings — conduct a minimum of two meetings with the Santa Ana Project Manager and one meeting ROC Steering Committee to present strategies and recommendations and to get approval to proceed with the Road Map. b. 2019-20 Marketing Road Map — develop and submit a comprehensive marketing communications and promotions plan detailing strategies, objectives, tasks, schedules and metrics for all ROC and Promise to Prepare (P2P) activities during the contracted period. This includes delivery of a 30-40 slide PowerPoint deck plan that details all strategic goals and programming for review by the ROC Steering Committee and for final approval by the Santa Ana Project Manager. c. Project Schedule — develop and complete a comprehensive project schedule that details timing for all activities. d. Project Management & Control Procedures — review and update, as needed, all currently approved control and administrative procedures (change orders, approval processes, etc.) and documents currently on file with the Santa Ana Project Manager. Responsibilities: WBC shall: a. Develop the initiative and seek plan approval from the ROC Steering Committee b. Execute the promotion in accordance with the approved plan Santa Ana shall: a. Approve plan and promotion elements Completion Criteria: This task is considered complete upon the completion of the deliverables detailed in the task description above and when the Santa Ana Project Manager signs the task completion letter. Planned completion and invoicing will be the end of July 2019. 25B-7 TASK 2: READYOC STAKEHOLDER MEETINGS & PLANNING SESSIONS Objective: Manage campaign including administration and communications to the Steering Committee and Santa Ana Project Manager through activities including, but not limited to, meetings, monthly activity reporting, programming documentation, regular communications and presentations to the Steering Committee. Task Description: Provide campaign and promotion updates to the Santa Ana Project Manager through daily and weekly phone calls, emails and meetings (as needed or requested). Maintain weekly and monthly communication with the Steering Committee, including at least one in -person meeting a quarter. Task Description: See sub -tasks for descriptions. Responsibilities: See sub -tasks for specifics. Completion Criteria: This task is considered complete upon completion of administrative deliverables and when the Santa Ana Project Manager signs the completion letter for each subtask noted below. To assure cost and quality controls while accommodating the monthly nature of required work, the task completion is divided into quarterly periods, with each period being considered completed as described in the following subtasks. Objective: Manage campaign including administration and communications to the Steering Committee and Santa Ana Project Manager through activities including, but not limited to, meetings, monthly activity reporting, programming documentation, regular communications, planning and presentations to the Steering Committee. Task Description: Provide campaign and promotion updates to the Santa Ana Project Manager through daily and weekly phone calls, emails and meetings (as needed or requested). Maintain weekly and monthly communication with the Steering Committee, including at least one in -person meeting a quarter. Responsibilities: WBC shall: a. Coordinate, manage and participate in at least one Steering Committee meeting per quarter b. Provide daily, weekly and monthly campaign and promotion updates to the Santa Ana Project Manager r c. Manage ongoing expense tracker, budget and campaign schedule d. Submit task completion letters with task invoices to the Santa Ana Project Manager Santa Ana shall: a. Approve campaign progress, updates and promotions b. Support and facilitate partnering and sponsorship efforts with Steering Committee Completion Criteria: This task is considered complete upon completion of administrative deliverables and when the Santa Ana Project Manager signs the completion letter for the task. Planned completion and implementation is by the end of September 2019. Objective: Manage campaign including administration and communications to the Steering Committee and Santa Ana Project Manager through activities including, but not limited to, meetings, monthly activity reporting, programming documentation, regular communications, planning and presentations to the Steering Committee. Task Description: Provide campaign and promotion updates to the Santa Ana Project Manager through daily and weekly phone calls, emails and meetings (as needed or requested). Maintain weekly and monthly communication with the Steering Committee, including at least one in -person meeting a quarter. Responsibilities: WBC shall: a. Coordinate, manage and participate in at least one Steering Committee meeting per quarter b. Provide daily, weekly and monthly campaign and promotion updates to the Santa Ana Project Manager c. Manage ongoing expense tracker, budget and campaign schedule d. Submit task completion letters with task invoices to the Santa Ana Project Manager Santa Ana shall: c. Approve campaign progress, updates and promotions d. Support and facilitate partnering and sponsorship efforts with Steering Committee Completion Criteria: This task is considered complete upon completion of administrative deliverables and when the Santa Ana Project Manager signs the completion letter for the task. Planned completion and implementation is by the end of December 2019. 25B-9 Objective: Manage campaign including administration and communications to the Steering Committee and Santa Ana Project Manager through activities including, but not limited to, meetings, monthly activity reporting, programming documentation, regular communications, planning and presentations to the Steering Committee. Task Description: Provide campaign and promotion updates to the Santa Ana Project Manager through daily and weekly phone calls, emails and meetings (as needed or requested). Maintain weekly and monthly communication with the Steering Committee, including at least one in -person meeting a quarter. Responsibilities: WBC shall: a. Coordinate, manage and participate in at least one Steering Committee meeting per quarter b. Provide daily, weekly and monthly campaign and promotion updates to the Santa Ana Project Manager c. Manage ongoing expense tracker, budget and campaign schedule d. Submit task completion letters with task invoices to the Santa Ana Project Manager Santa Ana shall: a. Approve campaign progress, updates and promotions b. Support and facilitate partnering and sponsorship efforts with Steering Committee Completion Criteria: This task is considered complete upon completion of administrative deliverables and when the Santa Ana Project Manager signs the completion letter for the task. Planned completion and implementation is by the end of March 2020. Objective: Manage campaign including administration and communications to the Steering Committee and Santa Ana Project Manager through activities including, but not limited to, meetings, monthly activity reporting, programming documentation, regular communications, planning and presentations to the Steering Committee. Task Description: Provide campaign and promotion updates to the Santa Ana Project Manager through daily and weekly phone calls, emails and meetings (as needed or requested). Maintain weekly and monthly communication with the Steering Committee, including at least one in -person meeting a quarter. 25B-10 Responsibilities: WBC shall: a. Coordinate, manage and participate in at least one Steering Committee meeting per quarter b. Provide daily, weekly and monthly campaign and promotion updates to the Santa Ana Project Manager c. Manage ongoing expense tracker, budget and campaign schedule d. Submit task completion letters with task invoices to the Santa Ana Project Manager Santa Ana shall: a. Approve campaign progress, updates and promotions b. Support and facilitate partnering and sponsorship efforts with Steering Committee Completion Criteria: This task is considered complete upon completion of administrative deliverables and when the Santa Ana Project Manager signs the completion letter for the task. Planned completion and implementation is by the end of June 2020. TASK 3: PET PREPARDNESS PROGRAM Objective: Leverage new research that connects pet ownership with a willingness to get prepared by creating a program around pet preparedness. This focus on pets aligns well with the Promise to Prepare and with the Ready Fox mascot, while opening up new outreach opportunities specific for pet owners. Activities will include reaching pet owners at events and at retail while also connecting with students through the campaign's education outreach program. Compelling content will also be generated on pet preparedness for the ROC mobile app, social media channels, community events, website and more. Task Description: See sub -tasks for descriptions. Responsibilities: See sub -tasks for specifics. Completion Criteria: This task is considered complete when all budgeted sub -tasks have been completed in their respective entirety and when the Santa Ana Project Manager signs the task completion letter. TASK 3-A: PET PREPAREDNESS CONTENT & COLLATERAL Objective: Develop a set of Pet Preparedness -focused content and collateral materials. Task Description: Craft Pet Preparedness materials that connect with the Promise to be Prepared (Promise to be Pet Prepared) and that support campaign efforts to generate preparedness action among OC 25B-11 families. Activities will include: a. Pet Preparedness Collateral Materials — create a minimum of 3 new collateral pieces such as coloring sheets, posters, flyers and other hard copy materials for use across the campaign. b. Pet Preparedness Illustrations — develop set of 5-6 illustrations that visually explain pet preparedness with dogs, cats, and livestock (color line drawings) for use in new collateral materials and for posting/download from the website. c. Pet-Themed DigitalNideo Content — create a minimum of 5 pieces of digital and/or video content with Pet Preparedness theme to promote preparedness messages and app downloads/website visits. Responsibilities: WBC shall: a. Create the content and seek plan and program approval from the Santa Ana Project Manager in alignment with the ROC Steering Committee b. Produce materials for use at events, via social media and website and other campaign channels. c. Produce materials for distribution via appropriate online, digital and mobile platforms Santa Ana shall: a. Approve collateral materials content and edits/refinements. Completion Criteria: This task is considered complete when each listed assignment is completed and when the Santa Ana Project Manager signs the task completion letter. Planned completion and implementation is by the end of August 2019. TASK 3-B: PET PREPAREDNESS INTEGRATED MICRO CAMPAIGN #1 Objective: Build and implement a "micro campaign" (a highly targeted promotion that is in -market for a specifically defined time period) focused on leveraging Pet Preparedness to actively promote and drive downloads/traffic to the ROC mobile app and ReadyOC.org site. Task Description: Create, distribute, manage and measure a digital, mobile and/or traditional media (i.e. bus advertising, bus shelter or other) integrated campaign that seeks to drive trackable mobile app downloads and/or website visits. The program will have a 4-8 week run and will feature the Pet Preparedness theme in static, illustrated and/or animated creative, touting the app/website. Mediums to be used may include mobile (i.e. CBS Mobile, Pandora, etc.), digital (via OutFront Media, W4 and others) and/or traditional non -digital media channels. Specific metrics will be developed and approved by the Project Manager prior to the micro campaign's launch. Responsibilities: WBC shall: a. Create the micro campaign and seek plan and program approval from the Santa Ana Project Manager in alignment with the ROC Steering Committee b. Implement and managed the approved campaign s 25B-12 c. Provide campaign assessment and results Santa Ana shall: a. Approve the campaign and review progress/metrics reports Completion Criteria: This task is considered complete when the campaign is implemented and when the Santa Ana Project Manager signs the task completion letter. Planned completion and implementation is by the end of November 2019. TASK 3-B: PET PREPAREDNESS INTEGRATED MICRO CAMPAIGN #2 Objective: Build and implement a second round "micro campaign" that again leverages the Pet Preparedness theme to actively promote and drive downloads/traffic to the ROC mobile app and ReadyOC.org site. Task Description: Create, distribute, manage and measure a digital, mobile and/or traditional media (i.e. bus advertising, bus shelter or other) integrated campaign that seeks to drive trackable mobile app downloads and/or website visits. The program will be for a minimum run of 4-8 weeks and will feature the Pet Preparedness theme in static, illustrated and/or animated creative touting the app/website. Mediums to be used may include mobile (i.e. CBS Mobile, Pandora, etc.), digital (via OutFront Media, W4 and others) and/or traditional non -digital media channels. Specific metrics will be developed and approved by the Project Manager prior to the micro campaign's launch. Responsibilities: WBC shall: a. Create the micro campaign and seek plan and program approval from the Santa Ana Project Manager in alignment with the ROC Steering Committee b. Implement and managed the approved campaign c. Provide campaign assessment and results Santa Ana shall: a. Approve the campaign and review progress/metrics reports Completion Criteria: This task is considered complete when the campaign is implemented and when the Santa Ana Project Manager signs the task completion letter. Planned completion and implementation is by the end of March 2020. TASK 4: PROMISE TO PREPARE (112213) PROMOTION Objective: Extend and maintain the momentum of the P2P program. The emphasis will be on strong public outreach presence, programming, media and marketplace exposure through the end of 25B-13 the contract period. The outreach team looks forward to reaching the milestone of 500,000 promises by the end of the contract period. Task Description: The promotion includes the ongoing public pronouncement that ROC will achieve tangible steps towards preparedness, or documented "Promises to Prepare," from Orange County residents, businesses and community members. This will be achieved through public outreach and media promotions including, but not limited to, the ROC Preparedness Bucket List program, Ready Sundays, video public service announcements (PSAs), smartphone app management and enhancements, and paid and/or earned media outreach. Responsibilities: See sub -tasks for specifics. Completion Criteria: This task is considered complete when all budgeted sub -tasks have been completed in their respective entirety and when the Santa Ana Project Manager signs the task completion letter. TASK 4-A: ROC EMERGENCY PREPAREDNESS BUCKET LIST Objective: Plan, develop and implement concept, distributing a minimum of 2,000 branded five -gallon ROC emergency preparedness buckets to Orange County community members. (Note: WBC in collaboration with the Santa Ana Project Manager will seek to expand the number of distributed buckets through partnering/sponsorship efforts with Lowe's and/or Home Depot). Task Description: Expand and enhance the existing Preparedness Bucket List program momentum that encourages Orange County residents to add preparedness to their "bucket list" — i.e. making sure residents receive a bucket and begin gathering emergency kit items. The ROC -branded buckets will be selectively promoted and distributed to OC community members as a demonstration of a simple preparedness step with suggestions included of what key emergency kit items to place within it. Along with serving as a tangible action step toward preparedness, the bucket concept offers numerous promotional opportunities via publicity, the website, social media and other ROC communication channels. An initial quantity of 2,000 branded buckets will be produced. WBC and the ROC team will also seek to expand the program and number of buckets to be distributed via corporate partnerships and sponsorships. Responsibilities: WBC shall: a. Plan and develop the program with approval from the Santa Ana Project Manager in alignment with the ROC Steering Committee b. Execute the program in accordance with approved plans Santa Ana shall: a. Approve initiative concepts and materials b. Support and facilitate partnering and sponsorship efforts 10 25B-14 Completion Criteria: This task is considered complete upon the production of a minimum of 2,000 buckets and when the Santa Ana Project Manager signs the task completion letter (distribution occurs throughout the contract period). Planned completion of the bucket purchase will be by September 2019. TASK 4-13: MEDIA PROMOTIONS (FALL 2019 Objective: Develop and implement media promotions and concentrated publicity outreach to local print, online, broadcast and/or theater/cinema outlets to promote ROC programming elements, the Promise to Prepare initiatives and the calendar of activities. Task Description: Develop and implement media promotions including, but not limited to, enhancement of the ROC smarlphone app, advertising and/or online promotions, video PSA creation and media outreach to local outlets to direct OC residents to commit to preparedness steps. Task includes ongoing measurement and tracking of promotional elements. Activities will include: a. Wildfire -Focused Campaign —The 2019/2020 wildfire season is projected to be significant so our fall promotion will draw attention to the situation and to helping residents prepare for potential evacuations. Content will be created for placement on all digital platforms while other efforts will boost and support messages and content emanating from Orange County Fire Authority. b. Video PSA — create at least one updated and engaging :30-second video PSA via Final Cut Pro or similar application to increase exposure of ROC in OC community via the ROC website, YouTube channel, city websites and potentially local public access stations, selected regional theatre venues, etc. Responsibilities: WBC shall: a. Develop the initiative and seek plan and program approval from the Santa Ana Project Manager in alignment with the ROC Steering Committee b. Execute the promotions in accordance with the approved plan Santa Ana shall: a. Approve plan and promotion elements Completion Criteria: This task is considered complete upon the completion or booking and scheduling of the deliverables, given media requirements in some instances for upfront payment and when the Santa Ana Project Manager signs the task completion letter. Planned completion and implementation will be by end of October 2019. 11 25B-15 TASK 4-C: MEDIA PROMOTIONS (SPRING 2020 Objective: Develop and implement media promotions and concentrated publicity outreach to local print, online, broadcast and/or theater/cinema outlets to promote ROC programming elements, the Promise to Prepare initiatives and the calendar of activities. Task Description: Develop and implement media promotions including, but not limited to, enhancing the ROC smartphone app, advertising and/or online promotions, video PSA creation and media outreach to local outlets to direct OC residents to commit to preparedness steps. Task includes ongoing measurement and tracking of promotional elements. Activities will include: a. Emergency -Specific Outreach — based on feedback from the Fall 2019 wildfire preparedness campaign, this spring campaign will focus on any specific potential emergencies that are specific to the time period. We will also tap into the Steering Committee for ideas and specific direction that is pertinent to the specific time period of Q1-2020. b. Video PSA — leverage existing video PSA via Final Cut Pro or similar application from Task 4-13 and focus on efforts to expand exposure of ROC via additional placements within the OC community via the ROC website, YouTube channel, city websites, local public access stations, selected regional theatre venues, etc. Responsibilities: WBC shall: a. Develop the initiative and seek plan and program approval from the Santa Ana Project Manager in alignment with the ROC Steering Committee b. Execute the promotions in accordance with the approved plan Santa Ana shall: a. Approve plan and promotion elements Completion Criteria: This task is considered complete upon the completion or booking and scheduling of the deliverables, given media requirements in some instances for upfront payment and when the Santa Ana Project Manager signs the task completion letter. Planned completion and implementation will be by the end of March 2020. TASK 4-13: SOCIAL MEDIA & BROADCAST VIDEO PROMOTION (FALL 2019) Objective: Create and distribute a series of videos that emphasis the P2P campaign with time -sensitive themes emphasizing the dangers of wildfires and importance of honoring evacuation notices. 12 25B-16 Task Description: Research, identify, plan and produce one creative 30-second video concept using "illustrative' techniques for distribution via social media, website and/or broadcast platforms (local cable TV, theatres, etc.). Responsibilities: WBC shall: a. Plan, develop and produce the video with approval from the Santa Ana Project Manager in alignment with the ROC Steering Committee b. Execute distribution in accordance with approved plans Santa Ana shall: a. Approve initiative concepts, production and distribution plan Completion Criteria: This task is considered complete upon completion of all tasks and when the Santa Ana Project Manager signs the task completion letter. Planned completion and implementation will be by November 2019. TASK 4-E: SOCIAL MEDIA & BROADCAST VIDEO PROMOTION (SPRING 2020 Objective: Create and distribute a series of compelling video PSAs that focus on emergency threats specific to the season and time period in early 2020, with a goal that viewers of the PSAs will make their promise to prepare and/or sign up for the ReadyOC mobile app and AlertOC notification system. Task Description: Research, identify, plan and produce one creative 30-second video concept using "illustrative" techniques for distribution via social media, website and/or broadcast platforms (local cable TV, theatres, etc.). Responsibilities: WBC shall: a. Plan, develop and produce the video with approval from the Santa Ana Project Manager in alignment with the ROC Steering Committee b. Execute distribution in accordance with approved plans Santa Ana shall: a. Approve initiative concepts, production and distribution plan Completion Criteria: This task is considered complete upon completion of all tasks and when the Santa Ana Project Manager signs the task completion letter. Planned completion and implementation will be by May 2020. 13 25B-17 TASK 5: EDUCATION -BASED OUTREACH AND MEDIA RELATIONS Objective: Continue to execute activities with OC education organizations, schools and after -school programs to support ROC emergency preparedness efforts and the Promise to Prepare initiative. This includes leveraging, as needed, the previously created Ready Fox character - based programming/assembly. Also included in this task is a dedicated media relations effort designed to identify and secure editorial placements with OC- and LA -based news outlets. Task Description: See sub -tasks for specifics. Responsibilities: See sub -tasks for specifics. Completion Criteria: This task is considered complete when all budgeted sub -tasks have been completed in their respective entirety. TASK 5-A: MEDIA RELATIONS OUTREACH (AUG-OCT 2019 Objective: Apply the "Three Cs" of media relations —1) Communicate news about the ReadyOC campaign, 2) Capitalize on news of the day pertaining to readiness, and 3) Create news about the ReadyOC campaign — in support of educational programming, family preparedness planning and the overall Promise to Prepare initiative. Task Description: Implement a monthly effort to identify, craft, coordinate and deliver stories about preparedness in Orange County in ways that help secure editorial coverage by print, digital/online, radio and television news outlets. Efforts will also be made to offer county resources — Fire and PD chiefs, subject matter experts, elected officials — to reporters and producers when news attention is trained on emergencies and threats. At least one story relating to ReadyOC and/or preparedness will be crafted each month. Responsibilities: WBC shall: a. Develop the initiative and seek plan (and creative, if needed) approval from the Santa Ana Project Manager in alignment with the ROC Steering Committee Santa Ana shall: a. Approve plan and activities Completion Criteria: This task is considered complete upon purchase and implementation of the bus advertising and when the Santa Ana Project Manager signs the task completion letter. Completion is planned to occur by October 2019. 14 25B-18 TASK 5-B: MEDIA RELATIONS OUTREACH (NOV 2019-JAN 2020 Objective: Apply the "Three Cs" of media relations —1) Communicate news about the ReadyOC campaign, 2) Capitalize on news of the day pertaining to readiness, and 3) Create news about the ReadyOC campaign — in support of educational programming, family preparedness planning and the overall Promise to Prepare initiative. Task Description: Implement a monthly effort to identify, craft, coordinate and deliver stories about preparedness in Orange County in ways that help secure editorial coverage by print, digital/online, radio and television news outlets. Efforts will also be made to offer county resources — Fire and PD chiefs, subject matter experts, elected officials — to reporters and producers when news attention is trained on emergencies and threats. At least one story relating to ReadyOC and/or preparedness will be crafted each month. Responsibilities: WBC shall: a. Develop the initiative and seek plan (and creative, if needed) approval from the Santa Ana Project Manager in alignment with the ROC Steering Committee Santa Ana shall: a. Approve plan and activities Completion Criteria: This task is considered complete upon purchase and implementation of the bus advertising and when the Santa Ana Project Manager signs the task completion letter. Completion is planned to occur by January 2020. TASK 5-C: MEDIA RELATIONS OUTREACH (FEB-APRIL 2020 Objective: Apply the 'Three Cs" of media relations —1) Communicate news about the ReadyOC campaign, 2) Capitalize on news of the day pertaining to readiness, and 3) Create news about the ReadyOC campaign — in support of educational programming, family preparedness planning and the overall Promise to Prepare initiative. Task Description: Implement a monthly effort to identify, craft, coordinate and deliver stories about preparedness in Orange County in ways that help secure editorial coverage by print, digital/online, radio and television news outlets. Efforts will also be made to offer county resources — Fire and PD chiefs, subject matter experts, elected officials — to reporters and producers when news attention is trained on emergencies and threats. At least one story relating to ReadyOC and/or preparedness will be crafted each month. Responsibilities: WBC shall: a. Develop the initiative and seek plan (and creative, if needed) approval from the Santa Ana Project Manager in alignment with the ROC Steering Committee 15 25B-19 Santa Ana shall: a. Approve plan and activities Completion Criteria: This task is considered complete upon purchase and implementation of the bus advertising and when the Santa Ana Project Manager signs the task completion letter. Completion is planned to occur by April 2020. TASK 5-D: SCHOOL ASSEMBLIES PROGRAM (FALUWINTER 2019) Objective: Continue implementation of the successful Ready Fox/Promise to Prepare school assembly educational programming. This will be accomplished through a multitude of activities, including expanded assemblies, presentations to community and stakeholder groups, bus advertising and more. Task Description: Handle all aspects of programming, materials development and distribution, school assemblies and other activities/events. Activities and assignments include: a. Elementary School Assembly Program - extend and implement elementary school assembly program and promotion throughout Orange County, seeking to conduct approximately 8 total assemblies during the contracted period. i. This encompasses scheduling, supporting and promoting assemblies leveraging Officer John Reed or another professional speaker with elementary schools throughout Orange County. ii. Officer John Reed/professional speaker is responsible for conducting assemblies on his own, with the exception of 1-2 assemblies which will be additionally staffed for formal research and feedback as well as for quality control. iii. Tasks include booking assemblies, managing the annual calendar, promoting events through OCDE, school districts and individual school sites, capturing, posting and distributing video, photos and other content, creating and distributing information kits, post -event school follow-up and more. iv. Ongoing documentation and management of assembly program metrics. b. OCDE & School Districts Communication Program - develop and disseminate regular quarterly communications that promote ROC and P2P emergency preparedness initiatives to and through the county (OCDE) and school districts. Responsibilities: WBC shall: a. Develop the initiative and seek plan approval from the Santa Ana Project Manager in alignment with the ROC Steering Committee Santa Ana shall: a. Approve plan and activities 25B-20 16 Completion Criteria: This task is considered complete upon delivery of presentations to the required schools and when the Santa Ana Project Manager signs the task completion letter. Completion is planned to occur by December 2019. TASK 5-E: READY FOX ASSEMBLIES PROGRAM (WINTER/SPRING 2020) Objective: Continue implementation of the successful Ready Fox/Promise to Prepare school assembly educational programming. This will be accomplished through a multitude of activities, including expanded assemblies, presentations to community and stakeholder groups, bus advertising and more. Task Description: Handle all aspects of programming, materials development and distribution, school assemblies and other activities/events. Activities and assignments include: a. Elementary School Assembly Program - extend and implement elementary school assembly program and promotion throughout Orange County, seeking to conduct approximately 8 total assemblies during the contracted period. i. This encompasses scheduling, supporting and promoting assemblies leveraging Officer John Reed or another professional speaker with elementary schools throughout Orange County. ii. Officer John Reed/professional speaker is responsible for conducting assemblies on his own, with the exception of 1-2 assemblies which will be additionally staffed for formal research and feedback as well as for quality control. iii. Tasks include booking assemblies, managing the annual calendar, promoting events through OCDE, school districts and individual school sites, capturing, posting and distributing video, photos and other content, creating and distributing information kits, post -event school follow-up and more. iv. Ongoing documentation and management of assembly program metrics. b. OCDE & School Districts Communication Program - develop and disseminate regular quarterly communications that promote ROC and P2P emergency preparedness initiatives to and through the county (OCDE) and school districts. Responsibilities: WBC shall: a. Develop the initiative and seek plan approval from the Santa Ana Project Manager in alignment with the ROC Steering Committee Santa Ana shall: a. Approve plan and activities Completion Criteria: This task is considered complete upon delivery of presentations to the required schools and when the Santa Ana Project Manager signs the task completion letter. Completion is planned to occur by May 2020. 17 25B-21 TASK 5-F: PROFESSIONAL SERVICES STAFFING Objective: Provide professional staffing through Officer John Reed for education -based outreach such as school assemblies, after -school programs and other similar activities supporting the ROC campaign. Task Description: Officer Reed leads all staffing for school assemblies and other education -based programming. This includes staffing a minimum of two dozen elementary school assembly programs based on an annual events calendar coordinated, booked and administered by the Westbound team. This task covers both professional services fees and out of pocket costs for expenses such as mileage and materials. Responsibilities: WBC shall: a. Develop the initiative and seek plan approval from the Santa Ana Project Manager in alignment with the ROC Steering Committee Santa Ana shall: a. Approve plan and activities Completion Criteria: Services and costs under this task, since they are professional services, are invoiced monthly as accrued by Officer Reed. Detailed time sheets and expense reports will be submitted with all invoices. Completion of all assignments under this contract will occur by May 2020. TASK 6: COMMUNITY i£ CITIZENS OUTREACH Objective: Develop and implement ongoing community and citizens' outreach at targeted community, emergency preparedness, faith -based and other designated events and/or presentation venues, seeking to reach and engage with hundreds of thousands of citizens and community members. Task Description: See sub -tasks for specifics. Responsibilities: See sub -tasks for specifics. Completion Criteria: This task is considered complete when all budgeted sub -tasks have been completed in their respective entirety. 18 25B-22 TASK 6-A• COMMUNITY & CITIZENS OUTREACH (FALL 2019) Objective: Develop and implement ongoing community and citizens' outreach at targeted community, emergency preparedness, faith -based and other designated events and/or presentation venues, seeking to reach and engage with hundreds of thousands of citizens and community members. Task Description: Calendar, staff and manage up to 8 community (ex. Irvine Global Village Festival) and emergency preparedness (ex. Dana Point Preparedness Expo) events as well as presentations and faith -based Ready Sunday events to targeted community organ izations/groups. Activities include: a. Master Community & Citizen Events Calendar - create and manage a master annual calendar for all milestone events that ROC will participate in and/or staff in support of emergency preparedness outreach efforts and the P2P initiative. b. Event Promotion & Staffing - promote and staff (as appropriate) up to 8 community events throughout Orange County that are aligned with the Master Community & Citizen Events Calendar. Event activities may include table displays, team presentations, ROC/P2P materials and giveaway distribution and more. c. Manage the ongoing reporting and measurement of campaign data including event impressions, promises, etc. Responsibilities: WBC shall: a. Develop the outreach and seek plan approval from the Santa Ana Project Manager in alignment with the ROC Steering Committee b. Execute the outreach in accordance with the approved plan Santa Ana shall: a. Approve plan and promotional elements Completion Criteria: This task is considered complete upon the completion of the calendared event outreach and when the Santa Ana Project Manager signs the task completion letter. Completion is planned December 2019. TASK 6-B: COMMUNITY & CITIZENS OUTREACH (WINTERISPRING 2020) Objective: Develop and implement ongoing community and citizens' outreach at targeted community, emergency preparedness, faith -based and other designated events and/or presentation venues, seeking to reach and engage with hundreds of thousands of citizens and community members. 19 25B-23 Task Description: Calendar, staff and manage up to 8 community (ex. Rossmoor Community Festival) and emergency preparedness (ex. OCWD Children's Water Festival) events as well as presentations and faith -based Ready Sunday events to targeted community organ izations/groups. Activities include: a. Master Community & Citizen Events Calendar - create and manage a master annual calendar for all milestone events that ROC will participate in and/or staff in support of emergency preparedness outreach efforts and the P213 initiative. b. Event Promotion & Staffing - promote and staff (as appropriate) up to 8 community events throughout Orange County that are aligned with the Master Community & Citizen Events Calendar. Event activities may include table displays, team presentations, ROC/P2P materials and giveaway distribution and more. c. Manage the ongoing reporting and measurement of campaign data including event impressions, promises, etc. Responsibilities: WBC shall: a. Develop the outreach and seek plan approval from the Santa Ana Project Manager in alignment with the ROC Steering Committee b. Execute the outreach in accordance with the approved plan Santa Ana shall: a. Approve plan and promotional elements Completion Criteria: This task is considered complete upon the completion of the calendared event outreach and when the Santa Ana Project Manager signs the task completion letter. Completion is planned by May 2020. TASK 7: PARTNERING, PIGS AND PRESENTATIONS Objective: Continue managing current Corporate Advisory Council (CAC) group with emphasis on enhancing participation benefits, retaining current active members, and expanding successes in leveraging CAC resources, connections and contributions to the overall ROC initiative during the contract period. However, while the CAC exists as a designation (and any benefits) for its members, the goal of this task is to amplify the ReadyOC and P213 message through partnerships with public and private organizations; through Public Information Officers (PIOs) on behalf of OC government agencies; and through educational presentations that the ReadyOC outreach team gives during the contract period. Task Description: See sub -tasks for specifics. Responsibilities: See sub -tasks for specifics. 25B-24 20 Completion Criteria: This task is considered complete when all budgeted sub -tasks have been completed in their respective entirety. TASK 7-A: PARTNERING, PIOS AND PRESENTATIONS (JULY-DEC 2019) Objective: Continue managing current CAC group with emphasis on enhancing participation benefits while also leveraging CAC resources, connections and contributions to the overall ROC initiative during the year. Meanwhile, a list of PIOs will be built with the goal of establishing complementary relationships where social media posts are shared and new audiences are reached with the ROC message through the followers of key PIOs. Task Description: Continue momentum in expanding and leveraging key partnerships to help provide opportunities, extensions, and ongoing support for ROC. Activities include: a. Secure and promote partnerships that promote ROC and preparedness efforts across OC — continue to leverage and refine the designated CAC ambassadors to facilitate and deepen relationship efforts while also making requests for in -kind donations and support. b. Build List of PIOs — build a database of PIOs for as many government jurisdictions as possible — cities, water districts, fire departments, police departments, etc. — and ask them to share messages about preparedness. c. Presentations — Make presentations to key groups that are linked to preparedness efforts. The ReadyOC outreach team will make a minimum of two presentations to groups such as OCEMO, Interfaith Council, Water Continuity Group, PD Chiefs, Chambers of Commerce, etc.in support of ROC and with a goal of promoting partnerships and message sharing. Responsibilities: WBC shall: a. Develop and implement the program with approval from the Santa Ana Project Manager in alignment with the ROC Steering Committee Santa Ana shall: a. Approve the program and promotional efforts Completion Criteria: This task will be implemented throughout the performance period and when the Santa Ana Project Manager signs the task completion letter. Completion is planned to occur by December 2019. TASK 7-B: PARTNERING, PIOS AND PRESENTATIONS (JAN-APRIL 2020) Objective: Continue managing current CAC group with emphasis on enhancing participation benefits while also leveraging CAC resources, connections and contributions to the overall ROC 21 25B-25 initiative during the year. Meanwhile, a list of PIOs will be built with the goal of establishing complementary relationships where social media posts are shared and new audiences are reached with the ROC message through the followers of key PIOs. Task Description: Continue momentum in expanding and leveraging key partnerships to help provide opportunities, extensions, and ongoing support for ROC. Activities include: a. Secure and promote partnerships that promote ROC and preparedness efforts across OC — continue to leverage and refine the designated CAC ambassadors to facilitate and deepen relationship efforts while also making requests for in -kind donations and support. b. Build List of PIOs — build a database of PIOs for as many government jurisdictions as possible — cities, water districts, fire departments, police departments, etc. — and ask them to share messages about preparedness. c. Presentations — Make presentations to key groups that are linked to preparedness efforts. The ReadyOC outreach team will make a minimum of two presentations to groups such as OCEMO, Interfaith Council, Water Continuity Group, PD Chiefs, Chambers of Commerce, etc.in support of ROC and with a goal of promoting partnerships and message sharing. Responsibilities: WBC shall: a. Develop and implement the program with approval from the Santa Ana Project Manager in alignment with the ROC Steering Committee Santa Ana shall: a. Approve the program and promotional efforts Completion Criteria: This task will be implemented throughout the performance period and when the Santa Ana Project Manager signs the task completion letter. Completion is planned to occur by April 2020 TASK 8: WEBSITE. SOCIAL MEDIA & MOBILE OUTREACH AND MAINTENANCE Objective: Update, manage, host and maintain the ReadyOC.org website and provide recommendations for updates to improve the user experience and functionality. Also update, manage and maintain campaign social media channels 24/7 during the contract term. Website and social media will be leveraged to continue to support the campaign's public awareness and engagement activities. Task Description: See sub -tasks for specifics. Responsibilities: See sub -tasks for specifics. 25B-26 22 Completion Criteria: This task is considered complete when all budgeted sub -tasks have been completed in their respective entirety. Objective: Update, manage, host and maintain the ReadyOC.org website and provide recommendations for updates to improve the user experience and functionality. Also update, manage and maintain campaign social media channels, Twitter, Facebook, Instagram and YouTube, 24/7 through the fall 2019. Task Description: Handle all aspects of website and social media updates, optimization, hosting, maintenance, management and metrics/reporting needs in accordance with ROC approved processes and protocols. a. Web Hosting Service — coordinate and maintain third party hosting service for website on annual basis with service provider b. Interactive Web Elements - create and implement two Final Cut Pro presentations (online video/photo presentations) and three to four new focus area updates for the website homepage per month c. Quality Check — implement a quality check of all links, content and verbiage of the ReadyOC.org website to ensure content is up-to-date for visitors d. Social Media Content - create and share engaging photo, video and relevant preparedness content via social media channels. e. Manage and Enhance ROC Smartphone App —send monthly push notifications, update technical features and enhance smartphone app for Apple and Android mobile and tablet products with a new feature such improvement navigation and database functionality. f. App Promotion Plan & Program — develop and implement plan to promote and drive app downloads. This will include a mix of publicity, advertising, video, website, social media and other offline and online marketing elements. g. Manage the ongoing reporting and measurement of campaign data social media impressions and website traffic, and app downloads among others. Responsibilities: WBC shall: a. Develop the initiative, elements and seek plan approval from the Santa Ana Project Manager in alignment with the ROC Steering Committee Santa Ana shall: a. Approve web elements, collateral materials and social media plan Completion Criteria: This task is considered complete upon the completion of the support period and when the Santa Ana Project Manager signs the task completion letter. Completion is planned by October 2019. 23 25B-27 TASK 8-13: WEBSITE, SOCIAL MEDIA. ONLINE & MOBILE APP OUTREACH AND MAINTENANCE (WINTER/SPRING 2020) Objective: Update, manage, host and maintain the ReadyOC.org website and provide recommendations for updates to improve the user experience and functionality. Also update, manage and maintain campaign social media channels, Twitter, Facebook, Instagram and YouTube, 24/7 during this period. Task Description: Handle all aspects of website and social media updates, optimization, hosting, maintenance, management and metrics/reporting needs in accordance with ROC approved processes and protocols. a. Web Hosting Service — coordinate and maintain third party hosting service for website on annual basis with service provider b. Interactive Web Elements - create and implement two Final Cut Pro presentations (online video/photo presentations) and three to four new focus area updates for the website homepage per month c. Quality Check — implement a quality check of all links, content and verbiage of the ReadyOC.org website to ensure content is up-to-date for visitors d. Social Media Content - create and share engaging photo, video and relevant preparedness content via social media channels. e. Manage and Enhance ROC Smartphone App —send monthly push notifications, update technical features and enhance smartphone app for Apple and Android mobile and tablet products with a new feature such improvement navigation and database functionality. f. App Promotion Plan & Program — develop and implement plan to promote and drive app downloads. This will include a mix of publicity, advertising, video, website, social media and other offline and online marketing elements. g. Manage the ongoing reporting and measurement of campaign data social media impressions and website traffic, and app downloads among others. Responsibilities: WBC shall: a. Develop the initiative, elements and seek plan approval from the Santa Ana Project Manager in alignment with the ROC Steering Committee Santa Ana shall: a. Approve web elements, collateral materials and social media plan Completion Criteria: This task is considered complete upon the completion of the support period and when the Santa Ana Project Manager signs the task completion letter. Completion is planned by the end of March 2020. 24 25B-28 TASK 9: COLLATERAL MATERIALS Objective: Develop, produce and update ROC and P213 collateral materials for use in all programming as appropriate. Task Description: Handle design, writing, production and distribution of all materials supporting ROC and P2P initiatives. The following are recommendations for items and quantities to be ordered. However, in the marketing roadmap more specific recommendations will be made that could include slight changes and/or additions to this list. a. ROC Preparedness Bucket List Flyers, 2,000 total quantity with checklist b. ROC Family Emergency Plans, 15,000 total quantity c. P2P Fact Sheets, 15,000 total quantity Responsibilities: WBC shall: a. Develop all materials and seek approval from the Santa Ana Project Manager in alignment with the ROC Steering Committee b. Produce materials in accordance with Steering Committee approvals Santa Ana shall: a. Approve materials Completion Criteria: This task is considered complete upon the order or delivery of the promotional materials, given requirements in some instances for upfront payment, and when the Santa Ana Project Manager signs the task completion letter. Completion is planned to occur by November 2019. TASK 10: PROMOTIONAL MATERIALS Objective: Develop, produce and update ROC and P2P promotional materials for use in all programming as appropriate. Task Description: Handle design, writing, and production of all materials supporting ROC and P2P initiatives. a. ROC/P2P "Premium" Giveaway Item, 10,000 total quantity (replacement to wristbands and first aid kits from previous years) b. ROC/P2P Emergency Document Bags, 15,000 total quantity c. ROC/P2P Extra Premium: Giveaway Item, 1,000 total quantity d. Preparedness "Starter Kits — 50 Preparedness "starter' kits with a higher perceived value to be distributed through raffle prizes, at partnership events and for VIPs. Responsibilities: WBC shall: 25 25B-29 a. Develop all materials and seek approval from the Santa Ana Project Manager in alignment with the ROC Steering Committee b. Produce materials in accordance with Steering Committee approvals Santa Ana shall: a. Approve materials Completion Criteria: This task is considered complete upon the order or delivery of the promotional materials, given requirements in some instances for upfront payment, and when the Santa Ana Project Manager signs the task completion letter. Completion is planned to occur by November 2019. TASK 11: MOBILE APP DEVELOPMENT Objective: Complete the full revamp of the campaign mobile app for both iOS and Google Play. Task Description: Process second and final installment for the complete revamp of the ReadyOC mobile app, as approved by the SAPD under the previous year's scope of work. a. Work with app developer to ensure the successful public launch of the app. b. Submit second and final installment for the mobile app. Responsibilities: WBC shall: a. Execute testing of the mobile app and oversee public launch. Santa Ana shall: a. Assist with app launch as necessary Completion Criteria: This task is considered complete upon the launch of the new mobile app and when the Santa Ana Project Manager signs the task completion letter. Completion is planned to occur by August 2019. 25B-30 �r 0) O O) N N N O O1 O) O 0) 0) N N OI O O T Of O O) O O O O O O O OI O O Q) O O) 01 O] • O N O N O N N O N O N O p N O O N N p O N O N O N N N O N O N O O N O N O N O N t N N t N N N N O Q Z Z� O Z Z ' 20 y O� O pd < O 2 2 o Q O< 2 <' 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 o 0 O 0 O 0 0 0 0 0 0 0 0 0 0- 0- o o0 c o 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0- - O O O O O O O O O �O N O O O O O O O O O O O m C 0 C 0 0 O O- 1�O- M fA t9 fM f9 fn Hi !9 fA l9 t9 M t9 !9 M EA !9 i9 f9 M to M V> t9 4i RA M fA O N N O O O N O d N O O C Z N d iO zi< N 6 O p N LP d d V% W .52.2.2.0 N N N N E rd. (q d d d d iY iG < U tE •IO ? C 'CCCC C C C = dlO E C C y O O O C Q Z Zd N N O N N N O O O Of N N C_N Ntjp I1- Nd d O O N C OC OC mu% Q sNo= o� am Odt0 o C .- . 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W Qaaaa ' 'cJ 'V O d m m o o Q Z M E E d d 0 a a J a 0 N y d d d d� D: ry y ry O O d d O O Z 'O O 'O t U t U O O U O U Z (O d y 4L O D- d 0 o w w y y h Z w a n es F F a O O 6 y V m F l I Q O W ' C) 0 IZ- m g 0 m w w w z o' z ¢' w O K O umm < m U a < m U Q m U C) w Q m NNNN A C A 4444a Qm UO W W <m <m ci ab Y Y Y Y Y Y Y y Y Y Y Y IA Y6 L6 L6 L6 L (b fb �, Y Y f/1 V) 41 N N N N N t0 N N lo TI. a a a Q a aaa- 25B-31 Exhibit B-1 If You See Something, Say Something (S4) — OC Initiative FYI S4 STATEMENT OF WORK General Information: The following Statement of Work (SOW) defines the principle activities and responsibilities of all parties for public outreach services to support the "if You See Something, Say Something" (S4) initiative for Orange County. This scope of work shall stand as an agreement between the City of Santa Ana (hereinafter Santa Ana) and Westbound Communications (hereinafter WBC). WBC will supply the following services during a 12-month term: o S4 Media Promotions o Paid and sponsored advertising o Public Service Announcements (PSAs) o Earned media (editorial publicity) o . Marketing Support for S4 Program 0 2019/2020 marketing road map o Citizen and community outreach o Promotional partnering o Event marketing o Project Administration Services o S4 Microsite and Social Media Platform Management o Site maintenance management o Social media content development and outreach o Social media maintenance management No deviation of this SOW will be allowed without written consent from the Santa Ana Project Manager. Nevertheless, Santa Ana recognizes that projects of this magnitude will likely encounter various unforeseeable events that may cause tasks to overlap or change, and such change will be permissible with the approval of Santa Ana Project Manager. This SOW is contingent upon both WBC and Santa Ana fulfilling their respective responsibilities as defined in the Agreement and within this document. Contents The following are included with this SOW: Task Descriptions Project Change Order Project Schedule 25B-32 • Milestone Payment Schedule General Project Management Responsibilities Project management occurs throughout the project and is involved in every task. The overall project management activities are listed here for reference. Westbound Responsibilities: a. Maintain project communications with Santa Ana's Project Manager. b. Manage the efforts of the WBC staff and coordinate WBC activities with the Santa Ana Project Manager. c. Conduct on -site status meetings with Santa Ana's Project Manager on a monthly basis or when reasonably required at the discretion of Santa Ana to discuss project status. d. Provide timely responses, within ten (10) business days, to issues raised by Santa Ana's Project Manager. e. Prepare and submit, no later than the fifth business day of each month, a status report that includes: the accomplishments of the previous month, activities planned for the current month and any update to the project schedule. f. Prepare and submit project Change Proposals to Santa Ana's Project Manager as necessary. g. Prepare and submit Task Completion Letter(s) to Santa Ana's Project Manager as necessary. Santa Ana Responsibilities: a. Maintain project communications with the WBC Project Manager. b. Manage the efforts of S4 involved staff and coordinate S4 activities with the WBC Project Manager. c. The Project Manager must ensure that their personnel have ample time, resources, and expertise to carry out their respective tasks and responsibilities. d. The Project Manager or his designee will participate in the status meeting with the WBC Project Manager on a monthly basis or as may otherwise be reasonably required to discuss project status. e. Provide timely responses, within ten (10) business days, to issues raised by the WBC Project Manager. f. Liaison with all Santa Ana -provided third -party vendors and associated systems. g. Ensure acceptable Change Orders are approved by authorized signature(s). h. Ensure acceptable Task Completion Letter(s) are approved by the Project Manager or his designee. i. Ensure timely payment of invoices. j. Ensure WBC access to server and network equipment and work areas on a 24x7 basis, with pre -authorization for off -hours. k. Provide workspace for WBC personnel as reasonably requested. SOW Format: Each task includes the following: Title, Objective, Task Description, Responsibilities and Completion Criteria. The tasks are depicted on the project schedule. All parties recognize that the SOW is not formatted chronologically with contractual obligations defaulting to Project Schedule unless otherwise noted. 25B-33 TASK 1: 2019-2020 S4 MARKETING ROAD MAP Objective: Create, establish and implement a formal marketing plan and road map to best promote and provide outreach for S4 during the campaign period. The road map will include project schedules, management procedures and proposed activities. Task Description: Develop, refine, review and approve plan for all campaign initiatives, including the marketing plan and project schedule. Activities include: a. Launch Meetings — conduct a minimum of two meetings with the Santa Ana Project Manager and one meeting with the S4 Steering Committee to present strategies and recommendations to get approval to proceed with the Road Map. b. 2019-20 Marketing Road Map — develop and submit a comprehensive marketing communications and promotions plan detailing strategies, objectives, tasks, schedules and metrics for all S4 activities during the contracted period. This includes delivery of a 20-30 slide PowerPoint deck plan that details all strategic goals and recommended programming for review by the S4 Steering Committee and for final approval by the Santa Ana Project Manager. c. Project Schedule — develop and complete a comprehensive project schedule that details timing for all activities. d. Project Management & Control Procedures — review and update, as needed, all currently approved control and administrative procedures (change orders, approval processes, etc.) and documents currently on file with the Santa Ana Project Manager. Responsibilities: WBC shall: a. Develop the initiative and seek plan approval from the S4 Steering Committee b. Execute the road map in accordance with approved plans Santa Ana shall: a. Approve the plan and promotion elements Completion Criteria: This task is considered complete upon the completion of the above deliverables and when the Santa Ana Project Manager signs the task completion letter. Planned completion and invoicing will be in July 2019. TASK 2: S4 STAKEHOLDER MEETINGS & PLANNING SESSIONS Objective: Manage campaign administration and updates to the Steering Committee and Santa Ana Project Manager through activities including, but not limited to, meetings, monthly activity reporting, programming documentation, and regular communications and presentations to Steering Committee. 25B-34 Task Description: Provide campaign and promotion updates to the Santa Ana Project Manager through daily and weekly phone calls, emails and meetings (as needed or requested). Maintain weekly and monthly communication with the S4 Steering Committee, including at least one in -person meeting a quarter. Responsibilities: WBC shall: a. Coordinate, manage and participate in at least one Steering Committee meeting per quarter b. Provide daily, weekly and monthly campaign and promotion updates to the Santa Ana Project Manager c. Manage ongoing expense tracker, budget and campaign schedule d. Submit task completion letters with task invoices to the Santa Ana Project Manager Santa Ana shall: a. Approve campaign progress, updates and promotions b. Support and facilitate partnering and sponsorship efforts with Steering Committee Completion Criteria: This task is considered complete upon completion of administrative deliverables and when the Santa Ana Project Manager signs the completion letter for each subtask noted below. To assure cost and quality controls while accommodating the monthly nature of required work, the task completion is divided into quarterly periods, with each period being considered completed as described in the following subtasks. TASK 2-A: S4 STAKEHOLDER MEETING & PLANNING SESSIONS (JULY-SEPT 2019) Objective: Manage campaign administration and updates to the Steering Committee and Santa Ana Project Manager through activities including, but not limited to, meetings, monthly activity reporting, programming documentation, regular communications and presentations to Steering Committee. Task Description: Provide campaign and promotion updates to the Santa Ana Project Manager through daily and weekly phone calls, emails and meetings (as needed or requested). Maintain weekly and monthly communication with the Steering Committee, including at least one formal meeting/conference call during the quarter, unless otherwise directed and approved by the Santa Ana Project Manager. Responsibilities: WBC shall: a. Coordinate, manage and participate in at least one Steering Committee meeting b. Provide daily, weekly and monthly campaign and promotion updates to the Santa Ana Project Manager c. Manage ongoing expense tracker, budget and campaign schedule 25B-35 d. Submit task completion letters with task invoices to the Santa Ana Project Manager Santa Ana shall: a. Approve campaign progress, updates and promotions b. Support and facilitate partnering and sponsorship efforts with Steering Committee Santa Ana shall: a. Approve campaign progress, updates and promotions Completion Criteria: This task is considered complete upon completion of administrative deliverables and when the Santa Ana Project Manager signs the completion letter for the task. Planned completion and implementation is by the end of September 2019. TASK 2-B: S4 STAKEHOLDER MEETINGS & PLANNING SESSIONS (OCT-DEC 2019 Objective: Manage campaign updates, administration and promotions to the Steering Committee and Santa Ana Project Manager through activities including, but not limited to, meetings, monthly activity reporting, programming documentation, regular communications and presentations to Steering Committee and corresponding agency partners during this quarterly period. Task Description: Provide campaign and promotion updates to the Santa Ana Project Manager through daily and weekly phone calls, emails and meetings (as needed or requested). Maintain weekly and monthly communication with the Steering Committee, including at least one formal meeting/conference call during the quarter, unless otherwise directed and approved by the Santa Ana Project Manager. Responsibilities: WBC shall: a. Coordinate, manage and participate in at least one Steering Committee meeting b. Provide daily, weekly and monthly campaign and promotion updates to the Santa Ana Project Manager c. Manage ongoing expense tracker, budget and campaign schedule d. Submit task completion letters with task invoices to the Santa Ana Project Manager Santa Ana shall: a. Approve campaign progress, updates and promotions b. Support and facilitate partnering and sponsorship efforts with Steering Committee Santa Ana shall: a. Approve campaign progress, updates and promotions 25B-36 Completion Criteria: This task is considered complete upon completion of administrative deliverables and when the Santa Ana Project Manager signs the completion letter for the task. Planned completion and implementation is by the end of December 2019. TASK 2-C: S4 STAKEHOLDER MEETINGS & PLANNING SESSIONS (JAN-MARCH 2O20) Objective: Manage campaign administration and updates to the Steering Committee and Santa Ana Project Manager through activities including, but not limited to, meetings, monthly activity reporting, programming documentation, regular communications and presentations to Steering Committee. Task Description: Provide campaign and promotion updates to the Santa Ana Project Manager through daily and weekly phone calls, emails and meetings (as needed or requested). Maintain weekly and monthly communication with the Steering Committee, including at least one formal meeting/conference call during the quarter, unless otherwise directed and approved by the Santa Ana Project Manager. Responsibilities: WBC shall: a. Coordinate, manage and participate in at least one Steering Committee meeting b. Provide daily, weekly and monthly campaign and promotion updates to the Santa Ana Project Manager c. Manage ongoing expense tracker, budget and campaign schedule d. Submit task completion letters with task invoices to the Santa Ana Project Manager Santa Ana shall: a. Approve campaign progress, updates and promotions b. Support and facilitate partnering and sponsorship efforts with Steering Committee Santa Ana shall: a. Approve campaign progress, updates and promotions Completion Criteria: This task is considered complete upon completion of administrative deliverables and when the Santa Ana Project Manager signs the completion letter for the task. Planned completion and implementation is by the end of March 2020. TASK 2-D• S4 STAKEHOLDER MEETINGS & PROMOTIONS (APRIL-JUN 2020) Objective: Manage campaign administration and updates to the Steering Committee and Santa Ana Project Manager through activities including, but not limited to, meetings, monthly activity reporting, programming documentation, regular communications and presentations to Steering 25B-37 Committee. Task Description: Provide campaign and promotion updates to the Santa Ana Project Manager through daily and weekly phone calls, emails and meetings (as needed or requested). Maintain weekly and monthly communication with the Steering Committee, including at least one formal meeting/conference call during the quarter, unless otherwise directed and approved by the Santa Ana Project Manager. Responsibilities: WBC shall: a. Coordinate, manage and participate in at least one Steering Committee meeting b. Provide daily, weekly and monthly campaign and promotion updates to the Santa Ana Project Manager c. Manage ongoing expense tracker, budget and campaign schedule d. Submit task completion letters with task invoices to the Santa Ana Project Manager Santa Ana shall: a. Approve campaign progress, updates and promotions b. Support and facilitate partnering and sponsorship efforts with Steering Committee Santa Ana shall: a. -Approve campaign progress, updates and promotions Completion Criteria: This task is considered complete upon completion of administrative deliverables and when the Santa Ana Project Manager signs the completion letter for the task. Planned completion and implementation is by the end of June 2020. TASK 3: S4 PUBLIC TRAUMA/ACTIVE SHOOTER PREPAREDNESS CAMPAIGN Objective: Consistent with other S4 campaigns across the country that are adapting to the rising numbers of active shooter and domestic terrorism episodes, the KeepOCSafe outreach team will develop and implement a comprehensive outreach program with a variation to the 'Run, Hide, Fight' messaging that is consistent with messaging coming from DHS. This campaign will maximize campaign visibility through paid, sponsored and earned coverage through a combination of outdoor (bus shelters, buses, kiosks, billboards, etc.), print, online, digital and broadcast media. In coordination with steering committee and selected police departments, training sessions will also be staged for up to 200 individuals responsible for security/HR at places of worship, schools or businesses. Task Description: See sub -tasks for specifics. Responsibilities: See sub -tasks for specifics. 25B-38 Completion Criteria: This task is considered complete when budgeted sub -tasks have been completed in their respective entirety. TASK 3-A: PUBLIC TRAUMA OUTDOOR ADVERTISING PROGRAM (FALL 2019) Objective: Develop and implement an awareness program using bus ads, bus shelters, venue kiosks, facility displays, window clings and other outdoor mediums as appropriate. Task Description: Design and produce a minimum of three graphic designs (customized for an active shoot/public trauma focus) approved by the Project Manager with support from the S4 Steering Committee and then secure minimum of 50 placements (ex. on bus sides, bus interiors, in bus shelters, etc.) generating a minimum of two million measured impressions. Responsibilities: WBC shall: a. Hold a focus group/meeting of law enforcement leaders to discuss and agree upon the appropriate messaging of "run, hide, fight' for OC audiences. b. Create and produce three graphic designs and secure a minimum of 50 media placements as described above. Santa Ana shall: a. Review and approve the three graphics and the secured media opportunities Completion Criteria: This task is considered complete upon the completion of the deliverables, the pre -purchase of negotiated advertising and/or sponsored space and when the Santa Ana Project Manager signs the task completion letter. Planned completion is November 2019. TASK 3-B: PUBLIC TRAUMA DIGITAL/MOBILE MEDIA PROGRAM (FALL 2019) Objective: Update and expand a mobile/digital awareness program and app download support initiative using geo-targeted digital and/or online media leveraging the new public trauma/active shooter-themed approved graphics. Task Description: Design and produce a minimum of three graphic designs (active shooter) approved by the Project Manager and then research and secure geo-targeted digital/online advertising (delivering one million+ impressions) to drive awareness and promote S4 mobile app downloads. Responsibilities: WBC shall: 25B-39 a. Create and produce three graphic designs and secure a minimum of media placements as described above Santa Ana shall: a. Review and approve the three graphics and the secured media opportunities Completion Criteria: This task is considered complete upon the completion of the deliverables, the pre -purchase of negotiated advertising and/or sponsored space and when the Santa Ana Project Manager signs the task completion letter. Planned completion is December 2019. TASK 3-C: PUBLIC TRAUMAIACTIVE SHOOTER TRAINING PROGRAM (SPRING 2020) Objective: In coordination with SAPD, steering committee and selected police departments, coordinate and stage up to four "active shooter' training sessions for those responsible for security at houses of worship, schools and/or businesses. These individuals can then employ their training to better preparing their congregations, families and employees against the threat of public violence and possibly even become deterrents to terrorism. Task Description: Work with SAPD and the steering committee to identify and stage four training sessions focused on active shooters. Each training session will accommodate up to 50 people and will be staged in different locations around OC. Invitations will then be extended to security officers at houses of worship as well as schools (possibly private schools) and possibly opened up to HR managers at larger businesses. Promotion and documentation of each training event will further amplify the message that OC's organizations are trained and ready. Responsibilities: WBC shall: a. Hold meeting with steering committee members and SAPD to establish training program elements. b. Identify trainers (either PD officers or a private training company) c. Secure locations for training sessions d. Create materials including invitations e. Invite and secure attendance through presentations and other correspondence f. Stage and host training sessions g. Document training sessions through video and photography h. Promote and share content after training sessions to reach new audiences Santa Ana shall: a. Attend and help plan training campaign b. Approve progress, trainers, training content and other elements of staging c. Support and facilitate partnerships needed to assist in making training effective Completion Criteria: This task is considered complete upon the completion of the training sessions and when the Santa Ana Project Manager signs the task completion letter. Planned completion is April 2020. 25B-40 TASK 3-D: PUBLIC TRAUMA DIGITAL/ONLINE MEDIA PROGRAM (SPRING 2020 Objective: Update and expand a mobile/digital awareness program and app download support initiative using geo-targeted digital and/or online media leveraging the run, hide, fight messages and supporting graphics. Task Description: Design and produce a minimum of three graphic designs focused on the run, hide, fight messaging for schools and places of worship as approved by the Project Manager. Then, research and secure geo-targeted digital/online advertising (delivering over a 1 million impressions) to drive awareness and promote S4 mobile app downloads. Responsibilities: WBC shall: a. Create and produce three graphic designs and secure a minimum of media placements as described above Santa Ana shall: a. Review and approve the three graphics and the secured media opportunities Completion Criteria: This task is considered complete upon the completion of the deliverables, the pre -purchase of negotiated advertising and/or sponsored space and when the Santa Ana Project Manager signs the task completion letter. Planned completion is May 2020. TASK 4: S4 MOBILE APP MANAGEMENT & GENERAL PROMOTIOM Objective: Continue to develop, update, expand and promote the campaign's S4 mobile app to enhance content, functionality and accessibility, as well as to support downloads. Task Description: See sub -tasks for specifics. Responsibilities: See sub -tasks for specifics. Completion Criteria: This task is considered complete when budgeted sub -tasks have been completed in their respective entirety. 10 25B-41 TASK 4-A: S4 MOBILE APP DEVELOPMENT $ PROMOTION (FALL 20191 Objective: Update, manage, maintain and track the campaign's mobile app content, platform and performance 24/7 in accordance with approved processes and protocols. In addition, support promotional efforts that encourage and drive downloads. This includes developing and/or updating one promotional flyer (8.5" x 11"), business cards, and creating one additional collateral piece that helps guide community members/users to the app and highlight app capabilities. Task Description: Maintain the campaign's mobile app through daily and weekly management, maintenance and measurement. Responsibilities: WBC shall: a. Update content as appropriate b. Manage the hosting of the mobile app platform c. Develop and/or update and produce one promotional flyer and one additional collateral piece for community distribution in hard copy and digitally Santa Ana shall: a. Approve app updates, management activities, and promotional support materials Completion Criteria: The task is considered complete upon the completion of deliverables and when the Santa Ana Project Manager signs the task completion letter in October 2019. TASK 4-13: S4 MOBILE APP DEVELOPMENT & PROMOTION (SPRING 2020) Objective: Update, manage, maintain and track the campaign's mobile app content, platform and performance 24/7 in accordance with approved processes and protocols. In addition, support promotional efforts that encourage and drive downloads. Task Description: Maintain the campaign's mobile app through daily and weekly management, maintenance and measurement. Responsibilities: WBC shall: a. Update content as appropriate b. Manage the hosting of the mobile app platform c. Develop and/or update and produce one promotional flyer and one additional collateral piece for community distribution in hard copy and digitally Santa Ana shall: a. Approve app updates, management activities, and promotional support materials ii 25B-42 Completion Criteria: The task is considered complete upon the completion of deliverables and when the Santa Ana Project Manager signs the task completion letter in April 2020. TASK 5: S4 SOCIAL MEDIA AND MICROSITE MANAGEMENT & MAINTENANCE Objective: Update, manage and maintain the campaign social media channels and the KeepOCSafe.org microsite technical and content platforms 24/7 during the contract term. Both platforms will continue to support the campaign's public awareness and engagement activities. Task Description: See sub -tasks for specifics. Responsibilities: See sub -tasks for specifics. Completion Criteria: This task is considered complete when all budgeted sub -tasks have been completed in their respective entirety. TASK 5-A: S4 SOCIAL MEDIA & MICROSITE MANAGEMENT (JULY-SEPT 2019 Objective: Update, manage and maintain the campaign's social media channels technical and content platforms 24/7, all in accordance with the approved processes and protocols for each medium. In addition, update, manage and maintain the KeepOCSafe.org microsite technical and content platforms. The microsite will continue to support the campaign's public awareness and engagement activities. Task Description: Maintain the campaign's Twitter, Instagram and YouTube social media platforms through daily and weekly content updates, management, maintenance and measurement. This includes, but is not limited to, content research and updates; social media plan; protocol and tracking; and measurements of impressions and website traffic. Create and implement at least one Final Cut Pro or other video/photo presentation. Host, maintain and refresh the KeepOCSafe.org microsite through weekly and monthly technical and content platform updates. These include, and are not limited to, event and backpack display schedules, photos, media coverage, link updates and more. Responsibilities: WBC shall: a. Share content including, but not limited to, videos, graphics, links and photos, via the campaign's Twitter, Instagram and YouTube platforms a minimum of 10 times a week 12 25B-43 b. Develop and produce one video with approval from the Steering Committee. c. Host the KeepOCSafe.org microsite. d. Manage one technical and content microsite platform update a month. e. Manage the weekly and monthly reporting of campaign measurement Santa Ana shall: a. Approve microsite updates and management activities, along with social media platform elements. Completion Criteria: The task is considered complete upon the completion of deliverables and when the Santa Ana Project Manager signs the task completion letter in September 2019. TASK 5-13: S4 SOCIAL MEDIA & MICROSITE MANAGEMENT (OCT-DEC 2019) Objective: Update, manage and maintain the campaign's social media channels technical and content platforms 24/7, all in accordance with the approved processes and protocols for each medium. In addition, update, manage and maintain the KeepOCSafe.org microsite technical and content platforms. The microsite will continue to support the campaign's public awareness and engagement activities. Task Description: Maintain the campaign's Twitter, Instagram and YouTube social media platforms through daily and weekly content updates, management, maintenance and measurement. This includes, but is not limited to, content research and updates; social media plan; protocol and tracking; and measurements of impressions and website traffic. Create and implement at least one Final Cut Pro or other video/photo presentation. Host and maintain the KeepOCSafe.org microsite through weekly and monthly technical and content platform updates. These include, and are not limited to, event and backpack display schedules, photos, media coverage, link updates and more. Responsibilities: WBC shall: a. Share content including, but not limited to, videos, graphics, links and photos, via the campaign's Twitter, Instagram and YouTube platforms a minimum of 10 times per week. b. Develop and produce one video with approval from the Steering Committee. c. Host the KeepOCSafe.org microsite. d. Manage one technical and content microsite platform update a month. e. Manage the weekly and monthly reporting of campaign measurement Santa Ana shall: a. Approve microsite updates and management activities, along with social media platform elements. 13 25B-44 Completion Criteria: The task is considered complete upon the completion of deliverables and when the Santa Ana Project Manager signs the task completion letter in December 2019. TASK 5-C: S4 SOCIAL MEDIA & MICROSITE MANAGEMENT (JAN-MAR 2020 Objective: Update, manage and maintain the campaign's social media channels technical and content platforms 24/7, all in accordance with the approved processes and protocols for each medium. In addition, update, manage and maintain the KeepOCSafe.org microsite technical and content platforms. The microsite will continue to support the campaign's public awareness and engagement activities. Task Description: Maintain the campaign's Twitter, Instagram and YouTube social media platforms through daily and weekly content updates, management, maintenance and measurement. This includes, but is not limited to, content research and updates; social media plan; protocol and tracking; and measurements of impressions and website traffic. Create and implement at least one Final Cut Pro or other video/photo presentation. Host and maintain the KeepOCSafe.org microsite through weekly and monthly technical and content platform updates. These include, and are not limited to, event and backpack display schedules, photos, media coverage, link updates and more. Responsibilities: WBC shall: a. Share content including, but not limited to, videos, graphics, links and photos, via the campaign's Twitter, Instagram and YouTube platforms a minimum of 10 times per week. b. Develop and produce one video with approval from the Steering Committee. c. Host the KeepOCSafe.org microsite. d. Manage one technical and content microsite platform update a month. e. Manage the weekly and monthly reporting of campaign measurement Santa Ana shall: a. Approve microsite updates and management activities, along with social media platform elements. Completion Criteria: The task is considered complete upon the completion of deliverables and when the Santa Ana Project Manager signs the task completion letter in March 2020. TASK 5-D: S4 SOCIAL MEDIA & MICROSITE MANAGEMENT (APR-JUN 2020) Objective: Update, manage and maintain the campaign's social media channels technical and content platforms 24/7, all in accordance with the approved processes and protocols for each medium. 14 25B-45 In addition, update, manage and maintain the KeepOCSafe.org microsite technical and content platforms. The microsite will continue to support the campaign's public awareness and engagement activities. Task Description: Maintain the campaign's Twitter, Instagram and YouTube social media platforms through daily and weekly content updates, management, maintenance and measurement. This includes, but is not limited to, content research and updates; social media plan; protocol and tracking; and measurements of impressions and website traffic. Create and implement at least one Final Cut Pro or other video/photo presentation. Host and maintain the KeepOCSafe.org microsite through weekly and monthly technical and content platform updates. These include, and are not limited to, event and backpack display schedules, photos, media coverage, link updates and more. Responsibilities: WBC shall: a. Share content including, but not limited to, videos, graphics, links and photos, via the campaign's Twitter, Instagram and YouTube platforms a minimum of 10 times per week. b. Develop and produce one video with approval from the Steering Committee. c. Host the KeepOCSafe.org microsite. d. Manage one technical and content microsite platform update a month. e. Manage the weekly and monthly reporting of campaign measurement Santa Ana shall: a. Approve microsite updates and management activities, along with social media platform elements. Completion Criteria: The task is considered complete upon the completion of deliverables and when the Santa Ana Project Manager signs the task completion letter in June 2020. TASK 6: S4 MATERIALS & RESOURCES Objective: Develop, produce and update campaign collateral and resource materials for use in all programming as appropriate. Task Description: See sub -tasks for specifics. Responsibilities: See sub -tasks for specifics. Completion Criteria: This task is considered complete when all budgeted sub -tasks have been completed in their respective entirety. 15 25B-46 TASK 6-A: S4 COLLATERAL MATERIALS Objective: Develop, produce and update campaign collateral materials for use in all programming as appropriate. Task Description: Manage the design, drafting, production and distribution of collateral materials in support of the S4 campaign initiatives. The materials that will be produced are: a. Updated S4 Consumer Handout: 2,000 total quantity b. Updated S4 Color Sheets: 2,000 total quantity c. Updated Branded PSA Posters: 1,000 total quantity d. New handout for organizations addressing the Run, Hide, Fight messaging: 2,000 total quantity e. New handout — threat indicators: 2,000 total quantity Responsibilities: WBC shall: a. Develop all materials and seek approvals from the Steering Committee b. Produce materials in accordance with Steering Committee approvals Santa Ana shall: a. Approve the collateral material elements. Completion Criteria: This task is considered complete upon delivery of the collateral materials and when the Santa Ana Project Manager signs the task completion letter. Completion is planned to occur by November 2019. TASK 6-B: S4 RESOURCE MATERIALS Objective: Develop, produce and update campaign resource materials for use in all programming as appropriate. Task Description: Manage the design, drafting, production and distribution of resource materials in support of the S4 campaign initiatives. The resource materials that will be produced are: a. Organizational Trauma Response Kit: 75 total quantity. b. S4 Additional Promotional Item (e.g. branded wristbands, indicator booklets, campaign stickers and bookmarks): 1,000 total quantity. Responsibilities: WBC shall: a. Develop all materials and seek approvals from the Steering Committee. b. Produce materials in accordance with Steering Committee approvals. Santa Ana shall: 25B-47 16 a. Approve the resource material elements. Completion Criteria: This task is considered complete upon delivery of the collateral materials and when the Santa Ana Project Manager signs the task completion letter. Completion is planned to occur by November 2019. TASK 7: S4 CITIZENS, COMMUNITY OUTREACH & PRESENTATIONS Objective: Continue to conduct community and citizens' outreach to secure the campaign's presence at events, via the giant red backpack display and/or through any additional Project Manager - approved promotional element at venues to build on the existing awareness of the campaign. Task Description: See sub -tasks for specifics. Responsibilities: See sub -tasks for specifics. Completion Criteria: This task is considered complete when all budgeted sub -tasks have been completed in their respective entirety. TASK 7-A: S4 CITIZENS, COMMUNITY OUTREACH & PRESENTATIONS (JULY-SEPT 2019) Objective: Continue to conduct community and citizens' outreach to secure the campaign's presence at events via installation of the giant red backpack or comparable approved promotional display and through program -branded materials/signage (ex. T-stands, flyers, posters, signs, window clings, etc.) that are customized and hand -delivered to select countywide venues, community events or facilities. The aim for all outreach is to build on existing awareness campaign awareness. Also, give presentations to key groups and government agency partners to keep them abreast of KeepOCSafe activities and available resources. Task Description: Secure a minimum of 5 total venues/events for displays, with a minimum of two displaying the red backpack display. Also, make and maintain contact with key partners with offers to give presentations about KeepOCSafe. Activities include: a. Master Community & Citizen Events Calendar — create and manage a master annual calendar for all display installation and materials distribution. This includes research and venue/event solicitation for the campaign. b. Display Installation and Management — handle all display logistics for at least two backpack installations. 17 c. Materials Distribution & Management — handle all materials distribution and management for a minimum of 3 total sites/facilities. d. Manage the weekly and monthly reporting of campaign outreach metrics. Responsibilities: WBC shall: a. Develop the outreach and seek plan approval from the ROC Steering Committee. b. Execute the outreach in accordance with the approved plan. c. Identify and secure appropriate opportunities to update key groups on campaign. d. Update outreach community outreach metrics. Santa Ana shall: a. Approve plan and promotional elements Completion Criteria: This task is considered complete upon the completion of the calendared event outreach and when the Santa Ana Project Manager signs the task completion letter. Formal calendaring of upcoming events will incur upfront logistics and event fees. Completion is planned for September 2019. TASK 7-13: S4 CITIZENS, COMMUNITY OUTREACH & PRESENTATIONS (OCT-DEC 2019 Objective: Continue to conduct community and citizens' outreach to secure the campaign's presence at events and or display of the giant red backpack or another promotional element at venues through the development and extension of promotional partners to build on the existing awareness of the campaign. Also, give presentations to key groups and government agency partners to keep them abreast of KeepOCSafe activities and available resources. Task Description: Secure a minimum of 5 total venues/events for displays, with a minimum of two displaying the red backpack display. Activities include: a. Master Community & Citizen Events Calendar— create and manage a master annual calendar for all display installation and materials distribution. This includes research and venue/event solicitation for the campaign. b. Display Installation and Management — handle all display logistics for at least two backpack installations. c. Materials Distribution & Management — handle all materials distribution and management for a minimum of three total sites/facilities. d. Manage the weekly and monthly reporting of campaign outreach metrics. Responsibilities: WBC shall: 25B-49 18 a. Develop the outreach and seek plan approval from the ROC Steering Committee. b. Execute the outreach in accordance with the approved plan. c. Identify and secure appropriate opportunities to update key groups on campaign. e. Update outreach community outreach metrics. Santa Ana shall: a. Approve plan and promotional elements Completion Criteria: This task is considered complete upon the completion of the calendared event outreach and when the Santa Ana Project Manager signs the task completion letter. Formal calendaring of upcoming events will incur upfront logistics and event fees. Completion is planned for December 2019. TASK 7-C: S4 CITIZENS, COMMUNITY OUTREACH & PRESENTATIONS (JAN-MAR 2020 Objective: Continue to conduct community and citizens' outreach to secure the campaign's presence at events and or display of the giant red backpack or another promotional element at venues through the development and extension of promotional partners to build on the existing awareness of the campaign. Also, give presentations to key groups and government agency partners to keep them abreast of KeepOCSafe activities and available resources. Task Description: Secure a minimum of 5 total venues/events for displays, with a minimum of two displaying the red backpack display. Activities include: a. Master Community & Citizen Events Calendar — create and manage a master annual calendar for all display installation and materials distribution. This includes research and venue/event solicitation for the campaign. b. Display Installation and Management — handle all display logistics for at least two backpack installations. c. Materials Distribution & Management — handle all materials distribution and management for a minimum of three total sites/facilities. d. Manage the weekly and monthly reporting of campaign outreach metrics. Responsibilities: WBC shall: a. Develop the outreach and seek plan approval from the ROC Steering Committee. b. Execute the outreach in accordance with the approved plan. c. Identify and secure appropriate opportunities to update key groups on campaign. e. Update outreach community outreach metrics. 19 25B-50 Santa Ana shall: a. Approve plan and promotional elements Completion Criteria: This task is considered complete upon the completion of the calendared event outreach and when the Santa Ana Project Manager signs the task completion letter. Formal calendaring of upcoming events will incur upfront logistics and event fees. Completion is planned for March 2020. TASK 7-D: S4 CITIZENS, COMMUNITY OUTREACH & PRESENTATIONS (APR-JUN 2020) Objective: Continue to conduct community and citizens' outreach to secure the campaign's presence at events and or display of the giant red backpack or another promotional element at venues through the development and extension of promotional partners to build on the existing awareness of the campaign. Also, give presentations to key groups and government agency partners to keep them abreast of KeepOCSafe activities and available resources. Task Description: Secure a minimum of 5 total venues/events for displays, with a minimum of two displaying the red backpack display. Activities include: a. Master Community & Citizen Events Calendar— create and manage a master annual calendar for all display installation and materials distribution. This includes research and venue/event solicitation for the campaign. b. Display Installation and Management — handle all display logistics for at least two backpack installations. c. Materials Distribution & Management — handle all materials distribution and management for a minimum of 3 total sites/facilities. d. Manage the weekly and monthly reporting of campaign outreach metrics. Responsibilities: WBC shall: a. Develop the outreach and seek plan approval from the ROC Steering Committee. b. Execute the outreach in accordance with the approved plan. c. Identify and secure appropriate opportunities to update key groups on campaign. Santa Ana shall: a. Approve plan and promotional elements Completion Criteria: This task is considered complete upon the completion of the calendared event outreach and when the Santa Ana Project Manager signs the task completion letter. Formal calendaring of upcoming events will incur upfront logistics and event fees. Completion is planned for June 2020. 20 25B-51 d d V w� W E c R IL d C O w y d o M W e- LL V - 01 • O N O O O O O p p O O O O O O O O O O O O T d 2 N O N d N U 6 d N O O O' N N y C N tO `t C t0 C � UJ p er' Z O 62 O¢ 4l O ' Z Z 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0- 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0- 0 0 0 0 0 0 o c o 0 0 0 0 0 0 0 0 0 0 0 0 0- 0 0 o 0 O 0 o 0 o 0 O 0 o 0 0 0 0 o 0 O 0 o 0 0 0 o 0 O 0 o �n 0 �n 0 o 0 0 0 0 0 0- 0- A N N 4i i9 Vi f9 H3 (A fA Vf Vi ER di ty Vi yj yj fn Vi tR f9 t9 (A t9 m O m N O N O O p O O O 0 N NO Z d N N N N O O p N N .c N C7 41 ry N j d N N N 0� c Q W a j O m C N W O O O C C C N N N p E C w 0 0 m a a> m m m C C G C C (q W O) W C N w w m m N N N N [n (n (n VJ y m m Cl m a tV N (n C p o- F E E O o O o o •6 �6 •6 •6 z m m m m y LL �• a �!� 2 2 m m m m = U Li z a a a a E E E a a FW- a a a a Q aLi m cLi m m cLi m z •a m •e •e w 2 m o E Oa, •a m g K d d d m r c ««« ---- r= 5 5 5 a gM rn rn 2 O o 2 E 2 m d W 2 2 2 2 O o 0 0 0 c c c 5 2 E U U U U m a! d d d d= rn m m r m o. N W p N O 0 0 0 N C y d a Z 0 0 0 U YC CCC O z mN! 0 E>oC E>oC E>cC a: :2 a a a 15E V U U U U oC Q EO 0O ws W 0 0 m y.8N N N N 2)dO O ooO0 U U U U m O w w 0 r 'm m 22 W W Q m a+ 0 r U o w Q � m Q m U 0 ¢ m U 0 ¢ m ¢ m U p Q m ¢ m U p N N N N th 1n N Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y t0 W tU (O tO W tO t0 W W N m N m N W N m N m m N m N m N m Iq m T w sr c Y N N 25B-52 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 2, , 2019 TITLE: APPROVE AN AMENDMENT TO AGREEMENT WITH AXON ENTERPRISE, INC. IN THE AMOUNT OF $175,491.78 FOR BODY -WORN CAMERA EQUIPMENT AND SERVICES (STRATEGIC PLAN NO. 1, 2) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 181 Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute an amendment to the agreement with Axon Enterprise, Inc. to provide body -worn camera equipment and services for the Santa Ana Police Department, in the amount of $175,491.78, subject to non -substantive changes approved by the City Manager and City Attorney. The new not to exceed five-year agreement amount is $2,065,055.96. The term of the agreement will remain effective May 2, 2017 through May 1, 2022. DISCUSSION The Department of Justice (DOJ) recognizes body -worn cameras as a law enforcement strategy aimed at improving public safety, reducing crime, and improving public trust between police and the citizens they serve. Law enforcement agencies across the country and worldwide are using body -worn cameras (BWC) as a promising tool to improve law enforcement interactions with the public. On May 2, 2017 the City Council approved an agreement with Axon Enterprises, Inc. (formerly Taser, Inc.) for body -worn camera equipment and services, and on September 1, 2017 the Santa Ana Police Department's body -worn camera program went live. This initial body -worn camera program roll -out included all Patrol Officers, the Gang Unit, and the Canine Unit. On December 4, 2018, the City Council authorized the City Manager and Clerk of the Council to execute the Grant Award and Special Conditions documents with the U.S. Department of Justice, Office of Justice Programs accepting $99,291 in U.S. Department of Justice Body -Worn Camera Policy and Implementation grant funds to enhance the Santa Ana Police Department's body -worn camera program, for the period of October 1, 2018 through September 30, 2021. This grant will allow the Police Department to expand the body -worn camera program to Detectives, Crime Scene Investigators, Animal Services and Parking Control. The funds will be used to pay for 60 additional cameras, 60 licenses and supporting equipment. The Police Department will receive $99,291 in grant funds, and the grant requires a 50 percent match ($99,291), for a total Body -Worn Camera Policy and Implementation grant program budget of $198,582. 25C-1 Agreement Amendment with Axon Enterprise, Inc. July 2, 2019 Page 2 In the December 4, 2018 staff report, staff advised the City Council that the grant required the City to issue an RFP for the body -worn cameras and services that would be funded under the grant, and that the Police Department would bring this proposed agreement to the City Council for consideration once the RFP evaluation process had been completed. For procurement transactions using Federal award funds, the City must follow its own documented procurement procedures. After further inquiry and discussions with the grantor, staff determined that the RFP that was completed in 2017 to select Axon satisfies the requiremements for competitive bidding. The Axon agreement amendment includes $175,491.78 for licensing and maintenance costs for 60 additional licenses, cameras, storage, and 6 additional docks that are needed to support the program (Years 3-5). The new not to exceed five-year agreement amount is $2,065,055.96. The term of the agreement will remain May 2, 2017 through May 1, 2022. The Santa Ana Police Department is the only Orange County agency with a defensible program policy, a supporting audit procedure and a critical incident procedure. The Police Department has facilitated site visits to demonstrate our implementation strategy, procedures, and equipment infrastructure for over 15 police agencies, including the largest Sheriffs Department in the Nation. In addition, the video evidence provided by the program has been beneficial to court proceedings, investigations, evaluation of personnel complaints and field performance of newly hired personnel. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #1 Community Safety, Objective #2 (Broaden communications, information sharing and community awareness of public safety activities.) FISCAL IMPACT Funds for the Axon Enterprises, Inc. agreement amendment will be budgeted for the following fiscal years in the Department of Justice Grant Fund - Programs expenditure accounts (no. 12714410 62300) and the Supplemental Law Enforcement Services Account (no.12814407 62300) as follows: DOJ (Grant) SLESA (Match) 12714410 62300 12814407 62300 Totals FY 2019-20 $30,549.58 $30,549.58 $61,099.16 FY2020-21 28,598.16 28,598.16 57,196.31 FY 2021-22 28,598.16 28,598.16 57,196.31 Total $87,745.89 $87,745.89 $175,491.78 25C-2 Agreement Amendment with Axon Enterprise, Inc. July 2, 2019 Page 3 Chief of Police Santa Ana Police Department APPROVED AS TO FUNDS AND ACCOUNT: k� Kathryn Dow s, CPA Executive Director kJ ; (-;cD Finance and Management Services Agency Exhibit: 1. Agreement Amendment with Axon Enterprises, Inc. 25C-3 25C-4 Exhibit I THIRD AMENDMENT TO MASTER SERVICE AND PURCHASING AGREEMENT FOR SOFTWARE LICENSES, MAINTENANCE OF EQUIPMENT FOR BODY WORN CAMERA EQUIPMENT THIS THIRD AMENDMENT to the above -referenced agreement is entered into on July 2, 2019, by and between Axon Enterprise, Inc„ a California corporation ("Consultant"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"). RECITALS A. The parties entered into Agreement #A-2017-113, dated May 2, 2017 ("Agreement"), by which Consultant agreed to provide software licenses in support ofthe Body Worn Camera equipment utilized by the Santa Ana Police Department. The term of the Agreement runs through May- — 1, 2022, and is still in effect. B. In August 2017, the parties entered into a First Amendment to the Agreement (#A-2017-113- 01) by which the parties agreed to memorialize the change in the Consultant's name to Axon Enterprise and to utilize 525,000 of the contingency funds, previously approved by the City and included additional funds to cover the remaining balance for the purchase of 80 additional Evidence.com unlimited licenses for one year during the tern of the original Agreement. C. On December 4, 2018, the parties entered into a Second Amendment to the Agreement (#A- 2018-271) by which the parties amended the Agreement to increase the overall compensation to allow the City to exercise its option and engage the Consultant for the annual maintenance costs for the additional 80 Evidence.com unlimited licenses and the 12 docks for Years 2-5 of the Agreement and compensate the Consultant for services rendered from the expiration of the First Amendment. D. The body worn camera system and the software licenses for the use of the body wom cameras are utilized through a system called Evidence.com. The license provides security and encryption of the data accessed from the body wom cameras to prevent unauthorized use or access to the evidence or data obtained by the equipment. E. The parties now wish to further amend the Agreement to increase the overall compensation to allow the City to purchase sixty (60) additional cameras and six docks, which will include the corresponding Evidence.com unlimited licenses, storage, maintenance, and any supporting equipment for the use of the cameras for Years 3-5 of the Agreement. The Parties therefore agree: 1. Section 2, shall be amended to include Axon Quote No. hereto as Exhibit A-4, to memorialize the costs for the Evidence.com unlimited licenses, supporting equipment additional body wom camera units. Page 1 of 2 Q-187117-43620.967CN, attached City to purchase the equipment, and maintenance for sixty (60) 25C-5 2. The total sum to be expended for the payment of the additional services detailed in Exhibit A- 4 shall not exceed $175,491.78.' The five-year not -to -exceed Agreement amount will be increased from $1,889,564.18 to $2,065,055.96. 3. Except as modified by this Third Amendment, all terms and conditions of the Agreement, and all prior amendments to the Agreement, shall remain in full force and effect. IN WITNESS WHEREOF, the parties hereto have executed this Second Amendment to the Agreement on the date and year first written above. ATTEST NORMA MITRE Acting Clerk of the Council APPROVED AS TO FORM SONIA R. CARVALHO City Attorney „ By:" 11INUtUyw1 V . TAMARA BOGOSIAN Assistant City Attorney FOR APPROVAL DAVID VALENTIN Chief of Police CITY OF SANTA ANA KRISTINE RIDGE City Manager CONSULTANT Name:7odtYj-'j>Yfilot I I n Title: VF P b$.6Q& {� 6fijvn 11,01M%t Page 2 of 2 25C-6 Exhibit A-4 to Third Amendment to Agreement#A-2017-113 Axon Enterprise, Inc. 17800N States Scottsdale, Arizona 85255 United Stales Phone: (800) 978-2737 SHIP TO Sergio Endquez Santa Ana Police Dept - CA 60 CIVIC CENTER PLAZA Santa Ana, CA 92703 us Year 3 BILLTO Santa Ana Police Dept - CA CITY OF SANTA ANA PURCHASING DIVISION M16 20 CIVIC CENTER PLAZA RM 429 SANTA ANA. CA 92701 US Q-187117.43620.967CN Payment Terms: Net 30 Delivery Method: Fedex - Ground Contract Number. 00011822 SALES REPRESENTATIVE Chds Neubeck Phone: 602-70MO74 Email: cneubeck@axon.com Fax: (480) 658-0629 PRIMARY CONTACT Sergio Endquez Phone: (714) 245-8020 Email: sendquez@santa-ano.org iM>t � ` 'w * '''!r ' '�` �isdw..fi nz 4l..A".x19. � �:...f. •. 85112 EVIDENCE.COM INCLUDED STORAGE (GB)-3 2.400 0.00 0.00 0.00 YEAR CONTRACT 80052 AXON AUTO TAGGING SERVICE ADD -ON: 1 YEAR 60 180.00 0.00 0.00 PAYMENT Hardware 74001 AXON CAMERA ASSEMBLY, ONLINE, AXON BODY 60 499.00 0.00 0.00 2, BLK 74008 AXON DOCK, 6 BAY + CORE, AXON BODY 2 6 1.495.00 0.00 0.00 70033 WALL MOUNT BRACKET, ABBY. EVIDENCE.COM 6 42.00 0.00 0.00 DOCK 74021 MAGNET MOUNT, THICK OUTERWEAR, AXON 120 0.00 0.00 0.00 RAPIDLOCK 11553 SYNC CABLE, USB A TO 2.SMM 60 0.00 0.001 0.00 Other 73460 YEAR NCE.COM UNLIMITED PLUS DOCK TAP: 5 60 0.00 0.00 0.00 73461 Evidence.com Unlimited Plus License Annual60 1,068.00 932.10 55,926.00 Payment Subtotal 55,926.00. Estimated Shipping 0.00 Estimated Tax 5.173.16 Total[ 61,099.16 25C-7 Spares AXON CAMERA ASSEMBLY, ONLINE, AXON BODY 74001 2 499.00 2, BLK 74021 MAGNET MOUNT, THICK OUTERWEAR, AXON 4 0.00 RAPIDLOCK 11553 SYNC CABLE. LISS A TO 2.5MM 2 0.00 Year 4 Axon Plans 6 Packages 80053 AXON AUTO TAGGING SERVICE ADD -ON: 2 YEAR PAYMENT Other 73461 Evidence.com Unlimited Plus License Annual Payment Year 5 0.00 0.00 0.00 0.00 0.00 D.00 Subtotal 0.00 Estimated Tax 0.00 Total 0.01) 60 180.00 O.00 0.00 60 1,068.00 872.56 52.353.60 Subtotal 52.353.60 Estimated Tax 4.042.71 Total 57,196.31 .m-.titlnt r.., �e Descrlpbop Ouant #y Nt:t,U ice ,€ SA can Plana 6 Packages , 80054 AXON AUTO TAGGING SERVICE ADD -ON: 3 YEAR PAYMENT Other 73461 Evidence.com Unlimited Plus License Annual Payment 60 180.00 60 1,068.00 0.001 0.00 872.66 52,353.60 Subtotal 52,353.60 Estimated Tax 4.842.71 Totall 67.196.31 25C-8 Discounts (USDA Quota Exp[ration: 0612812019 List Amount 264,800.00 070Tg7 %v 'j 160 *Total excludes applicable taxes Summary of Payments ITAMBI, " - " - —"* - OWN at Year 3 61.099.16 Spares 0.00 Year 4 57,196.31 Year 5 57.196.31 175;491.78 25C-9 25C-10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 2, 2019 TITLE: APPROVE AN AGREEMENT WITH ECONOLITE SYSTEMS, INC., FOR TRAFFIC SIGNAL SYSTEM MAINTENANCE, FOR A THREE-YEAR PERIOD, IN AN AMOUNT NOT TO EXCEED $676,000 ANNUALLY (STRATEGIC PLAN NOS. 6, 1C) CITY MANA ER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 181 Reading ❑ Ordinance on 2n0 Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute an agreement with Econolite Systems, Inc., to provide traffic signal system maintenance services, for a three-year period beginning July 2, 2019, and expiring July 1, 2022, with provision for two one-year extensions exercisable by the City Manager and City Attorney, in an amount not to exceed $675,000 annually, to be paid with Special Gas Tax funds, subject to non -substantive changes approved by the City Manager and City Attorney. The City's traffic signal system network consists of 303 traffic signals, 100 Closed Circuit Television (CCTV) cameras, 16 Crosswalk Flashing Beacons, and 9 Speed Feedback signs. To effectively and safely operate and maintain the traffic signal system and associated infrastructure, the City relies on a specialty maintenance contractor to provide the necessary personnel, equipment, and resources. Maintenance consists of two components: Routine Maintenance and Extraordinary/Emergency Services. Routine Maintenance is preventive and is performed on a scheduled basis. It consists of inspection and service once per month of each traffic signal and corresponding computerized controller housed in an equipment cabinet. However, certain system components, such as cameras and speed feedback signs, receive a quarterly (once every 3 months) checkup for safety, operation, and cleanliness. On the other hand, Extraordinary/Emergency Services response to unforeseen circumstances such as damage system components. Work details depend on the nature equipment is defective or obsolete. Most emergencies automobile accidents. are performed on an on -call basis, in caused by accidents or failure of major of the repair and whether some or all are related to damage stemming from 25D-1 Agreement for Traffic Signal System Maintenance July 2, 2019 Page 2 A Request for Proposals for Traffic Signal maintenance services was published on April 9, 2019. Three proposals were received and evaluated by a five -member review panel comprised of Public Works Agency staff. The scores were based on contractor experience, understanding of need, service record performing requested maintenance, ability to respond to emergency call - outs, and cost to perform the required services. The table below contains a summary of the proposal's scores and corresponding annual routine maintenance costs: RANK CONTRACTOR LOCATION SCORE PROPOSED ROUTINE MAINTENANCE COST Annual 1 Econolite Systems, Inc. Anaheim 96.6 $244,636.68 2 Siemens Anaheim 92.6 $261,856.00 3 Bear Electrical Solutions Anaheim 80.6 $355,900.00 In addition to routine maintenance for the proposed costs shown in the table above, the contractor will be required to provide extraordinary and emergency services on an as -needed basis. The typical work provided under extraordinary and emergency services include responding to a flashing red traffic signal, repairing a traffic signal pole knockdown, replacing a burned -out LED signal indication, replacing a damaged pedestrian push button or reflective street name sign, and troubleshooting the traffic signal detection components. Over the last 5 years, expenditures for extraordinary and emergency maintenance services have averaged about $400,000 annually. Based on the proposal evaluations, staff recommends awarding a contract for traffic signal system maintenance services to Econolite Systems, Inc., for a total not -to -exceed annual amount of $675,000. The agreement would ensure routine maintenance of the existing traffic signal system including future installations of traffic signals, CCTV cameras, flashing beacons, and speed feedback signs for an annual cost of $244,636, and would also cover emergency services up to $430,364. The emergency services will be used only if needed, and any unused amounts will not be carried forward. The added amount ($30,364 above the $400,000 average) for emergency services will cover the City in case there are spikes in the number of emergency service calls. The City's existing contract for traffic signal system maintenance expires August 31, 2019. However, staff recommends the term of the contract coincide with the city's fiscal year, and therefore staff suggests terminating the existing agreement as soon as the City awards this agreement. This contractor will serve as the only vendor authorized by the City for the term of this agreement, which would be effective July 2, 2019, through July 1, 2022, with provisions for two one-year extensions exercisable by the City Manager. 25D-2 Agreement for Traffic Signal System Maintenance July 2, 2019 Page 3 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy C (invest resources and technology to extend the service life of existing infrastructure to protect the City's investment and support a high quality of life standard). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funds are budgeted in the Fiscal Year 2019-20 Special Gas Tax — Traffic Signal Maintenance Account (No. 02917620-62321) and will be included in proposed budget for future years as follows: Fiscal Accounting Unit Fund Accounting Unit —Account Amount Year — Account # Description Description Agreement 3-Year Term FY 19/20 02917620-62321 Special Gas Traffic Signal Maintenance — $675,000 Tax Maintenance & Repair Im rovement FY 20/21 02917620-62321 Special Gas Traffic Signal Maintenance — $675,000 Tax Maintenance & Repair Improvement FY 21/22 02917620-62321 Special Gas Traffic Signal Maintenance — $675,000 Tax Maintenance & Repair Improvement Extension O tion FY 22/23 02917620-62321 Special Gas Traffic Signal Maintenance — $675,000 Tax Maintenance & Repair Im rovement FY 23/24 02917620-62321 Special Gas Traffic Signal Maintenance — $675,000 Tax Maintenance & Repair Improvement Total Contract Amount: $3,375,000 25D-3 Agreement for Traffic Signal System Maintenance July 2, 2019 Page 4 D Fuad Sweiss, PE, PLS Executfve Director Public WVorks Agency FSS/EWG/TH/CR Exhibit: 1. Agreement APPROVED AS TO FUNDS & ACCOUNTS: //X,� Kathryn n Downs, CPA 41 Executive Director Finance and Management Services Agency 25D-4 EXHIBIT 1 AGREEMENT TO PROVIDE TRAFFIC SIGNAL SYSTEM MAINTENANCE SERVICES THIS AGREEMENT is made and entered into this 2nd day of July, 2019 by and between.Econolite Systems, Inc. ("Contractor"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"). RECITALS A. On April 9, 2019, the City issued Request for Proposal No. 19-023, by which it sought a contractor to provide preventative and extraordinary maintenance services for the citywide Traffic Signal System. B. Contractor submitted a responsive proposal that was selected by the City. Contractor represents that it is able and willing to provide the services described in the scope of work that was included in RFP No. 19-023. C. In undertaking the performance of this Agreement, Contractor represents that it is knowledgeable in its field and that any services performed by Contractor under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional contracting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Contractor shall perform the services that were described in the scope of work that was included in RFP No. 19-023 and that is attached as Exhibit A. Contractor's proposal is incorporated in full by reference herein. 2. COMPENSATION a. City agrees to pay, and Contractor agrees to accept as total payment for its services under this Agreement, the rates and charges identified in Exhibit B. The total .annual sum to_be_expended,_under.;.the term of this_ Agreement, including any, extension periods, shall not exceed $0 ,000.00. b. Payment by City shall be made within forty-five (45) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals and Scope of Work, which may reasonably be expected by City. Page 1 of 8 25D-5 3. TERM This Agreement shall commence on the date first written above and terminate on July 1, 2022, unless terminated earlier in accordance with Section 17, below. The term of this Agreement may be extended for two (2) one-year periods upon a writing executed by the City Manager and City Attorney. 4. PREVAILING WAGES Contractor is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, et seq., ("Prevailing Wage Laws"), which require the payment of prevailing wage rates and the performance of other requirements on "public works" and "maintenance" projects. If the services being performed are part of an applicable "public works" or "maintenance" project, as defined by the Prevailing Wage Laws, and the total compensation is $1,000 or more, Contractor agrees to fully comply with such Prevailing Wage Laws. Contractor shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws. 5. INDEPENDENT CONTRACTOR Contractor shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Contractor performs the services which are the subject matter of this Agreement; however, the services to be provided by Contractor shall be provided in a manner consistent with all applicable standards and regulations governing such services. Contractor shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. OWNERSHIP OF MATERIALS This Agreement creates a non-exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Contractor under this Agreement ("Documents & Data"). Contractor shall require all subcontractors to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Contractor represents and warrants that Contractor has the legal right to license any and all Documents & Data. Contractor makes no such representation and warranty in regard to Documents & Data which were provided to Contractor by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk. Page 2 of 8 25D-6 7. INSURANCE Prior to undertaking performance of work under this Agreement, Contractor shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Contractor shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Contractor's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the California Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self-insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. If Contractor is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by Contractor pursuant to this section: (i) Contractor shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be famished to the City upon execution of this Agreement and shall be approved by the City. (iii) Certificates and policies shall state that the policies shall not be cancelled or reduced in coverage or changed in any other material aspect, by Contractor, without thirty (30) days prior written notice to the City. (iv) Contractor shall supply City with a fully executed additional insured endorsement. Page 3 of 8 25D-7 £ If Contractor fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Contractor's right to be paid for its time and materials expended prior to notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 8. INDEMNIFICATION Contractor agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, contractors, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Contractor or its subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Contractor further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by'reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Contractor's services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Contractor. 9. INTELLECTUAL PROPERTY INDEMNIFICATION Contractor shall defend, indemnify and hold harmless the City, its officers, agents, representatives, and employees against any and all liability, including costs, and attorney's fees, for infringement of any United States' letters patent, trademark, or copyright contained in the work product or documents provided by Contractor to the City pursuant to this Agreement. 10. RECORDS Contractor shall keep records and invoices in connection with the work to be performed under this Agreement, Contractor shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City for a minimum period of three (3) years, or for any longer period required by Page 4 of 8 25D-8 law, from the date of final payment to Contractor under this Agreement. All such records and invoices shall be clearly identifiable. Contractor shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business hours. Contractor shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Contractor under this Agreement. 11. CONFIDENTIALITY If Contractor receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Contractor agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Contractor disclosed in a publicly available source; (c) is in rightful possession of the Contractor without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Contractor without reference to information disclosed by the City. 12. CONFLICT OF INTEREST CLAUSE Contractor covenants that it presently has no interest•and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 13. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Executive Director Public Works Agency City of Santa Ana Page 5 of 8 25D-9 20 Civic Center Plaza (M-21) P.O. Box 1988 Santa Ana, CA 92702 To Contractor: Econolite Systems, Inc. 1250 N. Tustin Avenue Anaheim, CA 92807 Attn: Brian Ackerly, Associate Vice President A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by fax, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these timeframes, weekends, federal, state, County or City holidays shall be excluded. 14. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Contractor regarding the subject matter herein, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Contractor. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Contractor or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 15. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Contractor may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other Contractors retained by City. 16. WAIVER No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not Page 6 of 8 25D-1.0 similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. t� Ct`►7:r111 Colo This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Contractor shall be entitled to receive and the City shall pay Contractor compensation for all services performed by Contractor prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Contractor to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Contractor consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 18. NON-DISCRIMINATION Contractor shall not discriminate because of race, color, creed, relation, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, ternnation or other employment related activities or in connection with any activities under this Agreement. Contractor affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 19. JURISDICTION -VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 20. PROFESSIONAL LICENSES Contractor shall, throughout the tern of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Contractor shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. Page 7 of 8 25D-11 21. MISC.ELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory.or is withdrawn. b. All exhibits referenced herein and attached hereto shall be incorporated as .if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: Norma Mitre Acting Clerk of the Council APPROVED AS TO FORM SONIA R. CARVALHO City Attorney By: Jobh M.Funk' Assistant City Attorney RECOMMENDED FOR APPROVAL Fuad S. Sweiss, PE, PLS Executive Director Public Works Agency CITY OF SANTA ANA Kristine Ridgi City Manager CONTRACTOR Name: �oiw�eY nw-ci::f Title: [�Cc irres��crC Page 8 of 8 25D-12 EXHIBIT A Appendix ATTACHMENT 1 SCOPE OF WORK CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR TRAFFIC SIGNAL SYSTEM MAINTENANCE RFP NO.: 19-023 I. PURPOSE The City of Santa Ana is seeking an experience contractor to perform preventive and extraordinary maintenance on the citywide traffic signal system. 1I. TRAFFIC SIGNAL SYSTEM MAINTENANCE 1. Scope of Work The Contractor shall furnish all tools, equipment, apparatus, facilities, labors, services, training and materials to perform all work necessary to maintain all traffic signal facilities in a good and worker -like manner according to the proposal submitted and in accordance with these specifications. The traffic signal system maintenance portion of this contract does not cover safety light maintenance, except damage to the combination of traffic signal and safety light pole due to malicious mischief, traffic collision or nature causes. Maintenance of the traffic signal control system located at the City's Traffic Management Center will be done as part of extraordinary maintenance only. 2. Service Personnel The Contractor shall provide qualified service personnel to maintain and to service all traffic signal equipment utilized by the City. Personnel shall have at least two years of experience maintaining and troubleshooting traffic signal equipment. Detailed knowledge of Type NEMA and Type 332 cabinets is required. The city utilizes 2070 controllers with Econolite ASC3-2070 Firmware. City proposes to install Advance Traffic Controller Cabinets (ATC) and Econolite Cobalt controllers with Econolite EOS Firmware in the near future. Personnel must be knowledgeable in the use of these controllers. All Lead Maintenance Personnel is required to have an IMSA Traffic Signal Level 2 Certification. In addition, all service personnel shall possess an NEC certification, The City reserves the right to refuse the use of any personnel whom in the City's sole opinion are not qualified to work on these systems. An agreed upon personnel list shall be maintained and only those listed are allowed to work in the city. Any changes needs to be authorized by the City. City of Santa Ana RFP I M23 Page Al-1 25D-13 3, List of Sienalized Intersections See Attachment 4 for the list of traffic signals, CCTV cameras, flashing beacons, and speed feedback signs. 4, Additions to System The Contractor shall maintain additional traffic signals and appurtenant devices as they are added or installed. City will notify the contractor of such addition and the contractor shall include them in the maintenance contract. Cost of the routine maintenance of the new addition will be per contract unit price and will be effective the I' day of the following month unless stated otherwise in the notification. 5. Routine Maintenance The routine maintenance shall be performed on a periodically basis based on type of equipment. (a) Traffic Signal: (i) Maintenance period: The Contractor shall perform a complete inspection and service of each signalized intersection once a month, not less than 25 days or more than 35 days apart, for safety, operation and cleanliness. (ii) Maintenance Tasks: ■ Cabinets: The Contractor shall clean the cabinets thoroughly on the inside, including all components. The Contractor shall remove all unauthorized external attachments such as notices, posters, signs, etc. and notify the City of any graffiti that is on the signal equipment. It is not the Contractor's responsibility to remove the graffiti o Ventilation system: The Contractor shall ensure that the cabinet's ventilation system is in working order. Ensure that the Thermostat and Fan operates properly. The air filter shall be replaced and dated every 90 days (regardless of condition). o Controller and Timing: The Contractor shall check controller timing against the timing sheet and notify the City on any deviation. No timing parameters shall be changed without explicit approval from the City. o Vehicle Detection System: The Contractor shall ensure that the vehicle detection system is fully functional. Maintenance Personnel must be well versed in the use of the different types used by the City. The City utilizes the following types of Detection: ■ Loop Detection - Detectors needs to be checked that it is properly detecting vehicles and able to apply calls to the City of Santa Ana RFP 19-023 Page Al-2 25D-14 controller. The Contractor shall adjust the sensitivity levels to tune out any stuck detectors or replace defective vehicle detector amplifiers as necessary. The Contractor shall meter loops individually when troubleshooting loop problems. The City shall be notified of all defective loops. Video Detection — The system needs to be inspected to ensure normal operation, All detection zones needs to be checked for proper detection and the systems needs to be verified that it is capable of applying calls to the controller. The city utilizes Iteris and Econolite video detection systems. o Battery Backup System (If applicable): Some intersections are equipped with battery backup system. For these locations, the Contractor shall test and verify that the system is charged and in working order. o Ancillary Equipment: The Contractor shall check all ancillary equipment (load switches, power supply, flashers, Emergency Vehicle Pre- emption, etc.) in the cabinet for proper operation. • Field Equipment: o The Contractor shall check all pedestrian push buttons for proper operation. o The Contractor shall check all vehicle and pedestrian signal heads for proper operation. o The Contractor shall check all poles and standards for damages. o Contractor shall clean Video Detection camera lens once a year o Contractor shall check and notify the City of any missing or damaged Reflectorized Street Name Signs (RSNS) or traffic signs mounted on the traffic signal poles. o Maintenance of safety lights at traffic signal are done as part of Street Lighting System Maintenance only. • Maintenance Record: The Contractor shall maintain a record log in each controller cabinet showing the date and time of any service. It shall consist of: o Routine Maintenance o Extraordinary Maintenance All records shall be legibly written or printed. These record logs shall become property of the City. City of Santa Ana RFP 19-023 Page A1-3 25D-15 (b) Closed Circuit Television (CCTV) Camera: (i) Maintenance period: The Contractor shall perform a complete inspection and service of each CCTV once every three (3) months for proper operation and cleanliness. (ii) Maintenance Tasks: • Cabinets (if applicable): Some CCTV locations have dedicated type 332 cabinets. For these locations, the Contractor shall clean the cabinets thoroughly on the inside, including all components. The Contractor shall remove all unauthorized external attachment such as notices, posters, signs, etc. and notify the City of any graffiti that is on the signal equipment. It is not the Contractor's responsibility to remove the graffiti o Ventilation system: The contractor shall ensure that the cabinet's ventilation system is in working order. Ensure that the Thermostat and Fan operates properly. The air filter shall be replaced and dated every 90 days (regardless of condition). o Battery Backup System (if applicable): The Contractor shall ensure that the battery backup system is charged and in working order. • Field Equipment 1. The Contractor shall check all poles and standards for damages. 2. The contractor shall clean the camera's housing lens or dome as appropriate. (iii) Maintenance Record: The Contractor shall maintain a record log in each location (with or without dedicated cabinet) showing the date and time of any service. It shall consist of: a. Routine Maintenance b. Extraordinary Maintenance All records shall be legibly written or printed. These record logs shall become property of the City. (c) Flashing Beacons: (i) Maintenance period: The Contractor shall perform a complete inspection and service of each Flashing Beacon once a month, not less than 25 days or more than 35 days apart, for safety, operation and cleanliness (ii) Tasks: • Cabinets: City of Santa Ana RFP 19-023 Page A1-4 25D-16 The cabinets for solar powered flashing beacons are small NEMA cabinet pole mounted at approximately 9'-13'. The Contractor shall clean the cabinets thoroughly on the inside, including all components. The Contractor shall remove all unauthorized external attachments such as notices, posters, signs, etc. and notify the City of any graffiti that is on the signal equipment. It is not the Contractor's responsibility to remove the graffiti • Battery System: Contractor shall check system operating voltage and battery life. Notify the City if battery needs replacement. • Field Equipment The Contractor shall check all beacons, poles, pedestrian push button and standards. Contractor shall check and notify the City of any missing or damaged traffic signs mounted on the traffic signal poles. Clean the solar panels in accordance to the manufacturer's recommendation. This is required to be done once every 6 months. • Maintenance Record The Contractor shall maintain a record log in each controller cabinet showing the date and time of any service. It shall consist of: a. Routine Maintenance b. Extraordinary Maintenance All records shall be legibly written or printed. These record logs shall become property of the City. (d) Speed Feedback Signs; (i) Maintenance period: The Contractor shall perform a complete inspection and service of each Speed Feedback Sign once every three (3) months, for proper operation and cleanliness (ii) Tasks: • Cabinets: The cabinets for solar powered speed feedback signs are small NEMA cabinet pole mounted at 9'-131. The Contractor shall clean the cabinets thoroughly on the inside, including all components. The Contractor shall remove all unauthorized external attachments such as notices, posters, signs, etc. and notify the City of any graffiti that is on the signal equipment. It is not the Contractor's responsibility to remove the graffiti The air filter shall be replaced and dated every 90 days (regardless of City of Santa Ana RFP t M23 Page Al-5 25D-17 condition). • Battery System: Contractor shall check system operating voltage and battery life. Notify the City if battery needs replacement. • Field Equipment The Contractor shall check LED display, poles, and standards The contractor shall check and ensure that LED display, strobes, and radar detection equipment are in working order. Contractor shall check and notify the City of any missing or damaged traffic signs mounted on the traffic signal poles. Clean the solar panels in accordance to the manufacturer's recommendation. This is required to be done once every 6 months. • Maintenance Record The Contractor shall maintain a record log in each controller cabinet showing the date and time of any service. It shall consist of: a. Routine Maintenance b. Extraordinary Maintenance All records shall be legibly written orprinted. These record logs shall become property of the City. 6. Extraordinary Maintenance Extraordinary maintenance includes work tasks to install new, replace or repair defective or obsolete equipment and perform modification work not directly covered by routine maintenance. Work shall be performed with prior City approval unless emergency or public safety conditions require immediate response. 7. Emergency Service The Contractor shall provide emergency service to the City twenty-four hours a day, seven days a week upon City's request. Unless stated by the City at the time of request, the contractor will need to ascertain whether request is of an emergency nature requiring immediate response. Failure or malfunction of the traffic signal or interruption of normal operation as to create confusion or public hazard is considered emergency nature. (a) The contractor shall provide qualified personnel at the location within 30 minutes of receiving emergency request. (b) The Contractor shall immediately troubleshoot and restore the traffic signal to normal operations. If that is not possible due to the extent of the damage, sufficient temporary repairs shall be made to enable the intersection to operate safely. In no event shall the traffic signal be left overnight in dark mode (black out). City of Santa Ana RFP 19-023 Page A1-6 25D-18 (c) For intersections with power outages, The Contractor shall use the following procedure: (i) Setup temporary stop signs at all approach upon arrival at the site. (ii) Turn off the traffic signal controller and place cabinet control to flashing operation. (iii) Once the power is restored, remove all stop signs and return the traffic signal to normal operation. 8. Compensation For Routine And Extraordinary Maintenance (a) Routine Maintenance: Compensation for routine maintenance of traffic signal system shall be per contracted unit price. Said compensation shall include all labor, material, equipment and overhead/profits. (b) Extraordinary Maintenance: Compensation for extraordinary maintenance of traffic signal system shall be per contracted unit price. Said compensation shall include all labor, material, equipment and overhead/profits. For work not listed in the bid list, compensation shall be based on agreed lump sum price or time and material basis. (i) Materials: The City shall pay the Contractor for materials used in extraordinary maintenance, the Contractor's cost from the supplier plus the percentage specified in the Contractor's bid proposal. All materials and parts shall be new or have the approval of the Traffic Engineer. The City has the right to inspect the Contractor's records to verify any material costs used in extraordinary maintenance (ii) Direct Labor: The Contractor shall present with his monthly invoice a record of hours spent in extraordinary maintenance of traffic signals and appurtenances per intersection. City shall pay the Contractor for such hours of extraordinary maintenance at the rates specified on the Contractor's bid proposal. Said hourly rates shall be the total cost to City. Rates shall include all compensation for wages, profit, overhead, any fringe benefits such as employer payments to, or on behalf of, work for health and welfare, insurance, worker's compensation, pension, vacation, sick leave or any local, state, federal, or union tax or assessment. (iii)Equioment: City shall pay the Contractor for equipment used in extraordinary maintenance on ajob-trip basis rate as specified in the Contractor's bid proposal. The Contractor's job -trip equipment rates shall constitute the rates to be paid by the City when the specified equipment is used for the extraordinary maintenance. As used herein, job -trip shall mean the furnishing of the required equipment at the site of extraordinary maintenance work for the duration of the work. No additional compensation shall be paid for transporting equipment to or from the job site. 9. Meetine City of Santa Ana RFP 19-023 Page Al-7 25D-19 The City may call for meetings to be held with the Contractor, including personnel routinely assigned to work in Santa Ana, on an as needed basis without incurring additional cost to the City III. SUMMARY REPORTS Contractor shall furnish the following reports and maintenance database: A. Traffic Signal System Routine and Extraordinary Maintenance Monthly Report This report shall state the location in alphabetic order (north -south street first and then east -west street), date of the work (including the day of the week) performed in chronological order, arrival and departure time, and detailed description of work performed. B. Database for Maintenance Work 1. Contractor shall provide a user friendly database that contains all maintenance work done on the traffic signal system. The database will be installed at the City and as a minimum shall have the followings: (a) Ability to fully search and reports (including the monthly reports) on all type of work completed. (b) Allow user input/edit of additional work done by others or staff. (c) The database must be updated by the contractor on a weekly or sooner basis for the duration of the contract. (d) The database must be provided within the first six months of the contract and no additional cost will be provided. 2. At the City's Option, the Contractor will be required to utilize the City's computerized system (Cityworks) to record ALL maintenance work performed on the traffic signal system. (a) The City uses a computerized asset/work order system (Cityworks) to record all work performed against City owned assets. The Cityworks system is a web based application and available for download using an iOS or Android device. (b) The City will provide training and instruction to the Contractor on the use of the Cityworks system. (c) The Contractor will be required to obtain a cellular/Wi-Fi enabled Apple branded device to perform the required data entry in the field. The Contractor will be solely responsible for maintaining the device in working order to complete the required data entry for the City. (d) The Contractor will be required to obtain a cellular internet data plan cost using one of the following carriers (AT&T wireless, Verizon, T-Mobile or Sprint). City of Santa Ana RFP 18-023 Page Al-8 25D-20 IV. PAYMENT AND INVOICES A. Invoices for Traffic Signal System Maintenance The Contractor shall prepare separate invoices for routine maintenance and extraordinary maintenance. 1. The contractor will be required to provide City staff with cellularAvi-Fi enabled Apple branded smart phones for daily communications and for City staff to perform the required Cityworks data entry in the field. For extraordinary maintenance billings: 1. The Contractor shall prepare a general invoice to include all extraordinary billings that is less than $500 per intersection. 2. The Contractor shall prepare a separate invoice for each location when extraordinary billing is in excess of $500 per intersection. 3. The Contractor shall prepare a separate invoice for intersections that are shared with other jurisdiction listed in Attachment 4 or as requested by the Traffic Engineer. Payment shall not be made to the Contractor until the required reports and As-Builts have been properly submitted for work completed. B. Invoices Submittal The Contractor shall submit all reports and invoices in both paper and Microsoft Excel electronic file format to the City. 1. For correspondences, reports and invoices associating with traffic signal system Maintenance please send it to: Traffic Signal Maintenance City of Santa Ana 20 Civic Center Plaza, M-43 Santa Ana, CA 92701 II. STANDARD SPECIFICATIONS All work on traffic signal system and safety lights on traffic signal shall conform to the City's current standard plans and specifications. III. FEE SCHEDULE In addition to Section III.B.3 (Submittal Requirements: Fee Proposal) fee schedule shall be structures per Attachment 5 Proposal Item Pricing. City of Santa Ana RFP 19-023 Page Al-9 25D-21 Appendix ATTACHMENT 4 TRAFFIC SIGNALS, CCTV CAMERAS, FLASHING BEACONS AND SPEED FEEDBACKS CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR TRAFFIC SIGNAL SYSTEM MAINTENANCE RFP NO.: 19-023 TRAFFIC SIGNALS No. North -South Streets East-West Streets zp d O I Alona Street 17th Street 2 Baker Street Civic Center Drive 3 Baker Street Edinger Avenue 4 Bear Street Alton Avenue Yes 5 Bear Street MacArthur Boulevard 6 Bear Street Se erstrom Avenue 7 Bike Trail RIO Maple Warner Avenue 8 Bike Trail W/O Bradford Place Der Road 9 Bike Trail W/O Rene Drive Warner Avenue 10 Birch Street MacArthur Boulevard 11 Boyd Way Civic Center Drive 12 Bristol Marketplace / Santa Ana College 17th Street 13 Bristol Street 17th Street Yes 14 Bristol Street 1st Street 15 Bristol Street Alton Avenue 16 Bristol Street Bishop Street / Willits Street 17 Bristol Street Bristol Marketplace 18 Bristol Street Bristol Place / Bristol Plaza 19 Bristol Street Callens Common 20 Bristol Street Central Avenue 21 Bristol Street Civic Center Drive 22 Bristol Street Edinger Avenue 23 Bristol Street Glenwood Place 24 Bristol Street Hemlock Way 25 Bristol Street MacArthur Boulevard 26 Bristol Street McFadden Avenue 27 Bristol Street Memory Lane Yes 28 Bristol Street RiverglenLane 29 Bristol Street Santa Ana Boulevard City of Santa Ana RFP 19-023 Page A4-1 25D-22 30 Bristol Street Santa Clara Avenue 31 Bristol Street Se erstrom Avenue 32 Bristol Street Warner Avenue 33 Bristol Street Washington Avenue Yes 34 Bristol Street Wilshire Avenue 35 Broadway Street loth Street 36 Broadway Street 15th Street 37 Broadway Street 17th Street 38 Broadway Street 1st Street 39 Broadway Street 3rd Street 40 Broadway Street 4th Street 41 Broadway Street Sth Street 42 Broadway Street Buffalo Avenue 43 Broadway Street Civic Center Drive 44 Broadway Street Edinger Avenue 45 Broadway Street I-5 NB Off -Ramp Caltrans 46 Broadway Street Main lace Drive 47 Broadway Street McFadden Avenue 48 Broadway Street Santa Ana Boulevard 49 Broadway Street Santa Clara Avenue 50 Broadway Street -Washington Avenue 51 Bush Street 1st Street 52 Bush Street 4th Street 53 Bush Street 5th Street 54 Bush Street Civic Center Drive 55 Bush Street Santa Ana Boulevard 56 Cabrillo Park Drive 1st Street 57 Cabrillo Park Drive 4th Street 58 Cabrillo Park Drive State Fund 59 Cabrillo Park Drive Xerox 60 Cabrillo Park Drive ( Sherry Lane 17th Street 61 Cambridge Street Fairhaven Avenue 62 Center Street 1st Street 63 Center Street Edinger Avenue 64 Center Street McFadden Avenue 65 Centre on 17th/Home Place 17tb Street 66 City Place Memory Lane 67 Clinton Street Westminster Avenue 68 College Avenue 17th Street 69 Downtown Plaza O S ur eon Street 1st Street 70 Elk Lane IMab Street 1st Street Caltrans 71 English Street 17th Street 72 English Street Civic Center Drive 73 1 Euclid Street 1st Street City of Santa Ana RFP 19-023 Page A4-2 25D-23 74 Euclid Street 5th Street 75 Euclid Street Hazard Avenue 76 Euclid Street McFadden Avenue 77 Euclid Street Oakfield Avenue Garden Grove 78 Fairview Street 17th Street 79 Fairview Street I 1st Street 80 Fairview Street Sth Street 81 Fairview Street Alton Avenue 82 Fairview Street Civic Center Drive 83 Fairview Street Edinger Avenue 84 Fairview Street Edna Drive 85 Fairview Street Harvard Street 86 Fairview Street MacArthur Boulevard 87 Fairview Street McFadden Avenue 88 Fairview Street Se erstrom Avenue 89 Fairview Street St Andrews/Centennial Yes 90 Fairview Street Trask Avenue Garden Grove 91 Fairview Street Warner Avenue 92 Fairview Street Willits Street 93 Fire Station No.71 17th Street 94 Fire StationNo.77 Warner Avenue 95 Fire Station No. 72 4th Street 96 Flower Street 17th Street 97 Flower Street 1st Street 98 Flower Street 6th Street 99 Flower Street i Alton Avenue Yes 100 Flower Street Anahurst Place 101 Flower Street Bike Trail N/0 Alton Avenue 102 Flower Street Bishop Street 103 Flower Street Civic Center Drive 104 Flower Street Edinger Avenue 105 Flower Street I-li hland Street 106 Flower Street MacArthur Boulevard 107 Flower Street McFadden Avenue 108 Flower Street Santa Ana Boulevard 109 Flower Street Se erstrom Avenue 110 Flower Street Walnut Street Ill Flower Street Warner Avenue 112 Flower Street Washington Avenue 113 Flower Street Wilshire Avenue 114 French Street 4th Street 115 Garnspy Street Der Road 116 Golden Circle Drive 1st Street City of Santa Ana RFP 19-023 Page A4-3 25D-24 117 Golden Circle Drive 4th Street 118 Grand Avenue 17th Street 119 Grand Avenue Ist Street 120 Grand Avenue 21st Street 121 Grand Avenue 4th Street 122 Grand Avenue Brookhollow Dr/ Hotel Terrace Dr 123 Grand Avenue Century High School 124 Grand Avenue Chestnut Avenue 125 Grand Avenue Der Road 126 Grand Avenue Edinger Avenue 127 Grand Avenue Fairhaven Avenue 128 Grand Avenue Fruit Street 129 Grand Avenue I.5 NB On/Off-Rams Caltrans 130 Grand Avenue I-5 SB On/Off-Ramps/Santa Ana BI 131 Grand Avenue McFadden Avenue 132 Grand Avenue OC Register 6th Street 133 Grand Avenue Santa Clara Avenue 134 Grand Avenue SR-55 SB Off -Ramp Caltrans 135 Grand Avenue St. Andrew Place 136 Grand Avenue St. Gertrude Place 137 Grand Avenue Warner Avenue 138 Greenville Street Alton Avenue 139 Greenville Street Edinger Avenue 140 Greenville Street MacArthur Boulevard 141 Greenville Street Se erstromAvenue 142 Greenville Street Warner Avenue 143 Halladay Street Der Road 144 Halladay Street Warner Avenue 145 Harbor Boulevard Ist Street 146 Harbor Boulevard 5thStreet 147 Harbor Boulevard Garry Avenue 148 Harbor Boulevard Hazard Avenue 149 Harbor Boulevard Kent Avenue 150 Harbor Boulevard MacArthur Boulevard 151 Harbor Boulevard McFadden Avenue 152 Harbor Boulevard Se erstromAvenue 153 Harbor Boulevard Warner Avenue 154 Harbor Boulevard Westminster Avenue Garden Grove 155 Hathaway Street McFadden Avenue 156 Hazard Elementary School Hazard Avenue Yes 157 Home Depot MacArthur Boulevard Costa Mesa 158 Hutton Centre Drive Sand ointe Avenue 159 Hyland Avenue MacArthur Boulevard Costa Mesa 160 I-5 NB On/Off Rams 4th Street Caltrans City of Santa Ana RFP 19-023 Page A4-4 25D-25 161 I-5 NB On/Off-Ramps / Santiago Street 17th Street Caltrans 162 I-5 SB Off -Ram / Mabury Street 4th Street Caltrans 163 1-5 SB On/Off-Rams Santa Ana Boulevard Caltrans 164 I-5 SB On -Ramp 1st Street Caltrans 165 Imperial Promenade 1st American Way 166 Jackson Street 1st Street 167 Jackson Street Sth Street 168 Jackson Street McFadden Avenue 169 King Street 17th Street 170 Lacy Street 4th Street 171 Lawson Drive Memory Lane 172 Lincoln Avenue 17th Street Yes 173 Lincoln Avenue Santa Clara Avenue Yes 174 Linwood Avenue 17th Street 175 Lowell Street Se erstrom Avenue 176 Lon Street 1st Street 177 Lon Street Chestnut Avenue 178 Lon Street Bdin er Avenue 179 Lon Street Lon St Queue Cutter Xing) Yes 180 Lon Street McFadden Avenue 181 Lon Street St. Andrew Place 182 MacArthur PI(Hutton Ctr Dr MacArthur Boulevard Yes Yes 183 MacArthur Place Hutton Centre Yes 184 Main Street 10th Street 195 Main Street 17th Street 196 Main Street 1st Street 187 Main Street 20th Street 188 Main Street 3rd Street 189 Main Street 4th Street 190 Main Street 5th Street 191 Main Street 8th Street 192 Main Street Alton Avenue 193 Main Street Bishop Street 194 Main Street Borchard Avenue 195 Main Street Bowers Museum Yes 196 Main Street Chestnut Avenue 197 Main Street Civic Center Drive 198 Main Street Columbine Avenue 199 Main Street Cubbou Street 200 Main Street Der Road 201 Main Street Edinger Avenue 202 Main Street Goetz Avenue Yes 203 Main Street MacArthur Boulevard 204 Main Street MainPlaceDrive / Memory Lane City of Santa Ana RFP 19-023 Page A4-5 25D-26 205 Main Street MainPlaceDrive / Town & Country Orange 206 Main Street MainPlace Entrance 207 Main Street McFadden Avenue 208 Main Street Murphy Avenue / SandPointe Ave 209 Main Street Pomona Street 210 Main Street Russell Street 211 Main Street Santa Ana Boulevard 212 Main Street Santiago Road / Walkie Way Yes 213 Main Street St. Andrew Place 214 Main Street St. Gertrude Place 215 Main Street Sunflower Avenue Costa Mesa 216 Main Street Warner Avenue 217 Main Street Washington Avenue 218 Maple Street / Majestic Drive Columbine Avenue 219 Maple Street Bike Trail Edinger Avenue 220 Maple Street Bike Trail McFadden Avenue 221 Mohawk Drive Edinger Avenue 222 Mohawk Drive McFadden Avenue 223 Newho a Street 1st Street 224 Newho a Street 5th Street 225 Newho a Street Camille Street 226 Newho a Street Edinger Avenue Fountain Valle 227 Newho eStreet Hazard Avenue 228 Nowhope Street Kent Avenue 229 Newho a Street McFadden Avenue 230 Newho eStreet Westrninster Avenue Garden Grove 231 OC Crosswalk Civic Center Drive 232 OCTA Bus Terminal W/O Broadway) Santa Ana Boulevard 233 Orange Avenue Edinger Avenue 234 Orange Avenue McFadden Avenue 235 Pacific Avenue 1st Street 236 Pacific Avenue Civic Center Drive 237 Pacific Avenue Edinger Avenue 238 Pacific Avenue McFadden Avenue 239 Pacific Avenue Santa Ana Boulevard 240 Pacific Avenue Warner Avenue 241 Parton Street Civic Center Drive 242 Parton Street Santa Ana Boulevard 243 Penn Way 17th Street 244 Penn Way SB I-5 On/OffRams Caltrans 245 Plaza Drive MacArthur Boulevard 246 Pullman Street DyerRoad 247 Pullman Street Warner Avenue Tustin City of Santa Ana RFP 19-023 Page A4-6 25D-27 248 Railroad Xing McFadden Ave Queue Cutter Yes Yes 249 Railroad Xing Santa Ana Blvd Queue Cutter Yes Yes 250 Raitt Street 1st Street 251 Raitt Street 5th Street 252 Raitt Street Adams Street 253 Raitt Street Alton Avenue Yes 254 Raitt Street Civic Center Drive 255 Raitt Street Edinger Avenue 256 Raitt Street Glenwood Place 257 Raitt Street MacArthur Boulevard 258 Raitt Street McFadden Avenue 259 Raitt Street Se erstrom Avenue 260 Raitt Street St. Gertrude Place 261 Raitt Street Warner Avenue 262 Ritchey Street Edinger Avenue 263 Ritchey Street Ritchey St Queue Cutter Xing) Yes Yes 264 Riverview Marketplace McFadden Avenue 265 Rosita Street Hazard Avenue Yes 266 Ross Street 17th Street 267 Ross Street 1st Street 268 Ross Street Civic Center Drive 269 Ross Street Santa Ana Boulevard 270 Santiago Street Santa Ana Boulevard 271 Shelton Avenue McFadden Avenue 272 Shelton Avenue Santa Ana Boulevard 273 Spurgeon Street l7th Street 274 SR-55 NB Off -Ramp Der Road Caltrans 275 SR-55 SB On/Off-Ramp/Hotel Terrace Dr Der Road Caltrans 276 Standard Avenue lst Street 277 Standard Avenue Chestnut Avenue 278 Standard Avenue Edinger Avenue 279 Standard Avenue Hobart Street 280 Standard Avenue McFadden Avenue 281 Standard Avenue St. Gertrude Place 282 Standard Avenue Warner Avenue 293 Sullivan Street 1 st Street 284 Sullivan Street Edinger Avenue 285 Sullivan Street McFadden Avenue 286 Sullivan Street Willits Street 287 Susan Street MacArthur Boulevard 288 Susan Street Se erstromAvenue 289 Susan Street Warner Avenue 290 Sycamore Street 1st Street 291 Sycamore Street Civic Center Drive City of Santa Ana RFP 19-023 Page A4-7 25D-28 292 Sycamore Street Washington Avenue 293 Tech Center Drive Der Road 294 Towner Street MacArthur Boulevard 295 Townsend Street 1st Street 296 Tustin Avenue 17th Street Orange County 297 Tustin Avenue 4th Street 298 Tustin Avenue Centre on 17th / Tustin Center 299 Tustin Avenue Fruit Street 300 Tustin Avenue Santa Clara Avenue Yes 301 Tustin Avenue Wellington Avenue 302 Wright Street Warner Avenue 303 1 Yale Street Warner Avenue City of Santa Ana RFP 19-023 Page A4-8 25D-29 CLOSED CIRCUIT TELEVISION CC CAMERAS 1 Bristol Street 171h Street NW Comer 2 Bristol Street 17" Street SE Corner 3 Bristol Street 1" Street 4 Bristol Street Alton Ave 5 Bristol Street Civic Center Drive 6 Bristol Street Edinger Avenue 7 Bristol Street Hes erian Street 8 Bristol Street MacArthur Boulevard 9 Bristol Street McFadden Avenue NE Comer 10 Bristol Street McFadden Avenue SW Corner 11 Bristol Street Memory Lane 12 Bristol Street Santa Ana Boulevard 13 Bristol Street Se erstron Avenue 14 Bristol Street Wamer Avenue NW Corner 15 Bristol Street Warner Avenue SE Corner 16 Broadway Street 171h Street 17 Broadway Street Civic Center Drive 18 Broadway Street Santa Ana Boulevard 19 Cabrillo Park Drive 1" Street 20 1 Cabrillo Park Drive 17th Street 21 Clinton Street Westminster Avenue 22 College Avenue 17th Street 23 Elk Lane 19' Street 24 Euclid Street 1" Street 25 Euclid Street Hazard Avenue 26 Euclid Street McFadden Avenue 27 Fairview Street 1791 Street 28 Fairview Street ]"Street 29 Fairview Street Civic Center Drive 30 Fairview Street Edinger Avenue 31 Fairview Street Edna Drive 32 Fairview Street Harvard Street 33 Fairview Street MacArthur Boulevard 34 Fairview Street McFadden Avenue 35 Fairview Street Se erstrom Avenue 36 Fairview Street Warner Avenue 37 Flower Street 17'h Street 38 Flower Street 1" Street 39 Flower Street Civic Center Drive 40 Flower Street Edinger Avenue 41 Flower Street MacArthur Boulevard 42 Flower Street Santa Ana Boulevard City of Santa Ana RFP 19-023 Page A4-9 25D-30 43 Flower Street Warner Avenue 44 Grand Avenue 171h Street 45 Grand Avenue 11' Street 46 Grand Avenue 4" Street 47 Grand Avenue Chestnut Avenue 48 Grand Avenue Der Road 49 Grand Avenue Edinger Avenue 50 Grand Avenue Hotel Terrace Drive 51 Grand Avenue McFadden Avenue 52 Grand Avenue Santa Ana Boulevard 53 Grand Avenue Santa Clara Avenue 54 Grand Avenue Warner Avenue 55 Harbor Boulevard 13'Street 56 Harbor Boulevard 5th Street 57 HarborBoulevard Edinger Avenue NEC only 58 Harbor Boulevard Kent Avenue 59 Harbor Boulevard MacArthur Boulevard 60 Harbor Boulevard McFadden Avenue 61 Harbor Boulevard Se erstromAvenue 62 Harbor Boulevard Warner Avenue 63 Harbor Boulevard Westminster Avenue 64 Hotel Terrace Drive Der Road 65 I-5 NB Ramp 4'" Street 66 King Street 171h Street 67 Lincoln Ave 17t' Street 68 Lon Street McFadden Avenue 69 MacArthur Place MacArthur Boulevard 70 Main Street 17" Street 71 Main Street 1" Street 72 Main Street Sth Street 73 Main Street Bowers Museum 74 Main Street Buffalo Avenue 75 Main Street Civic Center Drive 76 Main Street Der Road 77 Main Street Ed ewood Road/15 NB Ramps 78 Main Street Edinger Avenue 79 Main Street MacArthur Boulevard 80 Main Street Main lace Drive/Memory Lane 81 Main Street McFadden Avenue 82 Main Street Town & Country Road 83 Main Street Warner Avenue 84 Newho a Street v Street 85 Newho a Street Camille Street 86 Newho a Street McFadden Avenue City of Santa Ana RFP I M23 Page A4-10 25D-31 87 1 Newho eStreet Westminster Avenue 88 Pullman Street Der Road 89 Penn Way 17th Street 90 Raitt Street 1" Street 91 Raitt Street Adams Street 92 Raitt Street Edinger Avenue 93 Raitt Street MacArthur Boulevard 94 Raitt Street Warner Avenue 95 Santiago Street 170' Street 96 SR-55 Edinger Avenue 97 Sullivan Street Edin er Avenue 98 Tustin Avenue 170' Street 99 Tustin Avenue 4" Street 100 Fustin Avenue Fruit Street City of Santa Ana RFP 19-023 Page A4-11 25D-32 RRFB (Rapid Rectangular Flashing Beacon) and Pre -Timed Flashing Beacons 1 Greenville Street Pomona Street RRFB 2 Lacy Street Civic Center Drive RRFB 3 Lacy Street Santa Ana Boulevard RRFB 4 Lyon Street Mark & Brian Expressway RRFB 5 Main Street Walnut Street RRFB 6 Pullman Street Dyer Road Pre -Timed 7 Garfield Street Santa Ana Boulevard RRFB 8 Minter Street 4th Street RRFB 9 Broadway Walnut Street RRFB 10 Towner Street Edinger Avenue RRFB 11 Broadway 2nd Street RRFB 12 Sycamore Street 5th Street RRFB 13 Old Grand Street Fairhaven Street RRFB 14 Reif Street Monte Vista Ave RRFB 15 w/o Main Street MainPlace Drive RRFB 16 W/o Broadway Halesworth St RRFB Speed Feedback Signs 1 Mcfadden Avenue w/o Newho a Street WE 2 Mcfadden Avenue c/o Euclid Street EB 3 Broadway s/o 15th Street SB 4 Broadway n/o 19th Street NB 5 Bristol Street a/c 17th Street SB 6 Bristol Street a/c Richland Avenue NB 7 Fairhaven Avenue e/o Grand Ave EB 8 Fairhaven Avenue w/o Cambridge Street WE 9 Flower Street n/o Camile Street NB City of Santa Ana RFP 19-023 Page A4-12 25D-33 q = In 2 a N U g u y o i J Vzip �'- I�I=.1�6i�i. iliiri 11/ ri' LAt=v I I _ ^}fl—'._ I_I irc %' 1'i •• .-��II' I. Ur..' �`- "! �II7i1 7, _.— `.: ii�G41I,I`7l,i e, +�I ti°ZIII II —IIl! �I i'•1 aC'._1ifIJ'i l -_ ff _ a,. _ > ,._d. � .`z° �d :fi• Jiii q _. I .. �,'_Y;'i :t , _-. -rv' I � v I _ (i, ► r.... +•� I I,w=. - � • °' I +. _. _ �.�� :=.-..III I'tll. _ — .: I\ Pl1: �,- r 1 i ]fill �• Will rill' II �.�_..�I I' �—•.ir:f.`._I 4I '� 1 III II p a��f llll -I e : ••->. Q cs d Y + H CO h CO 41111., City of Santa Ana RFP 19-023 Page A4-13 25D-34 fll Traffic Signal System Maintenance City of Santa Ana RFP No.:19-023 EXHIBIT .6.="' e Fee Proposal: Page A5-1 I. Routine Maintenance - Monthly Itan Description Unit Qu,,u tits Unit Price Amount 1 Traffic Simal EA 303 $57:37 $17.3S3.Oi 2 Flashim Beacon EA 16. $35.00 5 3 Cellular Phone ic' data Plan EA -1 $50.00 $160.00 Sub -Total $15.103.00 II. Rontiue Mnlnteunuce - uarterlr Item Description Unit Qtivnim Unit Price Amount 4 CCTV Camera EA 100 $66.00 $6.600.00 5 1 Speed Feedback Sim EA 9 $27.76 $250.06 Sub -Total $6.S5U.00 11I. Eitrnordinnn Maintenance- Labor Item Description Hourly Hourly Otrertinre Hourly Doublerinre 6 Su erintetulent $S9.44 $125.67 $168.70 7 EnsuteaiuzTech $S9.44 $125.67 $168.70 S Lab Tech . W, $125.67 i 9 MannelanceTech - Lead .0 $125.67 l0 A4airuenance Tech $S0.39 $106.43 S151.71 11 I Utility Tech - Lead $S9.44 $125.67 $16R,70 12 Utili Tech $50.39 $106.43 $151.71 13 Hi21t Voltase Tech -Lend $S9.44 $125,67 $16S.70 l4 S treat Lieht Tech S86.394; 5 ,7' Page ®ECOIVOLITE SYSTEMS 25D-35 Traffic Signal System Maintenance City of Santa Tina RFP No.:19-023 Fee Proposal: Page A5-1 1 15 I Service Laborer I$74.73 I $100. 77 1$146 05 I IV. Labor J, NInterlal Item Description Unit Unit Price 16 Install Type U Bike Loop EA $561.12 17 Install 6' Dia Cucnlar Type D Loop EA 46 . i 1S Install 6' Dia Circular Type E Loop ('1-5 loops) EA 5 2 19 Ltstall'6' Dia Circular Type Loop (6.10 loops) EA $544.25 20 1 Ltstall 6' Dia Circular T e Loop (>10 loos) EA $505.00 21 Ltstall City Funrished Type P cabinet EA $1.800.00 22 hrstall City fiuriished Type 332 cabinet EA C00. t 23 Install Re?Inee ADA PPB Assetttbl EA $113.90 Repine PPB with ADA PPB EA $137.87 hrstall'Replace O crhead Retlectotize Street Name Sinn (RSKS) EA 15, 0 1 26 Conduct Signal Cabinet O xrational Test EA $500.00 27 Re lace12"3-SectimVehicleHead EA $440.60 ,S Replace 12" 3-Section Vehicle Head (City supplied LED) EA $30636 29 Paint Traffic Signal C'abhiet EA $362.00 30 Paint Traffic Signal Vehicle Head EA $69.00 31 paint Pedestrian Head EA 46.00 32 htstall 2" Conduit LF $53.34 33 Ltstall 3" Conduit LF $54.20 34 Install 4" Conduit LF $57.95 ECCIVOUTL SYSTEMS 25D-36 Traffic Signal System Maintenance City of Santa Ana RFP No.:19-023 Fee Proposal: Page A5-2 1'. E ui tment Item Description Hourly Rite Daily Rate 35 Pick-up Truck KOM .n 30 Service Truck $32.00 $256.00 37 Service Ladder Truck $32 256 3S Boom Ladder Truck $256.00 39 50' Boom Truck $50.00 S400,00 40 Crane Tnick $150.00 $1.200.00 41 L4atei• Tnuk -a: : 42 Diunp Tntck 3: 43 Bid Concrete San- Nip NA 44 Complete Paint Ris $45.00 $360.00 45 1 Jack Hnnuner`Com ressor $30.00 $240.00 46 1 Trencherand Backhoe -- List additional a ui ulent here ifnecessa 47 4S 49 50 to 4-hour minuuum f Santa Ana RFP Page A5-2 In addition. proposers shall provide breakdown details supporting the above costs. Econolite Systems. lac. f714187S-03;7 '(714)666-1123 LEGAL NTANIE OF CONIPANY- PHONE AND FAX NUMBERS 1250 N. Tustut Avenue. Analteim CA 92507 BUSINESS ADDRESS S� DATE TITLE ADDRESS 027-0206675 C-10-960067 FEDERAL ID NUMBER (IF APPLICABLE) CONTRACTOR LICENSE NUhIBER (IF APPLICABLE) ® ECONOLITE SYSTEMS 25D-37 25D-38 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 2, 2019 TITLE: APPROVE AN AGREEMENT WITH GRISWOLD INDUSTRIES FOR FLOW CONTROL VALVE MAINTENANCE, REHABILITATION, AND REPLACEMENT SERVICES IN AN AMOUNT NOT TO EXCEED $500,000 (NON -GENERAL FUND) (STRATEGIC PLAN NO. 6, 1) CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 161 Reading ❑ Ordinance on 2"d Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO ?ew S�_ FILE NUMBER CITY MANAGER RECOMMENDED ACTION Authorize the City Manager and Clerk of the Council to execute an agreement with Griswold Industries dba Cla-Val to provide flow control valve maintenance, rehabilitation, and replacement services, for a three-year period commencing July 2, 2019, and expiring July 1, 2022, with provision for one two-year renewal option exercisable by the City Manager and City Attorney, for $100,000 annually, in a total amount not to exceed $500,000 paid from the Water Utility Water Production & Supply Fund, for the term of the agreement, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION The City of Santa Ana supplies potable water to over 45,000 accounts, which includes all of the City's 324,000 residents, business, and institutions. The City's water production system consists of 22 wells, 4 pressure control stations, 7 Metropolitan Water District connections, 7 water pump stations, 10 reservoirs, and 34 flow control valves. Flow control valves are located throughout the City at water production sites, such as well and pump stations, in order to effectively control the amount of water introduced into the distribution system and sustain desired pressures. Flow control valves are complex valve systems that rely on mechanical, hydraulic, and electric controls and sensors to function properly. As with other water system assets, flow control valves must be periodically maintained to ensure they operate as intended. Many of the City's flow control valves are in need of rehabilitation and some must be replaced. Due to the special characteristics of flow control valves, it is ideal to have manufacturer -certified technicians perform maintenance, inspection, rehabilitation, and replacement services. 25E-1 Approve Agreement with Griswold Industries for Flow Control Valve Maintenance, Rehabilitation, and Replacement Services July 2, 2019 Page 2 Staff prepared a Request for Proposals (RFP) (Exhibit 1) which was advertised on the City's PlanetBids website, as well as the City website. Two proposals were received and evaluated by a selection committee based on criteria as outlined in the RFP. Listed below are the responding firms and their respective scores: FIRM Location Preliminary Score Griswold Industries Costa Mesa, CA 94.3 Power Bros Machine Montebello, CA 76.8 In accordance with the RFP, staff recommends awarding a contract to Griswold Industries (Exhibit 2). Their proposal demonstrated a high technical competency and experience performing similar services from inspection to installation. The proposal contained a clear path toward achieving City goals and objectives as required by the RFP. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 - Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funds are budgeted in the proposed Fiscal Year 2019-20 Water Utility Water Production & Supply Account (No. 06017640-62300) and will be included in proposed budgets for future years as follows: Fiscal Accounting Unit Fund Accounting Unit —Account Amount Year — Account # Description Description Agreement 3-Year Term FY 19/20 06017640-62300 Water Fund Water Utility Water Production & $100,000 Supply — Contract Services Professional FY 20/21 06017640-62300 Water Fund Water Utility Water Production & $100,000 Supply — Contract Services Professional 25E-2 Approve Agreement with Griswold Industries for Flow Control Valve Maintenance, Rehabilitation, and Replacement Services July 2, 2019 Page 3 FY 21/22 06017640-62300 Water Fund Water Utility Water Production & $100,000 Supply — Contract Services Professional Fiscal Accounting Unit Fund Accounting Unit, Account Amount Year — Account # Description Description Extension O tion FY 22/23 06017640-62300 Water Fund Water Utility Water Production & $100,000 Supply — Contract Services Professional FY 23/24 06017640-62300 Water Fund Water Utility Water Production & $100,000 Supply — Contract Services Professional Total Contract Amount: $500,000 Fuad Svss, PE, PLS Executiv Director Public W ks Agency FS/NS/RR Exhibits: 1. RFP No.18-052 2. Agreement APPROVED AS TO FUNDS AND ACCOUNTS: 10 Kathryn Downs, CPA �/Executive Director / Finance and Management Services Agency 25E-3 25E-4 EXHIBIT 1 REQUEST FOR PROPOSALS (RFP) FOR FLOW CONTROL VALVE MAINTENANCE AND REHABILITATION PROGRAM RFP NO.: 18-052 CITY OF SANTA ANA PUBLIC WORKS AGENCY 220 S. Daisy Avenue, Bldg A Santa Ana, CA 92703 Cesar Barrera, P.E. Project Manager (714) 647.3387 Office cbarrera@santa-ana.org veiss, PE, PLS cutive Director Works Agency KEY RFP DATES (Subject to chancre at discretion of City): Issue Date: Tuesday, April 2, 2019 Deadline for Requests for Information: Tuesday, April 16, 2019 Proposal Due Date: Tuesday, April 23, 2019 at 3:00 P.M. Projected Award Date (anticipated): Tuesday, June 4, 2019 City of Santa caRFP 18-052 NOTICE INVITING PROPOSALS NOTICE IS HEREBY GIVEN that proposals will be received from qualified firms for Flow Control Valve Maintenance and Rehabilitation Program. Responses to this Request for Proposals (RFP) will be accepted until Tuesday, April 23, 2019 at 3:00 P.M. Responses to this Request for Proposals (RFP) must be submitted electronically to the PlanetBids system. It is the responsibility of the proposer to ensure that any proposals submitted have been uploaded to PlanetBids prior to this proposal due date and time. Proposals shall NOT be mailed or sent via telegraphic, electronic or facsimile means. All notifications, updates and addenda will be posted online on PlanetBids at https://www.planetbids.com/portal/r)ortal.cfm?Comr)anylD=20137 and on the City's RFP Bid page at www.santa-ana.org/bids-rfps. Proposers shall be responsible for monitoring PlanetBids and the City's RFP Bid page to obtain information regarding this solicitation. Failure to respond to required updates may result in a determination of a nonresponsive proposal. LETTER OF INTENT: As a courtesy to the City, all interested firms are encouraged to submit a Letter of Intent of their pending proposal to the noted Project Manager by the required date as shown on the cover page of this RFP. Letters shall be sent via certified mail or email. A decision, by an interested firm, not to submit a Letter of Intent would not lead to the disqualification of the firm. City of Santa Ana RFP 18-052 Z5e- 6 TABLE OF CONTENTS GENERAL..........................................................................................................................................................................4 A. NATURE OF WORK:..........................................................................................................................................4 B. SUBMITTAL OF PROPOSAL: ........................................................................................................................... 4 C. PROPOSAL EVALUATION AND RATING: ..................................................................................................... 4 D. PROJECT FUNDING: ......................................................................................................................................... 4 E. TERM OF CONTRACT AGREEMENT: ........................................................................................................... 5 IL PROPOSAL TERMS AND CONDITIONS.....................................................................................................................5 A. EXAMINATION....................................................................................................................................................5 B. EXECUTION OF AGREEMENT........................................................................................................................5 C. PROPOSAL VALIDITY.......................................................................................................................................5 D. PRE -CONTRACTUAL EXPENSES..................................................................................................................5 E. JOINT OFFERS/SUBCONTRACTORS...........................................................................................................5 III. INSTRUCTIONS TO PROPOSERS...............................................................................................................................6 A. CITY RESPONSIBILITIES.................................................................................................................................6 B. PROPOSER RESPONSIBILITIES....................................................................................................................6 C. REQUEST FOR INFORMATION OR CLARIFICATION................................................................................6 D. ADDENDA............................................................................................................................................................6 E. LICENSES & PERMITS.....................................................................................................................................6 F. INSURANCE........................................................................................................................................................6 G. PAYMENT INFORMATION PACKET..............................................................................................................7 H. CITY RIGHT TO REJECT..................................................................................................................................7 I. PROTESTS..........................................................................................................................................................7 IV. SUBMITTAL REQUIREMENTS......................................................................................................................................7 A. GENERAL.............................................................................................................................................................7 1. NUMBER OF COPIES AND SIGNATURE........................................................................................7 2. DEADLINE.............................................................................................................................................7 B. PROPOSAL CONTENTS...................................................................................................................................8 1. STATEMENT OF QUALIFICATIONS................................................................................................8 2. SCOPE OF SERVICES & SCHEDULE.............................................................................................8 3. FEE PROPOSAL...................................................................................................................................9 4. CERTIFICATIONS................................................................................................................................9 V. PROPOSAL REVIEW (CONTRACTOR SELECTION)...............................................................................................9 A. EVALUATION AND RATING.............................................................................................................................9 B. SELECTION.........................................................................................................................................................9 VI. AWARD OF AGREEMENT..............................................................................................................................................9 A. REQUEST FOR COUNCIL ACTION................................................................................................................9 B. EXECUTION OF AGREEMENT......................................................................................................................10 VI I. IMPLEMENTATION........................................................................................................................................................10 A. NOTICE TO PROCEED...................................................................................................................................10 VIII. PUBLIC RECORDS........................................................................................................................................................10 APPENDIX ATTACHMENT 1: SCOPE OF WORK ATTACHMENT 2: STANDARD AGREEMENT ATTACHMENT 3: CERTIFICATIONS APPENDIX A: VALVE LIST City of Santa Ana RFP 18-052 2FSE37 GENERAL The City of Santa Ana ("Santa Ana" or "City") is the county seat and second most populous city in Orange County, California, with over 340,000 residents. It is the 57th most -populous city in the United States. There are approximately 45,000 metered water accounts. Santa Ana is located in Southern California, adjacent to the Santa Ana River, about 10 miles away from the California coast. Founded in 1869, the City is part of the Greater Los Angeles Area, the second largest metropolitan area in the United States with almost 18 million residents in 2010. A. NATURE OF WORK: The City of Santa Ana is seeking a firm to provide preventative maintenance, rehabilitation and replacement services for the City's water pressure reducing and pressure sustaining valves. The City intends to enter into agreements with a single firm to provide the described services. A detailed Scope of Work is included in ATTACHMENT 1: SCOPE OF WORK in the Appendix of this RFP. B. SUBMITTAL OF PROPOSAL: Responses to this Request for Proposals (RFP) must be submitted electronically to the PlanetBids system. It is the responsibility of the proposer to ensure that any proposals submitted have been uploaded to PlanetBids prior to this proposal due date and time. The Fee Proposal shall be submitted separately and electronically to the PlanetBids system prior to this proposal due date and time. C. PROPOSAL EVALUATION AND RATING: The criteria for evaluating the proposals submitted will take the following items into consideration: Firm/Team Experience 20% Understanding of Need 40% Fee 40% The City has established a proposal review committee to evaluate proposers based on the response to the RFP, which includes adherence to outlined directions and format, and the City evaluation criteria set forth above. A final score will be calculated for each submitted proposal and used to rank the proposers. D. PROJECT FUNDING: Project is funded by State and local funds. City of Santa Ana RFP 18-052 L55 8 E. TERM OF CONTRACT AGREEMENT: This term is outlined in the Standard Consultant Agreement, as contained in ATTACHMENT 2: STANDARD AGREEMENT in the Appendix of this RFP. II. PROPOSAL TERMS AND CONDITIONS By submitting a Proposal, the Proposer acknowledges that it has thoroughly examined and accepts the Terms and Conditions of this RFP as described below: A. EXAMINATION Proposer represents that it has thoroughly examined and become familiar with the services and responsibilities required in this RFP and that it is capable of effectively and efficiently performing quality work to achieve the City's objectives. Any attachments referenced herein or any interpretations, clarifications or amendments subsequently posted in the relation to this RFP are fully incorporated. B. EXECUTION OF AGREEMENT The City and the selected Proposer will enter into an Agreement similar to that as shown in ATTACHMENT 2: STANDARD AGREEMENT in the Appendix of this RFP. If a Proposer is unwilling or unable to execute an Agreement within thirty (30) days after being notified of selection under this RFP, the City reserves the right to select the next most qualified Proposer or call for new Proposals, whichever the City deems most appropriate. C. PROPOSAL VALIDITY Services, pricing and warranties indicated in a respondent's Proposal must be valid for a period of 120 days after the submission of the Proposal. D. PRE -CONTRACTUAL EXPENSES Santa Ana shall not, in any event, be liable for any pre -contractual expenses incurred by Proposers in the preparation of its proposal. E. JOINT OFFERS/SUBCONTRACTORS Where two or more Proposers desire to submit a single Proposal in response to this RFP, they should do so on a prime sub -Contractor basis. The City intends to contract with a single firm and not with multiple firms doing business as a joint venture. Should the use of sub -Contractors be offered, the Proposer shall provide the same assurances of competence for the sub -Contractor plus the demonstrated ability to manage and supervise the subcontracted work. Sub -Contractors shall not be allowed to further subcontract with others for work under the Agreement. The provisions of the Agreement shall apply to all sub -Contractors in the same manner as the Proposer. City of Santa Ana RFP 18-052 2BE59 III. INSTRUCTIONS TO PROPOSERS A. CITY RESPONSIBILITIES The City will provide information in its possession relevant to preparation of required information in RFP. The City will provide only the staff assistance and documentation specifically referred to herein. B. PROPOSER RESPONSIBILITIES Point of Contact: The selected proposer will assume responsibility for all services in its proposal. The selected proposer shall identify a sole point of contact with the greatest knowledge in regard to the required service operations and contractual matters, including payment of any and all charges resulting from the Agreement. Evidence of Financial Capacity: Proposer may be requested to submit its most recent audited financial statement, evidencing proposer's financial capacity to fully perform the required services, including provision of equipment and personnel expenses over a ninety (90) day period. If said financial statement does not reflect full ninety (90) day operational capacity, proposer may include a letter of credit as evidence of supplemental capacity. C. REQUEST FOR INFORMATION OR CLARIFICATION All questions or requested clarifications shall be made in writing via e-mail to the Project Manager (contact information as noted on the cover page to this RFP) by or before the "Deadline for Requests for Information" date noted on the cover page of this RFP. No verbal requests or responses will be accepted. Significant interpretations or clarifications will be addressed via addenda to this RFP, as indicated below in SUB -SECTION D "ADDENDA". D. ADDENDA Any changes in RFP from the date of release to date of submittal will result in an addendum or amendment. Notification of such addendum or amendment shall be posted on PlanetBids and City's website, www.santa-ana.ora/bids-rfps E. LICENSES & PERMITS The selected Proposer shall be required to obtain a City of Santa Ana Business license within ten (10) business days of selection and must provide a copy to the City Project Manager or designee prior to commencing any work in Santa Ana. Additionally, Proposer will be responsible for obtaining any licenses/permits required by the Scope of Work. F. INSURANCE The selected Proposer shall provide the required evidence of insurance coverage as set forth in the standard agreement within ten (10) business days after receipt of notice of award. City of Santa Ana RFP 18-052 25e -I 0 G. PAYMENT INFORMATION PACKET The selected Proposer shall return a completed payment information packet within ten (10) business days after the successful Proposer has received notice that the agreement has been awarded. The packet is available on the City's website: www.santa-ana.orcl/bids- rfPs H. CITY RIGHT TO REJECT The City reserves the right to reject any or all proposals submitted and no representation is made hereby that any agreement will be awarded pursuant to this RFP or otherwise. The City reserves the right to accept or reject the combined or separate components of this proposal in part or in its entirety or to waive any minor inconsistency, informality or technical defect in the proposal. The City reserves the right to reject, replace and approve any and all subcontractors. All subcontractor(s) shall be identified in the response to the RFP. Subcontractors shall be the responsibility of the successful Proposer and the City shall assume no liability of such subcontractors. I. PROTESTS Proposers with concerns or rebuttal of any staff determination of non -responsiveness or non -responsibility may submit, in writing within five (5) business days, to the Project Manager, any concerns regarding the RFP process or staff determination. Such writing shall be considered by the City Manager or his designated representative, and may be acted upon within five (5) business days. If no action is taken within such time, there shall be no change to the staff determination. The exercise by Proposer of its right to submit written concerns shall be a condition precedent to seeking judicial review of any award of a contract hereunder. IV. SUBMITTAL REQUIREMENTS A. GENERAL 1. NUMBER OF COPIES AND SIGNATURE Refer to SECTION I "GENERAL" above. 2. DEADLINE Proposals are due, to the City of Santa Ana (via PlanetBids submittal), at the date and time set forth above in the Notice Inviting Proposals. City of Santa Ana RFP 18-052 2311 B. PROPOSAL CONTENTS A responsive proposal shall contain the following documentation: 1. STATEMENT OF QUALIFICATIONS The Statement of Qualifications shall be limited to a MAXIMUM of (10) DOUBLE - SIDED PAGES (excluding front and back covers, section dividers and attachments such as resumes, forms). Font size shall be minimum 11-point Arial. Proposal exhibits shall be maximum 11"x 17". The Statement of Qualifications includes the following: a. Cover Letter Proposals shall include a letter signed by a principal or authorized representative who can make legally binding commitments for the entity. Include type of business entity. b. Agreement Statement Proposal shall include a statement outlining your concurrence or concerns with any and all provisions as contained in the standard agreement attached as ATTACHMENT 2: STANDARD AGREEMENT in the Appendix of this RFP. c. Firm and Team Experience Proposal shall include a profile of the firm's experience. At a minimum, this should include the project manager/principal agent, associates in charge when project manager/principal agent is unavailable, key personnel, firm size, and a description of the organization. The project manager/principal agent shall be the primary contact person to represent your firm. Understanding of Need Proposal shall include an outline which demonstrates the firm's understanding of the scope of services and relevant experience performing relative tasks. This outline should include anticipated approach, tasks necessary for successful completion, and suggestions or special concerns that the City should be made aware of. e. Relevant Project Experience Proposal shall include a list of relevant projects, which your firm or personnel have completed within the last five (5) years, including significant work with public agencies. Project information should include project description, year completed, client name, along with a person to contact and their telephone number. f. Fee Fees may or may not be included as part of evaluation criteria. Refer to SECTION I "GENERAL" above and SUB -SECTION IV.A.3 "FEE PROPOSAL" below. (this item is not part of the page limit) 2. SCOPE OF SERVICES & SCHEDULE Proposal shall include a Scope of Services which details the work phases to be completed, the tasks to be accomplished and the deliverables to be provided. based City of Santa Ana RFP 18-052 25 M 2 upon the requested Scope of Work, detailed in ATTACHMENT 1: SCOPE OF WORK in the Appendix of this RFP. 3. FEE PROPOSAL Proposer's fee proposal shall be submitted concurrently with the technical proposal, but in a separate submission to the PlanetBids system. This shall include the proposed Total Fee, firm's Standard Hourly Fee Schedule, and a Project Fee Schedule as outlined in the Scope of Work. Where fees are NOT included as part of evaluation criteria, the fee proposal will not be opened until the proposals have been evaluated by the proposal selection committee. The City will select the Contractor based on qualifications, and then negotiate a contract price based on available funding. Where fees ARE included as part of the evaluation criteria, the fee proposal will be opened and reviewed concurrently with the proposal, and weighted per the percentage identified in SECTION I "GENERAL" above. 4. CERTIFICATIONS The following forms, included in ATTACHMENT 3: CERTIFICATIONS in the Appendix of this RFP, shall be signed and included as part of the proposal submittal package: • Non -Collusion Affidavit • Non -Lobbying Certification • Non -Discrimination Certification V. PROPOSAL REVIEW (CONTRACTOR SELECTION) A. EVALUATION AND RATING Refer to SECTION I "GENERAL" above. B. SELECTION The committee may interview the top ranking proposers. The City will recommend award of the agreement to the proposers who will provide the best quality and value to the City. City reserves the right to begin negotiations and enter into an agreement without interview or further discussions. VI. AWARD OF AGREEMENT A. REQUEST FOR COUNCIL ACTION Following evaluation and rating by the proposal review committee, the Executive Director will recommend award of an agreement to the proposer providing the best quality and value to the City. City of Santa Ana RFP 18-052 2MA3 B. EXECUTION OF AGREEMENT A standard agreement is included as ATTACHMENT 2: STANDARD AGREEMENT in the Appendix of this RFP. 'Proposer" will hereinafter be referred to as "Contractor" in standard agreement. The term of the agreement will begin after the agreement is fully executed, and all required bonds, insurance documents and contents of the payment information packet have been received and approved. VII. IMPLEMENTATION A. NOTICE TO PROCEED A formal Notice to Proceed (NTP) may be issued after the agreement is fully executed, and all insurance documents and contents of the Payment Information Packet have been received and approved. VIII. PUBLIC RECORDS All responses to the RFP shall become property of the City, and proposals will become public record after award of agreement. Proposer information identified as proprietary information shall be maintained confidential, to the extent allowed under the California Public Records Act. City of Santa Ana RFP 18-052 2i9E114 CITY OF SANTA ANA RFP NO.: 18-052 FLOW CONTROL VALVE MAINTENANCE PROGRAM Appendix ATTACHMENT 1: SCOPE OF WORK 25E-15 CITY OF SANTA ANA RFP NO.: 18-052 FLOW CONTROL VALVE MAINTENANCE PROGRAM SCOPE OF WORK Introduction and Background: The City of Santa Ana is located in the heart of Orange County, California and is approximately 27 square miles. The City provides potable drinking water for all of the City's residents and businesses. The City's water production system consists of 22 wells, 4 pressure control stations, 7 Metropolitan Water District connections, 7 water booster stations and 8 reservoirs and 2 sanitary sewer lift stations. Control and monitoring of the water system and sewer facilities is coordinated via the City SCADA system using a series of radios to send and receive data from remote locations to the City Home SCADA control room. Flow and pressure control through the water system is achieved using Cla-Val valves per Appendix A. Description of Work: The City is requesting proposals for the purpose of rehabilitating, replacing and maintaining all Cla-Val pressure control valves within the water production facilities. The contract term shall be for three years with a City option to renew for one additional 2-year term. The Contractor will be expected to hold firm pricing on all contract items supplied for the duration of the contract. Labor increases shall be subject to mutually agreeable terms between the City and the Contractor. Contractor Responsibilities: I. INSPECTION/PREVENTATIVE MAINTANENCE (BID ITEMS 1-3) Inspection shall include annual examination of all valves and any pilot valve systems associated with the valves listed in Appendix A. Preventative maintenance shall be performed every 12 months at each valve system in order to elongate the lifespan of the valves and to determine how the operating conditions of the system are affecting the valve. The preventative maintenance inspection shall verify the working condition of the valve. Preventative maintenance should consist of, but not limited to, the removal of lime deposits/mineral buildup from the valve stem and other metal parts, inspection of parts, calibration of settings, maintaining and cleaning the strainers, exercising the valves, checking the pilot tubing for leaks, inspecting pilot disc retainers, and confirmation that the diaphragm assembly is properly functioning. Preferably, preventative maintenance should be accomplished without removing the valve from the line. In addition to preventative maintenance, the Contractor shall, upon request from the City, deploy to any valve and/or pilot valve site and perform a working inspection of the existing valve if the City encounters any valve operational issues. II. REPAIR (BID ITEMS 4-9) The Contractor shall repair or replace any parts of the valve found to be worn or otherwise in need of replacement. All internal parts of the valve shall be cleaned of mineral deposits prior to reassembly of the valve. When required (typically every 5 years), complete valve 25E-16 CITY OF SANTA ANA RFP NO.: 18-052 FLOW CONTROL VALVE MAINTENANCE PROGRAM rebuilds/rehabilitations should be performed in which the main valve and its respective pilot controls are cleaned internally, all rubber parts are replaced, and all metal parts replaced where needed. All repairs and rehabilitations shall be made in accordance with Cla-Val guidelines and as directed by the City. The Contractor shall be factory trained in maintaining all piloting systems offered by Cla-Val and shall fix/repair all piloting systems in accordance with Cla-Val guidelines and as directed by the City. Work under this section shall also include full valve replacement complete with all necessary pilot systems and/or electronic controls. Valves listed in Appendix A are representative of the majority of the Cla-Val valves in use in the City but is not a complete listing. For bidding purposes, assume all repair items on the bid sheet do not include repairs of the pilot control systems. The City acknowledges that additional costs will be incurred for pilot system repairs and will vary depending upon the type of piloting system on each valve. Assume that a full repair of the valve will include costs for replacement of all parts that could be replaced in a standard Cla-Val diaphragm valve. For bidding purposes, assume repair of the following components; replacement of disk and seat on Model 90-01 for the various sizes as listed on the Fee Schedule. III. NEW VALVE (BID ITEMS 10-11) If the Contractor has determined rehabilitation of a valve system is not feasible or at the City's direction, replacement of the valve with a new valve shall take place. Furthermore, if the cost to repair the valve exceeds 50% of the cost to replace, replacement of the valve with a new valve shall take precedence. When work includes the replacement of valves, City staff will remove the existing valve and install the new replacement valve. The consultant/contractor will assist with the specification of the new replacement valve, supply the new replacement valve, and assist in the calibration and testing of the new replacement valve upon successful installation by City staff. IV. VALUE ADDED RELATED SERVICES The Contractor may propose additional related services that the City has not specifically identified in this RFP to accomplish the stated goals of this RFP. Value added related services will be considered by the City and may or may not be incorporated in the agreement. All parts and materials must be supplied new and Cla-Valve factory approved. V. PROJECT MANAGEMENT & COORDINATION When a request for service is issued to the City, the Contractor shall issue an estimate to the City's designated project manager. The Contractor shall not proceed with any work without the approval of the City's designated project manager. Contractors shall invoice the City on a monthly basis for all work performed during the period or provide a one-time invoice at the completion of work issued. Each invoice shall be accompanied by a summary of tasks performed, results and progress on long-term tasks if any. 25E-17 CITY OF SANTA ANA RFP NO.: 18-052 FLOW CONTROL VALVE MAINTENANCE PROGRAM VI. MINIMUM QUALIFICATIONS The Contractor shall meet the following minimum qualifications: 1. Be factory authorized, trained and knowledgeable in Cla-Val valves for maintenance, operation and installation. (Provide proof of training upon issuance of a contract with the City) 2. Be confined space entry certified. 3. Have access to factory direct inventory for replacement parts, new valves and related appurtenances. 4. Provide Technical and Engineering support from the manufacturer upon request from the City. VII. FEE SCHEDULE: Contractor shall submit a fee schedule as described in Section IV.B.3 of RFP. Furthermore, Contractor shall submit additional labor, material and equipment rates along with fee schedule. Contractor's labor and equipment rate sheet shall list rates for all labor designations, equipment and materials. The City may request related services that will be paid at the vendor's standard labor and equipment rate submitted. Fee proposal shall be outlined as follows: 25E-18 CITY OF SANTA ANA RFP NO.: 18-052 FLOW CONTROL VALVE MAINTENANCE PROGRAM FEE SCHEDULE The undersigned declares that he/she has carefully examined the request for proposal, that he/she has examined the Proposed Scope of Services, and hereby proposes to furnish all material and do all the work required to complete the said work in accordance with said Proposed Scope of Services, for the unit price(s) set forth in the following schedule: Note: This contract is subject to prevailing wages. TO: CITY COUNCIL OF THE CITY OF SANTA ANA FROM: Item # Bid Item 1 Labor 1 Man Prevailing Wage 2 Labor 2 Men Prevailing Wage 3 Travel Per Day Model 90-01 4 Repair 6" Pressure Control Valve 5. Repair 8" Pressure Control Valve 6. Repair 10" Pressure Control Valve 7. Repair 12" Pressure Control Valve 8. Repair 14" Pressure Control Valve 9. Repair 16" Pressure Control Valve Complete New 8" Model 90-01 1501b Flanged/Epoxy Coated, Stainless Steel Trim, Complete Stainless Steel Pilot 10. System, Opening & Closing Speed Controls, Up Stream & Downstream Pressure Gauges, X101 Valve Position Indicator Complete New 10" Model 90-01 1501b Flanged/Epoxy Coated, Stainless Steel Trim, Complete Stainless Steel Pilot 11. System, Opening & Closing Speed Controls, Up Stream & Downstream Pressure Gauges, X101 Valve Position Indicator 12 Discount off list price on unforeseen replacement parts Unit Quantity HR 164 HR 164 EA 20 EA 5 EA 10 EA 10 EA 5 EA 2 EA 2 EA 5 EA 10 N/A Unit Price $ Total $ Amount $ 25E-19 CITY OF SANTA ANA RFP NO.: 18-052 FLOW CONTROL VALVE MAINTENANCE PROGRAM schedule. Contractor's labor and equipment rate sheet shall list rates designations, equipment and materials. BIDDER INFORMATION: Legal Company Name: _ Complete address: Phone Number: Email Address: Authorized Signature: Name: Title: 25E-20 Appendix ATTACHMENT 2 STANDARD AGREEMENT CONSULTANT AGREEMENT CITY OF SANTA ANA THIS AGREEMENT is made and entered into this day of , 2018 by and between , ("Consultant"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of: The City of Santa Ana is seeking a firm to provide preventative maintenance, rehabilitation and replacement services for the City's water pressure reducing and pressure sustaining valves. B. Consultant represents that Consultant is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: SCOPE OF SERVICES Consultant shall perform during the term of this Agreement, the tasks and obligations including all labor, materials, tools, equipment, and incidental customary work required to fully and adequately complete the services described and set forth in Scope of Services - Exhibit A, attached hereto and incorporated by reference. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates and charges identified in Compensation - Exhibit B. The total amount to be expended under this Agreement shall not exceed $xxxxxx during the term of this Agreement, including any extension periods exercised under Section 3. b. Payment by City shall be made within 45 days (forty-five) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. 3. TERM This Agreement shall commence on [enter a Start Date or "the date first written above"] for a ftiififfi4 Maf&WrVerm with the option for the City to grant up to a tyfflyQ�FVOOFyear renewals, exercisable by a writing by the City Manager and the City Attorney, unless terminated earlier in accordance with Section 16, below. 4. PREVAILING WAGES Consultant is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, et seq., ("Prevailing Wage Laws"), which require the payment of prevailing wage rates and the performance of other requirements on "public works" and "maintenance" projects. If the services being performed are part of an applicable "public works" or "maintenance" project, as defined by the Prevailing Wage Laws, and the total compensation is $1,000 or more, Consultant agrees to fully comply with such Prevailing Wage Laws. Consultant shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws. 5. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. OWNERSHIP OF MATERIALS This Agreement creates a non-exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Consultant under this Agreement ("Documents & Data"). Consultant shall require all subcontractors to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Consultant represents and warrants that Consultant has the legal right to license any and all Documents & Data. Consultant makes no such representation and warranty in regard to Documents & Data which were provided to Consultant by the City. City shall not City of Santa Ana RFP Page A2-2 25E-22 be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk. 7. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self-insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. If Consultant is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: i. Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. ii. Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved by the City. iii. Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. iv. Consultant shall supply City with a fully executed additional insured endorsement. City of Santa Ana RFP Page A2-3 25E-23 f. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to famish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 8. INDEMNIFICATION Consultant agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, contractors, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Consultant, its subcontractors, agents, employees, or other persons acting on its behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Consultant's services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant. 9. INTELLECTUAL PROPERTY INDEMNIFICATION Consultant shall defend and indemnify the City, its officers, agents, representatives, and employees against any and all liability, including costs, for infringement of any United States' letters patent, trademark, or copyright infringement, including costs, contained in the work product or documents provided by Consultant to the City pursuant to this Agreement. 10. RECORDS Consultant shall keep records and invoices in connection with the work to be performed under this Agreement. Consultant shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City for a minimum period of three (3) years, or for any longer period required by law, from the date of final payment to Consultant under this Agreement. All such records and invoices shall be clearly identifiable. Consultant shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business hours. City of Santa Ana RFP Page A2-4 25E-24 Consultant shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Consultant under this Agreement. 11. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 12. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services. Conflict may be further specified in Certifications - Exhibit C, attached hereto and incorporated in this Agreement by reference. 13. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations and as further specified in Certifications - Exhibit C, attached hereto and incorporated in this Agreement by reference. 14. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Consultant. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or City of Santa Ana RFP Page A2-5 25E-25 otherwise, have been made by any party, or anyone acting on behalf of any party, which is not embodied herein. 15. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 16. TERNIINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product(s) completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 17. WAIVER No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. 18. JURISDICTION -VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. City of Santa Ana RFP Page A2-6 25E-26 19. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 20. MISCELLANEOUS PROVISIONS a. Additional provisions, if any, are identified as Additional Provisions, Exhibit D, attached hereto and incorporated into this Agreement by reference. No Exhibit D is attached in the absence of additional provisions. b. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. C. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. 21. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons: City of Santa Ana RFP Page A2-7 25E-27 To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax:714- 647-6956 With courtesy copies to: Fuad S. Sweiss, PE, PLS Sonia R. Carvalho Executive Director, Public Works Agency City Attorney j City of Santa Ana City of Santa Ana 20 Civic Center Plaza (M-21) 20 Civic Center Plaza (M-29) P.O. Box 1988 P.O. Box 1988 Santa Ana, California 92702 Santa Ana, California 92702 Fax:714- 647-5635 Fax:714- 647-6515 To Consultant: First & Last Name Title Consultant Firm Name Address City, State, Zip Fax: A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by fax, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. City of Santa Ana RFP Page A2-8 25E-28 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: Maria D. Huizar Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: John Funk Assistant City Attorney FOR APPROVAL: Fuad S. Sweiss, PE, PLS Executive Director Public Works Agency Rev. 9-17-2018 CITY OF SANTA ANA Raul Godinez II City Manager CONSULTANT: (name) (title) Tax ID# City of Santa Ana RFP Page A2-9 25E-29 CITY OF SANTA ANA RFP NO.: 18-052 FLOW CONTROL VALVE MAINTENANCE PROGRAM APPENDIX ATTACHMENT 3: CERTIFICATIONS 25E-30 CITY OF SANTA ANA RFP NO.: 18-052 FLOW CONTROL VALVE MAINTENANCE PROGRAM NON -COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) In conformance with Title 23 United States Code Section 112 and Public Contract Code 7106 the BIDDER declares that the bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the BIDDER has not directly or indirectly induced or solicited any other BIDDER to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived, or agreed with any BIDDER or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the BIDDER has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the BIDDER or any other BIDDER, or to fix any overhead, profit, or cost element of the bid price, or of that of any other BIDDER, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the BIDDER has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid. Note: The above Non -collusion cautioned that making a criminal prosecution. Signed State of California County of Affidavit is part of the Proposal. BIDDERS are false certification may subject the certifier to Subscribed and sworn to (or affirmed) before me on this day of , 20, by , proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me Notary Public Signature Notary Public Seal 25E-31 CITY OF SANTA ANA RFP NO.: 18-052 FLOW CONTROL VALVE MAINTENANCE PROGRAM NON -LOBBYING CERTIFICATION The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: (1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure of Lobbying Activities," in conformance with its instructions. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such subrecipients shall certify and disclose accordingly. Signed: Title: Firm: Date: 25E-32 CITY OF SANTA ANA RFP NO.: 18-052 FLOW CONTROL VALVE MAINTENANCE PROGRAM NON-DISCRIMINATION CERTIFICATION The undersigned Contractor or corporate officer, during the performance of this contract, certifies as follows: The Contractor shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Contractor shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2. The Contractor shall, in all solicitations or advertisements for employees placed by or on behalf of the Contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. The Contractor shall send to each labor union or representative of workers with which he/she has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the Contractor's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The Contractor shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 5. The Contractor shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 6. In the event of the Contractor's non-compliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the Contractor may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Execution Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law. 25E-33 CITY OF SANTA ANA RFP NO.: 18-052 FLOW CONTROL VALVE MAINTENANCE PROGRAM 7. The Contractor shall include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Contractor becomes involved in, or is threatened with, litigation with a subContractor or Contractor as a result of such direction by the administering agency, the Contractor may request that the United States enter into such litigation to protect the interests of the United States. 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended, no discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any Contractor of public works violating this Section is subject to all the penalties imposed for a violation of the Chapter. Signed: Title: Firm: Date: 25E-34 Appendix A 501314 West Memory lane. Santa Ana CA 92706 PRV-1 Main Valve Type Model Site inch Function Stock No. Catalog No. Main Unit Hytrol 100-20 6 Pressure Relief 650-01-569F 650-01B North Valve Site inch Spring Rate (psi) Function Stock No.. Catalog No. Pilot One 1/2 20.200 Pressure Sustaining 79222-02C CRL y ° Main Valve Type Model Site inch Function Stock No. Catalog No. Main Unit Hytrol 10020 10 Pressure Relief 56U01-353E 650-01B South Valve Size inch Spring Rate losll Function Stock No. Catalog No. Pilot One 1/2 20-200 Pressure Sustaining 79222-02C CRL 309 3/4 E 17th St. Santa Ana CA 92706 PRV-2 Main Valve Type Model Size inch Function Stock No. Catalog No. Main Unit Hytrol 8 Pressure Relief 50.04-35R 8-56048 North Valve Size Inch Spring Rate (psi) Function Stock No. Catalog No. Pilot One 1/2 20-200 Pressure Sustaining 79222-020 CRL Main Valve Type Model Size inch Function Stock No. Catalog No. Main Unit Globe 10-10OG 10 Pressure Relief 50-04-36F 10-50-046 South Valve Site (Inchl Spring Rate (psi) Function Stock No. CataloeNo. Pilot One 1/2 20-209 Pressure Sustaining 79222-020 CRL 1345 3/4 N Grand Ave, Santa Ana CA 92701 PRV-3 Main Valve Type Model Size inch Function Stock No. Catalog No. Main Unit Hytrol 10OG 8 Pressure Relief 50-04-35H 8-50-04B East Valve Size (inchl Spring Rate losil Function Stock No, Catalog No. Pilot One 1/2 20-200 Pressure Sustaining 79222-OC2 CRL _— Main Valve Type Model Size inch Function Stock No. Catalog No. West Valve Main Unit Globe IOOG 12 Pressure Relief 50-04-350 12-SO-04B Size (Inchl Spring Rate losi) Function Stock No: Catalog No. Pilot One 1/2. 20-200 Pressure Sustaining 792224)20 CRL 1668 E 4th St, Santa Ana CA 92701 PRV-4 Main Valve Type Model Size (Inchl Function Stock No. Catalog No. Valve Main Unit Globe 10OG 10 Pressure Relief 50-04-36F 10.50 13 North Size Inch Spring Rate losi) Function Stock No. Catalog No. Pilot One 1/2 20-200 Pressure Sustaining 79222-02 CRL Main Valve Type Model Site inch Function Stock No. . Catalog No. West Valve Main Unit Hytrol IOOG 8 Pressure Relief 50-04-35H 8-50-04B Pilot One Size (Inchl Spring Rate (psi) Function Stock No. Catalog No. 1/2 20-200 Pressure Sustaining 79222T020 CRL 26- 35 Appendix A 2315 N Bristol S. Santa Ana, CA 92706 SA-1 Main Valve Type Model Size inch Function Stock No. Catalog No. Bypass Main Unit Globe 12 Bypass TV3564 12-90 Pilot One Site inch Spring Rate (psi) Function Stock No., Catalog No. u Pressure Sustaining Main Unit Main Valye Type Model Size inch Function Stock No. Catalog No. Pressure Globe 16 Pressure Reducing 90-01-1747F 16-90-01AB Reducing Pilot One Size inch Spring Rate (psi) Function Stock No. Catalog No. 3/8 30-300 Pressure Reducing 71943-04H CRD SE Corner Bristol St & First St, Santa Ana CA 92701 SA-2 Main Unit Main Valye Type Model Size inch ,Function Stock No. Catalog No. Globe 12 TV 8564 96 Bypass Pilot One Size inch Spring Rat.(osi) Function Stock No. .Catalog No. 1/2 Pressure Sustaining Pilot Two Size((.chi Spring Rate (psi) Function Stock No. Catalog No. 1/2 Flow Control 1300 W McFadden, Santa Ana, CA 92704 SA-3 Main Valve Type Model Site inch Function Stock No. Catalog No. Main Unit Globe 10 30721 10-91 Bypass Pilot One Site f1ruhl Spring Rat. (psi) Function Stock No. Catalog No. 1/2 7693002F CDN511A Site inch Spring Rate (psi) Function Stock No. Catalog No. Pilot Two 1/2 Motor Operator CRA 1299 N Tustin Aye. Santa Ana, CA 92707 SA-4 Main Unit Main Valve Type Model Size fi.chl Function Stock No. Catalog No. Globe 10 W356-2 12-90 Bypass Pilot One Size [Inchl Spring Rate (psi) Function Stock No. Catalog No. 30-300 829130H CRD10A Pilot Two Size (!.chi Spring Rate losil Function Stock No. Catalog No. 3/8 34857 CDHS2 2 z36 Appendix A 73nt N Tustin Ave_ Santa Ana. CA 92705 SA-6 Main Valve Type Model Size inch Function Stock No. Catalog No. Main Unit Bailey 16 Size inch Sorine Rate (psi) Function Stock No. Catalog No. North Valve Pilot One 3/8 30-300 Pressure Sustaining 829130H CRDIOA Size Inch Spring Rate (asi) Function Stock No. Catalog No. Pilat Two 3/8 Flow Control 7683002F CDHSIIA Main Valve Type Model Size Inch Function Stock No. Catalog No. Main Unit Globe IODG 10 2331601B 6.49.01ABDKCE Size inch Spring Rate(osil Function Stock No.. Catalog No. Middle Valve Pilot One 3/8 30-300 Pressure Sustaining 7974404E CRA Site Inch Spring Rate (psi) Function Stock No. Catalog No. Pilot Two 3/8 Flow Control 7693002F CDH511A Main Valve Tyne Model Site inch Function Stock No. Catalog No. Main Unit Hytrol IODG 6 233150010 649-OIABDKCE Size inch Spring Rate (psi) Function Stock No. Catalae No. South Valve Pilot One 3/8 30-300 Pressure Sustaining 7974404B CRA Size Inch Spring Rate (psi) Function Stock No. Catalog No. Pilot Two 3/8 Flow Control 7683002F CDHSIIA Main Valve Type Model Site inch Function Stock No: Catalog No. Main Unit Hytrol 10OG 8 Relief Pressure 50-01-101D 8-5G-OIB Slze inch Spring Rat. (psi) Function Stock No. Catalog No. Pressure. Relief Pilot One 1/2 20.200 Pressure Relief 79222-02C CRL Size inch Spring Rate (psi) Function Stock No. Catalog No. Pilot Two 3/8 Flaw Control 7683002F CDHSIIA 2215 Ritchey St., Santa Ana CA 92705 SA-7 Main Valve Type Model Size inch Function Stock No. Catalog No. Main Unit 5 10 2331601B 849-0l 13DKCE Size finchl Spring Rate (psi) Function Stock No. Catalog No. Valve One Pilot One 3/8 1683021 CDNSIIA Size (Inchl Spring Rate (psi) Function Stock No. Catalog No. Pilat Two 3/8 30.300 7974404E CRA Main Valve Type Model Size inch Function Stock No. Catalog No. Main Unit SO 2331701K 6A9-GIABDKCE Size inch Spring Rate (psi) Function Stock No. Catalog No. Middle Valve Pilot One 3/8 7683002F CDNSIIA Size inch Spring Rate (psi) Function Stock No. Catalog No. Pilot Two 3/8 30-300 79744048 CRA Main Valve Type Model Size finchl Function Stock No. Catalog No. Main Unit 5 8 50-01-1011) 8-50-018 Relief Valve Size inch Spring Rate fps!) Function Stock No. Catalog No. Pilot One 1/2 20-200 Pressuer Relief 79222-02C CRL 2 9 3 1 Appendix A 2736 N Cambridge St. Santa Ana. CA 90701 Cambridge Station Main Unit Main Valve Type Model Size inch Function Stock No. Catalog No. Bypass Hytrol 10OG 8 Pressure Relief 58-01-272E 8-58-01B Pilot One Size Spring Rate Function Stock No. Catalog No. 112 20-200 psi Pressure Relief 79222-02C CRL 1730 S. Sanmta Fe, Santa Ana, CA 92705 East Station Main Unit Main Valve Type Model Size Function Stock No. Catalog No. Globe loin Pressure Relief 73064-06 SOK Pressure Relief Pilot One Size finchl Spring Rate Function Stock No. Catalog No. 1/2 Pressure Relief Main Unit Main Valve Type Model Size Function Stock No. Catalog No. Hytrol 14in 72862-06 20&3A-IARC Pressure Relief Pilot One Size inch Spring Rate .Function Stock No. Catalog No. 3/8 30-130 psi C9320 CRA 2401 N Bristol St, Santa Ana, CA 92706 Garthe Station Main Valve Type Model Size Function Stock No. Catalog No. Main Unit Globe 12 in Bypass 210-13-37C 12-210-13BH Bypass Pilot One Size inch Spring Rate Function Stock No. Catalog No. 1/2 211-200 psi Pressure Sustaining 79222-02C CRL Pilat Two Size Inch Spring Rate .Function Stock No. Catalog No. 5-40 psi Level Control 1043801J COSS Main Valve Type Model Size Function Stock No. Catalog No. Main Unit Globe 12 in Pressure Relief 50-01-1196 125D 01B Pressure Relief Pilot One Size Inch Spring Rate Function Stock No. Catalog No. V. 20-200 psi Pressure Relief 79222-02C CRL. 730 E Memory Ln. Santa Ana. CA 92706 Crooke Station Main Valve Type Model Size Function Stock No. Catalog No. Bypass Main Unit Hytrol 100G Sin Bypass 58-01-272E 8-58.OIB Size inch Spring Rate Function Stock No. Catalog No. Pilot One 1/2 20-200 psi' Pressure Relief 79222-02C CRL 1727 W Alton Ave, Santa Ana, CA 92705 South Station Main Valve Type Model Size Function Stock No. Catalog No. Main Unit Globe 14 in Bypass 62199 206-3A-1RX North. Bypass Pilot One Size inch Spring Rate Function Stock No. Catalog No. '3/4 65-180 psi Pressure Sustaining C9294 CRL5 Pilot Two Size inch Spring Rate Function Stock No. Catalog No. 3/8 30-130 psi C9320 CRA Main Valve Type Model Size function Stock No. Catalog No. Main Unit 14in Bypass 62199 206-3A-IRX Size (inch) Spring Rate Function StockNa Catalog No.. . South Bypass Pilot One 3/4 65-180 psi Pressure Sustaining C9294 CRL5 Pilot Two Size inch Spring Rate. Function. Stock No. Catalog No. 3/8. 30-130 psi' C9320 CRA Main Valve Type Model Size Function Stock No Catalog No. Main Unit Globe SOin Pressure Relief 45558 10-6-50-KS Pressure Relief Pilot One Size inch Spring Rate Function Stock No. Catalog No. 3/4 65-180 psi Pressure Relief C9294 CRLS �4 238 Appendix A 721 W WaImJ St. Sand Ana. rd 927f11 Walnut Station Main Valve Type Model Size Function Stock No. Catalog No. Main Unit Globe Bin Bypass C-8028 8-100 Bypass Size Inch Sprine Rate Control Settings Function Stock No. Catalog No. Pilot One 112 20-200 psi 73 psi Pressure Relief 79222-02 CRL 26E �39 Appendix A 730 E Memory W, Santa Ana, CA 92706 Well 28 nit Main Valve Type Model Size Function Stock No. Catalog No. Blow Off 011-ml Globe bin Blow Off TV-4946 e Sizeinch Spring Rate Function Stock No. Catalog No. 1/2. 50-150 psi Pressure Relief C9288 CRL 1727 W Alton Ave, Santa Ana, CA 92705 Well 34 UnitMain Valve Type Model Size Function Stock No. Catalog No. BowOffAngle rPiloltOce 6in Blow Off 5001.480B 6-S0-01B Size linchl Spring Rate Function Stock No. Catalog No. 1/2 20-200 psi Pressure Relief 79222-02C CRL 1718 N Sydney PI, Santa Ana CA 92706 Well 35 Main Unit Main Valve Type Model Size Function Stock No. Catalog No. Blow Off Angle 21MG 81. Blow Off 50-01-1414C 3.50-018 Pilot One Size Inch Spring Rate Function Stock No. Catalog No. 1/2 20-200 psi Pressure Relief 79222-02C CAL 2007 W McFadden, Santa Ana CA 92704 Well 37 Main Unit Main Valve Type Model Size Function Stock No, Catalog No. Blow Off Angle 21MG 8in Blow Off 50-01-1414C 8-50-018 Pilot One Size (Inchl Spring Rate Function Stock No. Catalog No. 1/2 20-200 psi Pressure Relief 79222-02C CRL 2736 N Cambridge St, Santa Ana, CA 90701 Well 38 Main Unit Main Valve Type Model Size Function Stock No. Catalog No. Blow Off Angle 21MG 81n Blow Off 50-01-14140 50-01B Pilot One Size Inch Spring Rate Function Stock No. Catalog No. 1/2 20-200 psi Pressure Relief 79222-02C CRL 25E-40 EXHIBIT 2 AGREEMENT TO PROVIDE FLOW CONTROL VALVE MAINTENANCE, REHABILITATION, AND REPLACEMENT SERVICES THIS AGREEMENT is made and entered into this 2°d day of July, 2019 by and betweenGriswold Industries dba C1a-Va1 ("Contractor"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"). RECITALS A. On April 2, 2019, the City issued Request for Proposal No. 18-052, by which it sought a contractor to provide preventative maintenance, rehabilitation, and replacement services for the City's water pressure reducing and pressure sustaining valves. B. Contractor submitted a responsive proposal that was selected by the City. Contractor represents that it is able and willing to provide the services described in the scope of work that was included in RFP No. 18-052. C. In undertaking the performance of this Agreement, Contractor represents that it is knowledgeable in its field and that any services performed by Contractor under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional contracting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Contractor shall perform the services that were described in the scope of work that was included in RFP No. 18-052 and that is attached as Exhibit A. Contractor's proposal is incorporated in full by reference herein. 2. COMPENSATION a. City agrees to pay, and Contractor agrees to accept as total payment for its services under this Agreement, the rates and charges identified in Exhibit B. The total sum to be expended under the term of this Agreement, including any extension periods, shall not exceed $500,000. b. Payment by City shall be made within forty-five (45) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals and Scope of Work, which may reasonably be expected by City. 25E-41 3. TERM This Agreement shall commence on the date first written above and terminate on July 1, 2022, unless terminated earlier in accordance with Section 17, below. The term of this Agreement may be extended for one 2-year period upon a writing executed by the City Manager and City Attorney. 4. PREVAILING WAGES Contractor is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, et seq., ("Prevailing Wage Laws"), which require the payment of prevailing wage rates and the performance of other requirements on "public works" and "maintenance" projects. If the services being performed are part of an applicable "public works" or "maintenance" project, as defined by the Prevailing Wage Laws, and the total compensation is $1,000 or more, Contractor agrees to fully comply with such Prevailing Wage Laws. Contractor shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws. 5. INDEPENDENT CONTRACTOR Contractor shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Contractor performs the services which are the subject matter of this Agreement; however, the services to be provided by Contractor shall be provided in a manner consistent with all applicable standards and regulations governing such services. Contractor shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. OWNERSHIP OF MATERIALS This Agreement creates a non-exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Contractor under this Agreement ("Documents & Data"). Contractor shall require all subcontractors to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Contractor represents and warrants that Contractor has the legal right to license any and all Documents & Data. Contractor makes no such representation and warranty in regard to Documents & Data which were provided to Contractor by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk. 25E-42 7. INSURANCE Prior to undertaking performance of work under this Agreement, Contractor shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Contractor shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Contractor's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the California Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self-insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. If Contractor is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. C. The following requirements apply to the insurance to be provided by Contractor pursuant to this section: (i) Contractor shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved by the City. (iii) Certificates and policies shall state that the policies shall not be cancelled or reduced in coverage or changed in any other material aspect, by Contractor, without thirty (30) days prior written notice to the City. (iv) Contractor shall supply City with a fully executed additional insured endorsement. 25E-43 f. If Contractor fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Contractor's right to be paid for its time and materials expended prior to notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 8. INDEMNIFICATION Contractor agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, contractors, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Contractor or its subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Contractor further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Contractor's services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Contractor. 9. INTELLECTUAL PROPERTY INDEMNIFICATION Contractor shall defend, indemnify and hold harmless the City, its officers, agents, representatives, and employees against any and all liability, including costs, and attorney's fees, for infringement of any United States' letters patent, trademark, or copyright contained in the work product or documents provided by Contractor to the City pursuant to this Agreement. 10. RECORDS Contractor shall keep records and invoices in connection with the work to be performed under this Agreement. Contractor shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City for a minimum period of three (3) years, or for any longer period required by 25E-44 law, from the date of final payment to Contractor under this Agreement. All such records and invoices shall be clearly identifiable. Contractor shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business hours. Contractor shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Contractor under this Agreement. 11. CONFIDENTIALITY If Contractor receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Contractor agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Contractor disclosed in a publicly available source; (c) is in rightful possession of the Contractor without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Contractor without reference to information disclosed by the City. 12. CONFLICT OF INTEREST CLAUSE Contractor covenants that it presently has no interest and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 13. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 25E-45 Executive Director Public Works Agency City of Santa Ana 20 Civic Center Plaza (M-21) P.O. Box 1988 Santa Ana, CA 92702 To Contractor: Cal -Val 1701 Placentia Avenue Costa Mesa, CA 92627 Attn: Michael Trosper, Wester Regional Service Manager A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by fax, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these timeframes, weekends, federal, state, County or City holidays shall be excluded. 14. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Contractor regarding the subject matter herein, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Contractor. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Contractor or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 15. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Contractor may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other Contractors retained by City. 25E-46 16. WAIVER No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. 17. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Contractor shall be entitled to receive and the City shall pay Contractor compensation for all services performed by Contractor prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Contractor to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Contractor consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 18. NON-DISCRIMINATION Contractor shall not discriminate because of race, color, creed, relation, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities or in connection with any activities under this Agreement. Contractor affmns that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 19. JURISDICTION -VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 20. PROFESSIONAL LICENSES Contractor shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of 25E-47 Santa Ana and all other governmental agencies. Contractor shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 21. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: Norma Mitre Acting Clerk of the Council APPROVED AS TO FORM SONIA R. CARVALHO City Attorney By: V, J#n M. Funk Assistant City Attorney RECOMMENDED FOR APPROVAL Fuad S. Sweiss, PE, PLS Executive Director Public Works Agency CITY OF SANTA ANA Kristine Ridge City Manager CONTRACTOR e: r,',w f d Tndas n`4s Title: - /, l,�o F� Page 8 of 8 A4 CA-U./ D011"el? 1"9i 25E-48 CITY OF SANTA ANA EXHIBIT A RFP NO.: 18-052 FLOW CONTROL VALVE MAINTENANCE PROGRAM SCOPE OF WORK Introduction and Background: The City of Santa Ana is located in the heart of Orange County, California and is approximately 27 square miles. The City provides potable drinking water for all of the City's residents and businesses. The City's water production system consists of 22 wells, 4 pressure control stations, 7 Metropolitan Water District connections, 7 water booster stations and 8 reservoirs and 2 sanitary sewer lift stations. Control and monitoring of the water system and sewer facilities is coordinated via the City SCADA system using a series of radios to send and receive data from remote locations to the City Home SCADA control room. Flow and pressure control through the water system is achieved using Cla-Val valves per Appendix A. Description of Work: The City is requesting proposals for the purpose of rehabilitating, replacing and maintaining all Cla-Val pressure control valves within the water production facilities. The contract term shall be for three years with a City option to renew for one additional 2-year term. The Contractor will be expected to hold firm pricing on all contract items supplied for the duration of the contract. Labor increases shall be subject to mutually agreeable terms between the City and the Contractor. Contractor Responsibilities: INSPECTION/PREVENTATIVE MAINTANENCE (BID ITEMS 1-3 Inspection shall include annual examination of all valves and any pilot valve systems associated with the valves listed in Appendix A. Preventative maintenance shall be performed every 12 months at each valve system in order to elongate the lifespan of the valves and to determine how the operating conditions of the system are affecting the valve. The preventative maintenance inspection shall verify the working condition of the valve. Preventative maintenance should consist of, but not limited to, the removal of lime deposits/mineral buildup from the valve stem and other metal parts, inspection of parts, calibration of settings, maintaining and cleaning the strainers, exercising the valves, checking the pilot tubing for leaks, inspecting pilot disc retainers, and confirmation that the diaphragm assembly is properly functioning. Preferably, preventative maintenance should be accomplished without removing the valve from the line. In addition to preventative maintenance, the Contractor shall, upon request from the City, deploy to any valve and/or pilot valve site and perform a working inspection of the existing valve if the City encounters any valve operational issues. II. REPAIR (BID ITEMS 4.9) The Contractor shall repair or replace any parts of the valve found to be worn or otherwise in need of replacement. All internal parts of the valve shall be cleaned of mineral deposits prior to reassembly of the valve. When required (typically every 5 years), complete valve 25E-49 CITY OF SANTA ANA RFP NO.: 18-052 FLOW CONTROL VALVE MAINTENANCE PROGRAM rebuilds/rehabilitations should be performed in which the main valve and its respective pilot controls are cleaned internally, all rubber parts are replaced, and all metal parts replaced where needed. All repairs and rehabilitations shall be made in accordance with Cla-Val guidelines and as directed by the City. The Contractor shall be factory trained in maintaining all piloting systems offered by Cla-Val and shall fix/repair all piloting systems in accordance with Cla-Val guidelines and as directed by the City. Work under this section shall also include full valve replacement complete with all necessary pilot systems and/or electronic controls. Valves listed in Appendix A are representative of the majority of the Cla-Val valves in use in the City but is not a complete listing. For bidding purposes, assume all repair items on the bid sheet do not include repairs of the pilot control systems. The City acknowledges that additional costs will be incurred for pilot system repairs and will vary depending upon the type of piloting system on each valve. Assume that a full repair of the valve will include costs for replacement of all parts that could be replaced in a standard Cla-Val diaphragm valve. For bidding purposes, assume repair of the following components; replacement of disk and seat on Model 90-01 for the various sizes as listed on the Fee Schedule. III. NEW VALVE (BID ITEMS 10-11) If the Contractor has determined rehabilitation of a valve system is not feasible or at the City's direction, replacement of the valve with a new valve shall take place. Furthermore, if the cost to repair the valve exceeds 50% of the cost to replace, replacement of the valve with a new valve shall take precedence. When work includes the replacement of valves, City staff will remove the existing valve and install the new replacement valve. The consultant/contractor will assist with the specification of the new replacement valve, supply the new replacement valve, and assist in the calibration and testing of the new replacement valve upon successful installation by City staff. IV. VALUE ADDED RELATED SERVICES The Contractor may propose additional related services that the City has not specifically identified in this RFP to accomplish the stated goals of this RFP. Value added related services will be considered by the City and may or may not be incorporated in the agreement. All parts and materials must be supplied new and Cla-Valve factory approved. V. PROJECT MANAGEMENT & COORDINATION When a request for service is issued to the City, the Contractor shall issue an estimate to the City's designated project manager. The Contractor shall not proceed with any work without the approval of the City's designated project manager. Contractors shall invoice the City on a monthly basis for all work performed during the period or provide a one-time invoice at the completion of work issued. Each invoice shall be accompanied by a summary of tasks performed, results and progress on long-term tasks if any. 25E-50 CITY OF SANTA ANA RFP NO.: 18-052 FLOW CONTROL VALVE MAINTENANCE PROGRAM VI. MINIMUM QUALIFICATIONS The Contractor shall meet the following minimum qualifications: 1. Be factory authorized, trained and knowledgeable in Cla-Val valves for maintenance, operation and installation. (Provide proof of training upon Issuance of a contract with the City) 2. Be confined space entry certified. 3. Have access to factory direct inventory for replacement parts, new valves and related appurtenances. 4. Provide Technical and Engineering support from the manufacturer upon request from the City. VII. FEE SCHEDULE: Contractor shall submit a fee schedule as described in Section IV.B.3 of RFP. Furthermore, Contractor shall submit additional labor, material and equipment rates along with fee schedule. Contractor's labor and equipment rate sheet shall list rates for all labor designations, equipment and materials. The City may request related services that will be paid at the vendor's standard labor and equipment rate submitted. Fee proposal shall be outlined as follows: 25E-51 Appendix A SOL 314 West Memory Lane. Santa Ma CA 92706 PRV -1 Mein Unit Maln Valve Tyne Model Sitetinch Funelon stock Na, aC i-,ylm, No Nytral 10020 5 Pressure Relief 650-02.569F 650-018 North Valve I h Sorine Rate losll F,ndlor, Stack No, CmIlia Pilot One 1/2 20.200 Pressure Sustaining 79222-02C CRL Main Valve Twe' Pf'e - ':f51ie (Inch 't','.-:-.�'111(ID5u9Ol•^SS9LhH0..' a6at lev Nh. .� Main Unit - ^'Nytrol' 'IM20,"', :f�10 ..•• LPressure Relief ;560-0Y3u. - 65"int, South Valve , Shelil - nch Sistine Rase 16 Fund -� jlQ�g, ' atal PlotOne 1/2,- 3a7BB;, , Pressure Sustaining .'7922702C CRL,. 309 3/4 E 17th SC Santa An. M 92706 PRV - 2 Fain Unit Main Valve Tvoe Model Size finshlFunRien Sir& No. tal4 0 Hytrel a Pressure Relief 50-04-3511 &500411 North Vai" Pilot One Site (insist Spring Rate (PSI] function No. Catalog 112 20.200 PreswreSmtaining "2224120 CRL �Maln Unit-Meln Valve Tvoe` ;1QpQyl' Stzell^chl ";10:I .',fuettion.. -3tx_k.No t - Cataoe No .� - '.'Globe. 710-]OOG: J'Sad .,"'„ ,y-ksiura Rellal, .'50-04-311 I110.50449 --South 51ze 11nd11 aRat bell ,J - St kN. tC3 aiR Nu Plot On! s_ 20200 -,Funalon Pressure SustalnlnR-79222-020 ':,.{ - till, 13453/4NGraMAve.Santa AraC 92701 PRV-3 Main Valve Type Made) Simlindil Functions Stock No. IaC� Main Unit Hytral 1000 8 Pressure Relief 5004.35H 8.50 11 East Valve Six, [Inch l Sorine Rine loss Funestiors Lek No. a al No. Pgot One 1/2 20-200 Pressure Sustaining 79222-0C2 CRL Main Valve Tvoe M2el firc l 'Fs4!9p,- Stock No. Catalog No. Mein Unit — 'Globe _ .Site -IOOG 12. Pressure Relief' '5004351) A2.50.048 West Valve Slrell,chl farina Rate troll Slack No $atdlin, No, Peat One - 2/2 , 20-200 ,Function Preswre Sustaining 79221-020. CRL, 1662 E 4th St. Santa PRV-4 Main Valve Tne Model Sloe linchl Function Stock No. Calalm No Main Unit Globe IOOG 10 Pressure Relief 50.04-36F 10650-048 North Valve Site i cis SeinE Rate troll Function Stock Nm catalog No, Pilot One 112 20-200 Pressure Sustaining 79222-02 CRL Main Val"Tvoe .Model '.51,efinn1 Funttlon 'StackC o. a No Main Unit .'-Hytml "f00G .'8 ,'•f .Procure Relief 504w3sm '8.50048 West Valor - Site Onchl spring Rate fmll - jjllgj n 'Stock Nn. catalog No Pile 0. 1/2 .20,100 Premium Sustaining 79122-020 CRL 25E-52 Appendix A 2325 N Missal 5, Santa Ana, CA 92706 SA-1 Main Unit Mal,Wlve Type mde She Vochl Fundlon Stack No, Catalog. No. BYPaff Globe 12 Bypass PAS64 12.90 Pilaf One She i rh $orin¢ Rate IoR1 Function Stork No catalog NO Pressure5ustalaing Main Unit Main Valve Tvoe "" �]QQtj'"'''- SLLE1lnchl_i"._ Function' - Stock No. ; gal o. ' cressure . � Globe t 36" _ _ Pleasure Reducing 00 91-1747F y 16-9"MB , Reduang ' PBat - Oise .I c '-'Serino Bate fosll _ :- r, -� vn Srork Noi _�t'Catalaiflo, 3J8, - 30-300 ,^ PressureReducing g y.' 7194}04H ., . CRD, . 5E Corrsar8ditol St & First St, Santa Are CA 92702 SA-2 Main Unit Main Vale Tvoe Model SIsefirch Funcl swckNo.Otalw No. Globe 12 W9564 96 Bypass Plot One Site OnChl Spring Bate fpsll Function Stott No atal N 1/2 Pressure Sustaining NOT" Size inch Sering Bile fosil nttion Stott No. CROWN., 1/2 Fl wOontrol Main Unit I Maln Vale Tvae, Globe Bypass I Piat One Pilal Two I 112 1299 N TWO Ave. Santa Ana. CA 91707 SA-3 Model Sit, fin 10 unci n Stark Na. Catalog No. 30731 1091 Mate Operator CPA SA-4 Main Unit Main Valye Tvae Model Six I'm chI Function Stock No, prolog Ne. Globe 10 W356.2 12.90 Bypass Pitt One Size f(nehl Witt Rate losll Furution Stack No Catalog No, 30.300 829130H CBDIDA Pilot Two Sire finch Serino Rate fool Puuetlon SIM%No. Catalog No 3/3 348ST COHS2 25E-53 Appendix A 21DI N Tustin Ave, Santa Ana, CA 92705 SA-6 Main Unit Maln Valve Tree Model siaen"<nl Foncifut SlackNo. C. Ballet' 26 North Valve Pilot One Silefinchl SarinvRatelosll ucia StorkN as n 3/8 303t0 Pressure SmIalrini, M230H CROIOA Pilot Two Size Inch% WIFIR Rate rmd Function Stack No. Catalne No. 3/8 Flow[ontral 7683002F COHSIIA Main Unit Main Valve Tvoa Model $he (inch l Functon Stock Na. Sp1iPx No. Globe ING 10 23316010 649-OIABOXCE Middle V.W Pilot One Site finch l Spring Rate lBSB Function Stock No. Catalog No. 3/8 30.300 Pressure Sustalnin3 79744US CRA PlolTwe Site linchl Sprint Rate lmll FQr Vlo Stock No. C.W.RN. 3/8 Flowcontrol 7693002F CDHSIIA Maln Vahe Teve 1gQi se rich Wolan SLeck No, catalog No. Main Unit Hylrol loco 6 233150010 W9-0IABOBCE 5outh Wee Pilot One Sirelinchl Spring Rate%mil Funclien Stack No. Coal e 3/8 3030U FressmaSustuning 797440911 CRA Hot Two Site (inch Wism Rate los0 Fuft,ti.n No. Waimea. 318 FlowControl 7683002E CDHSIIA Main Unit Main Valve hoe Model Sltelinchl Function Stock N. Catalog No. Hytrol IOGG B Reflel Pressure 5OD1.1010 8-5O018 Pressure Re0el Pilot One Site linchl Sprint Rate lesR Nruslan Stack No. a alp I/2 2ch200 Pressure Baflel 79222-02C CRL Pilot rem Size ir Spring Ratelosil Fundion Ttx4 No. aaloN 3/8 Flow Control 7683002E COH511A 2225 Ritchey St.. Santa Ana CA 92705 SA-7 Maln Urtil Maln Valve Trpa Model Site linchl Function Stock No, rota 1pe No, 5 10 2331WIB 0-49-01ABORCE Valve One Pilot One Site finch% Serino Rate lmll Function Stack No. Caraintio 3/8 2683021 CDNSIIA Pilot Two SIzillinthl Serino Rate fall Funnim Stock No, aC take No, 3/e 30-300 7974404111 CRA Main Unit Maln Valet Tvoe h1ldel She 0nchl Nncrim Stuk N. Catalog No 10 2331701X 649-0IMOKCE Middle Valve PHOTO" Sire linchl Sarina Rate toll) Functlen Stock No catalog No, 3/8 7683002F CONSIIA Pilot Two Slae linchl Sodne. Rate (oil] Function Stpd No. Catalog o 3/8 31P300 797440B CRA Mal. Unit Main Valve Ty u d3I Size tlmhl FunittlersStork N. Catalog No, Vahe IL 5 8 50-01-202D B SD018 Pilot One Site linchl Sadnv Rate losll e, Mark tat 1/2 ID200 Pressus0er Relkl 79223-01[ CRl 25E-54 Appendix A 2735 N Cambridge St. Santa Ana, CA 90701 Cambridge Station Main Unit Main Valve Tvae I I Model Sae firehl Function Stock No. Catalog N Bypass Hytral ING 8 Pressure Relief 58-01-272E 8-59-018 Pilot One 3M Spring Rate Function StockN Cataloe No. 1/2 20-200psi Pressure Relief 79222.02C UL 17305. Sawn, Fe, Santa Ana, CA 92705 East Station Main Unit I Maln Valve Tvoe I Model Re Function stock No Cataloe No, Pressure Relief Globe 30 in Presura Relief 73064.06 SOK Pilot One l[ tun h Spring Rate function Stock No, Catalog No. Pressure Relief Main Unk Main ValveTyne— '::Model' `. `' Size Function •Stock .' Catalog No. Pressure Retie! ••i%tml' 14 in 72862-06' 1206-3A4ARC Pilot One i h " R • (W019B� �- moo. ' atal No ' - 3/8:': 30.130 psi '. I.. - [9330 -. ,• .2RA .;. 2431 N Bristol St, Santa An; CA 92706 Garthe Station Main Unit Main Valve Tina, Model 211 _Function Stock No, Catalog No. Globe 221n Bypass 210-13.37C 12-210-130N Bypass Pilot One She Vnchl Spring Pate Function _ _ Stock No, Catalan No.. 1/2 20.200 psi Pressure Sustaining 79222-02C CRL Pdot Two ire (Inchl springRate Function Stock No. Catalog No. 540 psi level Control 204380U COSS - Main Unit' _Main Valve Trre - 'Model i,5�n Function toc 0 �' Cataloe No Pressure Retie/ 'Globe 12 in Pressure Relief 50-01-I1196 125o 01B PBat One •,rim Sarin Rate - ,Function Stock No. CatalmNo. 1/2 20-200 psi , Pressure Relief 79222-02C' -", CRL 730 E Memory Ln, Santa Ana, CA 92706 Crooke Station In Unit Main Valve Tore I Model EM Function Stock N., CatalogNo. Bypass Nytrol ION Bin Bypass 5"1-272E 8-58-018 Pilot One Size Inch In at Function Stock No. Catalog No. 1/2 26200 psi Pressure Relief 79222.02C CRL 1727 W Alton Ave. Santa Ana. CA 92705 South Station Main Unit Main Valve Type Model Side Function Stock No. CatalmNo. Globe 14In Bypass 62199 2063A-IRX North Bypass Pilot One 1[ I h Rate Function t k No Catalog No. 3/4 65.180psi Pressure Sustslning C9294 CRLS Pilot Two Site finchl SpringRate Function t No, Catalog No. 3/8 30.130psl C9320 CRA Main Unit Meln Vaiye Tyre Model..- Y j,Ilq "sIunctknn SteehNo. :ClUllo No- • 141n • Bypass ' U199 , ' 206,3A-IRK South Bypass - Pilot One . ' I i I n Rat - s- le Function . Stock o M N .. Catalog No. .3/4 65.180psi Piessure5ustaining C9294. CRLS Pilot Tura - ,•SQ nth Rate unction —' tack No Cato No. . . 3/8.. •. 30.130 psi p `�[9320 , „ JCRA Main Unit Main Valve Twe Model 5111 Function Simi,No Cataloe No. Presurt Reliel Globe 10m Pressure Relief 455SS 10.6.50.K5 pllot One Site finch] Wine RateFunction Stock No boo o. 3/4 65-190psl Pressure Relief C9294 CRLS 25E-55 Appendix A 723 W Walnut St. Santa Ana. CA 92701 Walnut Station Main Valve Toe Model Em Nncimp Stock No Catalog Nn. Main Unit Globe Bin Bypass C-8028 8.100 Bypass e 1 chl SPI!nR RateControl Settings Functl.n Stock No, Calalae No. Pilot Onc in 20.20D psi 73 psi Pressure Relief 79222.02 CRL 25E-56 Appendix A Well 28 Main Unit Main Valve Twe I Madel Em function Stock NoCata o. I Globe 61n Blow08 TV•4940 Blow Off Pool One I e inch Spline Rot Function Stock No. Walog No. 1/2 50-150 psi Pmwre Relief C92B8 Oil 1717 W alten aw_ Unea dna. CA 917na Well 34 Main Unit Main Valve Twe Model $ILL function Slotk No, Catalae Na. Blow Off Angle 61. Blow Off 50-01411108 6-50-0IB plbt One Size jpljpill.t F,.cft Stock No. CR.I.RNo, 112 2D.200 psi Pressute Relief B222-02C CRL Well 35 Main Unit Main VeHe Tvoe Model &IR Function Stock No, Calm" No. I Angle 21ODG Is Blau'Off 5 1.1414C 8.50-018 Blow ON Pilot One Site finch Sorine Rate Function Stock No. CMIOR N . 2/2 2D 20D pN Pressure Relief 79222-02C CRL 1M7 W M[PAtdrn. Sann A CA e77M Well 37 Main Unit Main Valve Tme Model P.SE FunctionStock No. C7 alo o Obw Off An81e 21000 81n Sim ON SM1D1-1414C 8•S0018 Hot One Ize (Inthl SpengPat FuMdIon Stock No. Catalog No. 112 20200 Psi Pressure Relief 79222-02C CAL Well 38 Main Unit Main Valle Twe Model its Function Stock No Ca al No. Angle 21DOG Bin Blow OR SMI.14140 50L111 Pilot One Size(IA_ahl Ser'ng Rate Function Stock No. iplal"No, 3/2 20.200 psi Pressure Rebel 79222.02C CAL 25E-57 CITY OF SANTA ANA EXHIBIT B RFP NO.: 18-052 FLOW CONTROL VALVE MAINTENANCE PROGRAM FEE SCHEDULE The undersigned declares that he/she has carefully examined the request for proposal, that he/she has examined the Proposed Scope of Services, and hereby proposes to furnish all material and do all the work required to complete the said work in accordance with said Proposed Scope of Services, for the unit price(s) set forth in the following schedule: Note: This contract Is subject to prevailing wages. TO: CITY COUNCIL OF THE CITY OF SANTA ANA FROM: C/rl - Va Item # Bid Item Unit Ouantity Unit Amount 1 Labor 1 Man Prevailing Wage HR 164 4Priice g�0 / $ 25,256, 010 2 Labor 2 Men Prevailing Wage HR 164 gZg9. o^ g y7396 . °0- 3 Travel Per Day EA 20 gZ�'- S5. 560. 0a Model 90-01 4 Repair 6" Pressure Control Valve EA 5 sZ9 S 1rV-, p0 5. Repair 8" Pressure Control Valve EA 10 g 290. � 00 $71900. 6. Repair 10" Pressure Control Valve EA 10 U 00 $ -1 �%� y 9 Oo 3 7. J�� 7. Repair 12" Pressure Control Valve EA 5 00 s L9q o $2 7 , 00 8. Repair 14" Pressure Control Valve EA 2 p S7 13� OD $ f 9. Repair 16- Pressure Control Valve EA 2 00 $, $ 1, 90r 00 Complete New 8" Model 90-01 1501b Flanged/Epoxy Coated, Stainless Steel Trim, Complete Stainless Steel Pilot EA 5 'n 7 520. o� $ Lv 37 boa, 0 0 $ to '— to. System. Opening & Closing Speed Controls. r Up Stream & Downstream Pressure Gauges, X101 Valve Position Indicator Complete New 10" Model 90-01 15011b Flange&Epoxy Coated, Stainless Steel 11. Trim. Complete Stainless Steel Pilot System, Opening & Closing Speed Controls. EA 10 SL0v 0c1% p4 $ DO 971) -- Up Stream & Downstream Pressure Gauges, X101 Valve Position Indicator 12 Discount off list price on unforeseen q, N/A 30y replacement parts Total $ %/ 00 25E-58 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 2, 2019 TITLE: APPROVE AGREEMENT WITH LANDSCAPE WEST MANAGEMENT SERVICES, INC., FOR RIGHT-OF-WAY AND MEDIAN LANDSCAPE MAINTENANCE SERVICES IN AN AMOUNT NOT TO EXCEED $770,000 {STRATEGIC PLAN NO. 6, 1C} 7'-- - CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute an agreement with Landscape West Management Services, Inc., for Right -of -Way and Median Landscape Maintenance Services, for the two-year period beginning July 2, 2019, and expiring on June 30, 2021, with a provision for two, two- year renewal options exercisable by the City Manager and City Attorney, in an amount of $700,000 with a 10% contingency of $70,000 for a total amount not to exceed $770,000, subject to non - substantive changes approved by the City Manager and City Attorney. The agreement will be paid with Special Gas Tax Funds. DISCUSSION The Public Works Agency Maintenance Services Division is responsible for the maintenance of right- of-way and landscape maintenance of all the street medians, linear parks, neighborhood entry areas and arterial sidewalk areas citywide. The services include, but are not limited to, mowing, weed mitigation and removal, trash removal and disposal, and irrigation system maintenance. On May 2, 2019, the Public Works Agency issued a Request for Proposal (RFP) for qualified firms to provide right-of-way and median landscape maintenance service for the Maintenance Services Division. The Notice Inviting Bids was advertised on May 2, 2019, on the City's online bid management and publication system, with the bids due on May 30, 2019. A summary of the bid invitation and bids received is as follows: 33 Vendors were notified 1 Santa Ana vendor was notified 25 Vendors downloaded the bid packet 6 Bids received 1 Bid received from Santa Ana vendor 25F-1 Agreement with Landscape West Management Services, Inc. July 2, 2019 Page 2 A team comprised of representatives from various City divisions, including representatives from the Public Works Maintenance Services Division, Public Works Water Resources Division, and the Parks, Recreation and Community Services Agency, evaluated the six proposals received. The criteria used in the evaluation included phasing approach, equipment, employee training program, ability to meet performance on schedule, company experience and reputation, and competiveness of the fees. One of the six proposals was unable to meet the Scope of Work required in the Request for Proposal and was determined unresponsive, and was not considered in the final evaluation process. The table below summarizes the results of the five proposals with the maximum rating score of 400 points: TOTAL RATING FEE RANK PROPOSER SCORE PROPOSAL 1 Landscape West Management Services, 336 $700,000 Inc. Anaheim 2 Master Landscape & Maintenance, Inc. 334 $900,000 (Westminster) 3 Swa ser Landscapes Carson 309 $677,782 4 GreenTech Landscape Inc. Whittier 272.5 $698,000 5 Quality Sprayers, Inc. Anaheim 258 $649,600 The evaluation committee determined that Landscape West Management Services, Inc., was the top proposer and received the highest overall rating due to a top-quality proposal presentation, maintenance implementation plan, emphasis on customer service, fee competitiveness, and overall responsiveness to the RFP. Landscape West Management Services, Inc., has provided right-of- way and median landscape services for over six years, and services several surrounding cities, including the Cities of Mission Viejo, Laguna Niguel, and La Puente. They have committed to concentrating their hiring efforts in Santa Ana first, and will to utilize Santa Ana vendors for purchasing equipment and materials when feasible. Based on the information provided in the proposal and phone interview, it has been determined that Landscape West Management Services, Inc., will provide the best quality service at the minimum cost to the City. Once it was determined that Landscape West was the best proposer, staff entered into negotiations and they reduced their proposal by $9,500, which is 1.5% less. Staff conducted a reference check and other cities confirmed that Landscape West has met their performance goals. Staff has included quality control measures into the scope of service to ensure service compliance. The contractor is also committed to assisting the City in remediating the impacts associated with homelessness in Santa Ana by removing associated debris and rubbish within the right-of-way throughout our community. The contractor will also be able to provide additional sustainable landscape services including installation of synthetic turf in medians, as funding becomes available. Therefore, it is recommended that City Council approve the recommended action. The recommended action includes a ten percent contingency of $70,000 for the cost of extraordinary maintenance due to unforeseen vehicle accidents and vandalism to maintenance equipment, median backflows, and other similar devices. 25F-2 Agreement with Landscape West Management Services, Inc. July 2, 2019 Page 3 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 — Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy C (invest resources and technology to extend the service life of existing infrastructure to protect the City's investment and support a high quality of life standard). ENVIRONMENTAL IMPACTS There is no environmental impact associated with this action. FISCAL IMPACT Funds are budgeted for expenditure in Public Works Agency, Special Gas Tax Median Landscaping account (No. 02917635-62320) and will be budgeted in subsequent fiscal years. Funds will be spent according to the spending plan below: Fiscal Year Accounting Unit- Fund Description Accounting Unit, Amount Account Number Account Description AGREEMENT 2-YEAR TERM FYI 9-20 02917635-62320 Special Gas Tax Median Landscaping, $770,000 Maintenance & Repair Buildings & Grounds FY20-21 02917635-62320 Special Gas Tax Median Landscaping, $770,000 Maintenance & Repair Buildings & Grounds OPTIONAL EXTENSIONS FY21-22 02917635-62320 Special Gas Tax Median Landscaping, $770,000 Maintenance & Repair Buildings & Grounds FY22-23 02917635-62320 Special Gas Tax Median Landscaping, $770,600 Maintenance & Repair Buildings & Grounds FY23-24 02917635-62320 Special Gas Tax Median Landscaping, $770,000 Maintenance & Repair Buildings & Grounds FY24-25 02917635-62320 Special Gas Tax Median Landscaping, $770,000 Maintenance & Repair Buildings & Grounds TOTAL $4,620,000 25F-3 Agreement with Landscape West Management Services, Inc. July 2, 2019 Page 4 Fuad S. S Executive Public We vl� 5s, PE, PLS actor Agency FSS/PG/DM Exhibit 1: Agreement APPROVED AS TO FUNDS AND ACCOUNTS: Kathryn Downs, CPA Executive Director Finance & Management Services Agency 25F-4 EXHIBIT 1 AGREEMENT TO PROVIDE RIGHT OF WAY AND MEDIAN LANDSCAPE MAINTENANCE SERVICES THIS AGREEMENT is made and entered into this 2nd day of July, 2019 by and between Landscape West Management Services, Inc. ("Contractor"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"). RECITALS A. On May 2, 2019, the City issued Request for Proposal No. 19-016, by which it sought a contractor to provide right-of-way and median landscape maintenance services for the Maintenance Services Division of the City's Public Works Agency. B. Contractor submitted a responsive proposal that was selected by the City. Contractor represents that it is able and willing to provide the services described in the scope of work that was included in RFP No.19-016 and addendum thereto. C. In undertaking the performance of this Agreement, Contractor represents that it is knowledgeable in its field and that any services performed by Contractor under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional contracting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. - SCOPE OF SERVICES Contractor shall perform the services that were described in the scope of work that was included in RFP No.19-016 and addendum thereto, and that is attached as Exhibit A. Contractor's proposal is incorporated in full by reference herein. 2. COMPENSATION a. City agrees to pay, and Contractor agrees to accept as total payment for its services under this Agreement, the rates and charges identified in Exhibit B. The total annual sum to be expended under the term of this Agreement, including any extension periods, shall not exceed $770,000. This sum is comprised of (1) the base amount of $700,000 and (2) a 10% contingency in the amount of $70,000 for additional services at the City's sole discretion. b. Payment by City shall be made within forty-five (45) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals and Scope of Work, which may reasonably be expected by City. Page 1 of 8 25F-5 3. TERM This Agreement shall commence on the date first written above and terminate on June 30, 2021, unless terminated earlier in accordance with Section 17, below. The term of this Agreement may be extended for two 2-year periods upon a writing executed by the City Manager and City Attorney. 4. PREVAILING WAGES Contractor is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, et seq., ("Prevailing Wage Laws"), which require the payment of prevailing wage rates and the performance of other requirements on "public works" and "maintenance" projects. If the services being performed are part of an applicable "public works" or `4naintenance" project, as defined by the Prevailing Wage Laws, and the total compensation is $1,000 or more, Contractor agrees to fully comply with such Prevailing Wage Laws. Contractor shall defend, indemnify and hold the City, its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws. 5. INDEPENDENT CONTRACTOR Contractor shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Contractor performs the services which are the subject matter of this Agreement; however, the services to be provided by Contractor shall be provided in a manner consistent with all applicable standards and regulations governing such services. Contractor shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. OWNERSHIP OF MATERIALS This Agreement creates a non-exclusive and perpetual license for City to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other intellectual property embodied in plans, specifications, studies, drawings, estimates, and other documents or works of authorship fixed in any tangible medium of expression, including but not limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes, which are prepared or caused to be prepared by Contractor under this Agreement ("Documents & Data"). Contractor shall require all subcontractors to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subcontractor prepares under this Agreement. Contractor represents and warrants that Contractor has the legal right to license any and all Documents & Data. Contractor makes no such representation and warranty in regard to Documents & Data which were provided to Contractor by the City. City shall not be limited in any way in its use of the Documents and Data at any time, provided that any such use not within the purposes intended by this Agreement shall be at City's sole risk. Page 2 of 8 25F-6 7. INSURANCE Prior to undertaking performance of work under this Agreement, Contractor shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Contractor shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Contractor's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the California Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self-insurance. • Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. If Contractor is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by Contractor pursuant to this section: (i) Contractor shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be famished to the City upon execution of this Agreement and shall be approved by the City. (iii) Certificates and policies shall state that the policies shall not be cancelled or reduced in coverage or changed in any other material aspect, by Contractor, without thirty (30) days prior written notice to the City. (iv) Contractor shall supply City with a fully executed additional insured endorsement. Page 3 of 8 25F-7 f. If Contractor fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Contractor's right to be paid for its time and materials expended prior to notification of termination. Contractor waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 8. I11'DENINMCATION Contractor agrees to defend, and shall indemnify and hold harmless fire City, its officers, agents, employees, contractors, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent operations of the Contractor or its subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in section 1 of this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. The Contractor further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Notwithstanding the foregoing, to the extent Contractor's services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent required by Civil Code Section 2782.8, to claims that arise of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Contractor. 9. INTELLECTUAL PROPERTY INDEMNIFICATION Contractor shall defend, indemnify and hold harmless the City, its officers, agents, representatives, and employees against any and all liability, including costs, and attorney's fees, for infringement of any United States' letters patent, trademark, or copyright contained in the work product or documents provided by Contractor to the City pursuant to this Agreement. 10. RECORDS Contractor shall keep records and invoices in connection with the work to be performed under this Agreement. Contractor shall maintain complete and accurate records with respect to the costs incurred under this Agreement and any services, expenditures, and disbursements charged to the City for a minimum period of three (3) years, or for any longer period required by Page 4 of 8 25F-8 law, from the date of final payment to Contractor under this Agreement. All such records and invoices shall be clearly identifiable. Contractor shall allow a representative of the City to examine, audit, and make transcripts or copies of such records and any other documents created pursuant to this Agreement during regular business hours. Contractor shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement for a period of three (3) years from the date of final payment to Contractor under this Agreement. 11. CONFIDENTIALITY If Contractor receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Contractor agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually; electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Contractor disclosed in a publicly available source; (c) is in rightful possession of the Contractor without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Contractor without reference to information disclosed by the City. 12. CONFLICT OF INTEREST CLAUSE Contractor covenants that it presently has no interest and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 13. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by fast class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Executive Director Public Works Agency City of Santa Ana Page 5 of 8 25F-9 20 Civic Center Plaza (M-21) P.O. Box 1988 Santa Ana, CA 92702 To Contractor: Landscape West Management Services, Inc. 1234 North Blue Gum Street Anaheim, CA 92806 Attn: Michael Garibay, President A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by fax, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these timeframes, weekends, federal, state, County or City holidays shall be excluded. 14. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Contractor regarding the subject matter herein, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Contractor. The parties agree that any terms or conditions of anypurchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Contractor or the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 15. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Contractor, Contractor may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other Contractors retained by City. 16. WAIVER No waiver of breach, failure of any condition, or any right or remedy contained in or granted by the provisions of this Agreement shall be effective unless it is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or remedy, whether or not Page 6 of 8 25F-10 similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. 17, TERMWATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. in such event, Contractor shall be entitled to receive and the City shall pay Contractor compensation for all services performed by Contractor prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Contractor to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Contractor consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 18. NON-DISCRUMNATION Contractor shall not discriminate because ofrace, color, creed, relation, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities or in connection with any activities under this Agreement. Contractor affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 19. JURISDICTION -VENUE This Agreement has been executed and delivered in the State of California and the validity, interprctation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that orange County, California, shall be the venue for any action or proceeding that maybe brought or arise out of, in connection with or by reason of this Agreement. 20. PROFESSIONAL LICENSES Contractor shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Contractor shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. Page 7 of 8 25F-11 21. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. rN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: Norma Mitre Acting Clerk of the Council APPROVED AS TO FORM SONIA R. CARVALHO City Attorney By: / J6fn M. Funk Assistant City Attorney RECOMMENDED FOR APPROVAL Fuad S. Sweiss, PE, PLS Executive Director Public Works Agency CITY OF SANTA ANA Kristine Ridge City Manager CONTRACTOR Name: fxn' mj Title: Nye dLo'i' Page 8 of 8 25F-12 EXHIBIT A SCOPE OF WORK GENERAL REQUIREMENTS 1. Licenses and Permits The Contractor shall, prior to award of contract and without additional expenses to the City, possess all licenses and permits required for the performance of the work required by this contract, including but not limited to State License C-27 and a City of Santa Ana Business License. 2 Compliance with Applicable Laws and Regulations a. Contractor shall perform all requirements under and in strict observance of and compliance with all applicable laws, regulations, ordinances, codes and any other legislative or statutory requirements. b. Contractor warrants that the performance of services under this contract shall be compliant with the current requirements of the Occupational Safety and Health Act (OSHA) and as it may be amended or updated throughout the term of this contract. a Note that all locations and quantities are subject to change at any time in order to respond to unforeseen situations that may arise. City will provide Contractor with as much advance notice as reasonably possible to allow Contractor to adjust schedules and workforces accordingly. 4. Oversee workforces to ensure that work is being performed with all due diligence, quickly, and thoroughly and for all the designated work area. 5. Perform scheduled and random checks with Project Manager or designee to ensure that all work is being performed satisfactorily. 6. Provide courteous interaction, direction, information, and referrals to all visitors, property owners, Police Officers, other City employees, or related agencies. 7. Minimum Service Levels a. Provide the required number of laborers, technicians, supervisors, and workers as specified below and throughout these specifications. The City has determined these are the required staffing levels necessary to accomplish all of the work requirements within the allotted hours as indicated In the specifications. b. Contractor shall provide three (3) crews each day (Monday — Friday) for scheduled work (Weed 'Abatement Crew and Alley Crew). Contractor shall provide one 25F-13 Irrigation Technician as well as one additional crew for as -needed cleaning and clearing services as requested. a Note that from time -to -time and site -to -site more workers will be needed and Contractor must provide additional workers at the rates stated in the eStd Line Items for services requested by the Protect Manager or his/her desionee. 8 DIR Registration This project is a public work and subject to the following: No contractor or subcontractor may be listed on a bid proposal for a public works project (submitted on or after March 1, 2015) unless registered with the Department of Industrial Relations pursuant to Labor Code section 1725.5 [with limited exceptions from this requirement for bid purposes only under Labor Code section 1771.1(a)]. No contractor or subcontractor may be awarded a contract for public work on a public works project (awarded on or after April 1, 2015) unless registered with the Department of Industrial Relations pursuant to Labor Code section 1725.5. This project is subject to compliance monitoring and enforcement by the Department of Industrial Relations. Contractors are further cautioned that certified payrolls shall be submitted electronically directly to the Department of Industrial Relations. 9. Prevailing Wage The Director of the Department of Industrial Relations of the State of California has ascertained the prevailing rate of per diem wages in dollars, based on a working day of eight hours, for each craft or type of worker or mechanic needed to execute any construction or maintenance contract, which maybe awarded by Public Works. The current prevailing wage rates as adopted by the Director of the Department of Industrial Relations are incorporated herein by reference and may be accessed at hftp.,//www.dir.ca.gov/ (General Prevailing Wage determination made by the Director of Industrial Relations / Pursuant to Cal'rfomia Labor Code Part 7, Chapter 1, Article 2, Section 1770, 1773 and 1773.1). The Contractor is required to pay the prevailing wage rate referred to above and Is responsible for selecting the craft/classification of workers which will be required to perform this service in accordance with the Contractor's method of performing the work. Pursuant to Section 1775 of the Labor Code (State of California) Contractor shall forfeit $50 for each calendar day, or portion thereof, for each worker paid less than the stipulated prevailing wage rates for any public work done under this Contract or by any subcontractor. 10. Prevailing Wage Compliance and Monitoring Contractor is aware of the requirements of the Califomia Labor Code Section 1720, et seq., and 1770, et seq., as well as California Code of Regulations, Title 8, Section 16000, at seq., ("Prevailing Wage Laws"), which require the payment of prevailing wage rates and the performance of other requirement on "public works" and "maintenance" projects. Sincethe services are being performed as part of an applicable "public works" or "maintenance" project, as defined by Prevailing Wage Laws and since the total compensations is #1,000 or more, Contractor agrees to fully comply with such Prevailing Wage Laws. City shall 25F-14 provide contractor with a copy of the prevailing rates of per diem wages in effect at the commencement of this Agreement/Contact Contact shall make copies of the prevailing rates of per diem wages for each craft, classification or type of worker needed to execute the Services available to interested parties upon request, and shall post copies at the Contractor's principal place of business and at the job site. Contractor shall defend, indemnify and hold the City, Its elected officials, officers, employees and agents free and harmless from any claim or liability arising out of any failure or alleged failure to comply with the Prevailing Wage Laws. It. TRASH REMOVAL AND DISPOSAL: 1. Note the trash likely to be encountered during the course of cleaning includes but is not limited to litter, trash, bio-waste and hypodermic needles, plastic, and cardboard containers, plywood, used lumber, discarded furniture, and small appliances, toys and other household items. 2 Remove and dispose of items listed above according to all applicable laws, codes, and requirements. 3. Note that trash removal is incidental to weed removal by either crew. It Is included so that the areas looks clean after the weed removal work is completed. III. MEDIAN CREW 1. Provide 2 Crew sizes as follows: 3 person crew--1 Leadworker+2 Laborers 3 person crew-- 3 Laborers 2 Provide the crew daily. The assignments may change during the day to respond to urgent requests. Homeless camp debris removal may occur several times aweek. 3. Provide the necessary labor, materials and equipment to remove weeds from all medians, linear parks, sidewalk areas, planters and public lots. 4. Remove the trash encountered in areas immediately adjacent to weed clearing along with the weeds. a Remove by hand or mechanical means, all weeds from medians, sidewalk and street curb joint. 6. Maintain and clean the tree wells to enhance appearance and cleanliness of City parkway tree wells by removing weeds and litter. 7. Maintain median islands and remove weeds, sucker growth, debris and trash as directed per Scope of Work. a Remove all litter (trash, paper, cans, bottles, signs and other debris). 25F-15 9. Remove all unwanted natural or environmental materials, including, but not limited to bio-waste, hypodermic needles, dirt, silt, feces, soot, weeds. 10. Clean, cut, clear, and remove weeds and remove of light to medium amounts of trash by using hand-held equipment like weed eaters, rakes, brooms, and leaf blowers. Leave no piles, or residue with rake marks. Sidewalk surface shall be clean of leaves, litter, and dirt. 11. Crew must be self -directed and report directly to the main office of Contractor. 12 Crew must be "on -call" and carry a dedicated cell phone and be available during normal business hours on all workdays. 1a The Contractor shall collect all clippings, trimmings, cuttings, rubbish and debris, and posted signs at all work sites and dispose of same in a lawful manner per contract requirements at the Contractor's expense. 14. All trash and debris shall be removed from all worksites a minimum of one (1) time per week. 15. The Contractor shall rake, hand remove, or vacuum leaves that are not absorbed by planting. This shall be done as often as required to maintain a neat appearance, or prevent plants from being smothered by seasonal leaf drop at least weekly or as directed by Projects Manager or designee. 16. After heavy windstorms, the entire contract area shall be cleaned of litter, fallen branches, etc. Contractor shall respond to calls from Projects Manager or designee immediately. Contractor shall patrol all areas durino heavy windstorms for trees down, fallen branches, hanging branches, debris, and other potential hazards. 17. The Contractor shall keep sidewalks and all paved areas in the medians and under overpasses swept and cleaned of any debris, weeds, dirt or soil. Tree wells shall be maintained weed free. 1& Additional duties that may be required of the Median Crew may include the following: clear catch basins during winter rain and storms, fill sandbags, remove extra trash and debris generated by special events, remove litter and vegetation at City -owned parcels, remove homeless camp debris, and assist street sweepers in debris removal during weather events, ex. wind or rain, 19. All turf shall be mowed weekly with mulching mowers. Subject to the approval of the Projects Manager or designee, the contractor may reduce the mowing frequency to biweekly during periods of rain or prolonged cold. All grass clippings shall be left in place with the exception of large accumulations, which shall be collected and removed after each mowing. 20. All turf shall be cut to a height appropriate for the type of grass being mowed. Mowers shall be maintained in optimum condition with sharp blades to provide a smooth, even cut without tearing of the leaf blades. 21. All turf and hardscape areas shall be free of turf clippings, plant debris and trash at the end of the scheduled mow day. 22. All turf shall be edged with blade trimmer adjacent to all improved surfaces and, where no improved surface exists, turf edges shall be maintained as if the turf area abuts a shrub bed or property line. Edging and detailing shall be performed weekly. 25F-16 Following each edging, all edging debris shall be removed. 23. All turf growing adjacent to irrigation hardware, tree trunks, or any other landscape amenity shall be neatly detailed by string trimmer and/or chemicals to twelve (12) inches in all directions of said objects. If chemical detailing is performed, the Contractor shall use the string trimmer to remove the treated turf within one (1) week after symptoms of photo toxicity become recognizable. 24. Any damage, as determined by the Projects Manager or designee, caused to irrigation components, sprinklers, valves, etc., or plant material by edging equipment and/or mowers shall be replaced by the Contractor at Contractor's expense. 25, Lawns shall be fertilized four (4) times annualiywitha "complete fertilizer". Fertilizetwo (2) times per year during the months of December and February using 22-3-9 at the rate of five pounds (5 lbs.) per 1000 square feet or approved equivalent program. During the months of June and October fertilize with 16-6-6 at the rate of six pounds (6lbs.) per 1000 square feet four (4) times per year, or approved equivalent program. 26. Due to the broad geographical area of the contract, the City may from time to time adjust or change the fertilization specifications contained herein as a result of consultation with Contractor or recommendations of a horticultural soils and plant laboratory report for each site. All fertilization shall be included with the landscape maintenance of each contract area. Contractor shall supply and transport all required fertilizers and Include costs In the bid to the City. 27. Turf areas shall be deeply watered as required by weather conditions to provide adequate moisture for optimum growth. At no time shall turf areas be allowed to show a lack of fresh green color or a loss of resilience due to lack of water. 26. Wherever or at any time that an Irrigation system is damaged, fails or does not adequately cover the turf area in which it is installed, the Contractor shall furnish and set out hoses and sprinklers, or other portable means, as required to uniformly water the turf area. 29. Automatic Irrigation shall be conducted between the hours of 10:00 p.m. and 4:00 a.m. and shall be programmed to prevent excessive runoff, ponding or over watering. 30. Contractor shall respond immediately to signs of turf stress. Turf lost due to stress shall be deemed contractor negligence, as determined by the Projects Manager or designee, and replaced at Contractor's expense. 31. Contractor shall develop and maintain a program to ensure that all turf is maintained free of fungus, insect Infestations and/or turf diseases at all times. 32. Damaged and/or bare spots in turf shall be immediately repaired at the time of detection. 33. The tree guards shall be maintained in place around the trunk of each canopy tree at all times to eliminate tree damage by string trimmers, mowers, etc. Trees damaged by Contractor shall be immediately replaced at Contractor's expense. 34. Each year, all turf areas shall be over seeded with Eagle Blend or equivalent perennial rye grass at the minimum rate of seven (7) pounds per 1,000 square feet. Seed shall be uniformly broadcast, with care taken to not broadcast in non- turf area. Dethatching and/or deep scalping of the turf may be required as directed by the Projects Manager or designee. Seeds shall be guaranteed free of disease, pests, or other foreign grasses or weeds. 25F-17 35. The Contractor shall apply an approved pre -emergent herbicide to all turf areas a minimum of one (1) time per year and/or as directed by the Projects Manager or designee for control of all types of weeds. At no time shall weeds be allowed to remain In turf areas. 36. Contractor shall flag all irrigation sprinklers prior to commencement of work complete. 37. Damage because of rodent activity shall be repaired at Contractor's expense. 38. The Contractor shall be responsible for the complete removal and replacement of ground cover lost due to normal attrition or to Contractor's faulty maintenance or negligence, as determined by the Projects Manager or designee, at no additional cost to the City. 39. Where ground cover grows under pine trees, the Contractor shall use a combination of techniques (raking and blowing) to prevent the build-up of needles from forming on the ground cover. 40. Ground cover plants shall be added, as needed, to ensure a solid mass planting in conformance with the original Intent at no cost to the City. 41. Contractor shall remove dead shrubs and backfill to existing grade with imported soil as necessary to maintain a consistent finished grade. Sinkholes will not be acceptable as it represents a liability to the City. Replacements of shrubs will be approved by Projects Manager or designee. 42. Wall vines adjacent to and coming from City landscapes are a part of the maintenance of this contract. Wall vines shall be kept trimmed approximately four (4) inches from the wall and eight (8) Inches below the top of the wall. Where wall vines have been allowed to grow over the top of the wall, the Contractor shall keep wall vines trimmed down to the top of the wall. Wall vines may require trimming two or more times per month during the growing season. 43. Ali shrubs growing in the work areas shall be pruned as required, to maintain plants in a healthy growing condition and to maintain plant growth within reasonable bounds to prevent encroachment of passage ways, walks, streets, view of signs or in any manner deemed objectionable by the Projects Manager or designee. Dead or damaged limbs or branches shall be cleaned out and removed with sharp pruning tools with no projections or stubs remaining. Pruning shall be done in a manner to permit plants to grow naturally in accordance with their normal growth characteristics except box hedging may be required on some shrubs, as designated by the Projects Manager or designee. Shear hedging or severe pruning of plants, unless authorized by the Projects Manager or designee, shall not be permitted. Should the Contractor shear hedges or severely prune plants and disfigure or damage the plants, the contractor shall be responsible for replacing those plants with like kind and size as determined by the Projects Manager or designee. The Contractor may be requested from time to time to raise the bottom or lower the tops of the shrubs for security reasons. This shall be considered routine maintenance and performed at no extra cost to the City. 44. Shrubs shall be thinned and pruned, separated and/or relocated for the health of the planting and the appearance of the site, and at such other times when directed by the City. Infill planting of bare shrub areas shall be replanted In the months of March through June with plant material of the same species one time peryear as part of routine maintenance at no additional cost to the City. 25F-18 45. All shrubs shall be properly irrigated to maintain a healthy condition. Shrub areas shall be deeply watered as required by weather conditions to provide adequate moisture for optimum growth. At no time shrub areas shall be allowed to show a lack of fresh green color or a loss of resilience due to lack of water. 46. Wherever or at any time that an irrigation system Is damaged, fails or does not adequately cover the shrub area in which it is installed, the Contractor shall furnish and set out hoses and sprinklers, or other portable means, as required to uniformly water the shrub. 47. Contractor shall respond Immediately to signs of plant stress. Plant material lost due to stress shall be deemed Contractor negligence, as determined by the Projects Manager or designee, and replaced at Contractor's expense. 48. The Contractor shall be responsible for the complete removal and replacement of shrubs lost due to normal attrition or due to Contractor's faulty maintenance or negligence, as determined by the Projects Manager or designee, at no additional cost to the City. 49. All bare soil or open areas shall be either cultivated weekly or covered by a minimum of two (2) inches of mulch. All mulch material shall be of a recycled product free from foreign grasses and weeds and shall be approved by the City. At no time shall weeds be allowed to remain in bare or planted areas. 50. Shrubs shall be pruned as required to ensure clear vehicular and pedestrian visibility and clearance. Remove broken or diseased branches and provide general containment and good appearance. 51. Plant material encroaching onto or from City property shall be trimmed back to property line at City's discretion depending on circumstance, i.e. plants growing over fences and sidewalks from private property adjacent to contracted areas shall be trimmed back to the property line. 52. Prune shrubs to retain as much of the natural Informal appearance as possible, consistent with intended use, i.e. vines not growing into other plants, etc. Coordinate with Projects Manager or designee. 53.. Continuously remove any spent blossoms or dead flower stocks, as required, to present a neat, clean appearance. 54. Plants growing over curbing and/or sidewalks shall be maintained even with the edge of the sidewalk or curb and be trimmed on a natural taper rather than vertical, so as not to appear to be hedged. 55. Ailing or stunted shrubs shall be removed at time of discovery and replaced in kind within five (5) working days. Shrubs requiring additional nutrients to correct deficiencies shall receive such nutrients within three (3) working days of discovery. Contractor shall replace shrub failure that is determined to be due to Contractor's neglect or improper treatment at his expense. IV. RIGHT OF WAY CREW Provide a crew size as follows: . 3-person crew =1 Leadworker+2 Laborers 25F-19 2 Perform the work daily. a Provide the necessary labor, materials and equipment to remove weeds from all sidewalk areas, planters and public lots. 4. Remove all litter (trash, paper, cans, bottles, signs and otherdeblfs). 5. Remove all unwanted natural or environmental materials, including, but not limited to bio-waste, hypodermic needles, dirt, silt, feces, soot, weeds. 6. Clean, cut, clear, and remove weeds and remove of light to medium amounts of trash by using hand-held equipment like weed eaters, rakes, brooms, and leaf blowers. Leave no plies, or residue with rake marks. Sidewalk surface shall be clean of leaves, litter, and dirt. T Crew must be self -directed and report directly to the main office of Contractor. a Crew must be "on -call" and carry a dedicated cell phone and be available during normal business hours on all workdays. 9. Additional duties that may be required of the Right of Way Cew may include the following: clear catch basins during winter rain and storms, fill sandbags, remove extra trash and debris generated by special events, remove litter and vegetation at City -owned parcels, remove homeless camp debris, and assist street sweepers in debris removal during weather events, ex. wind or rain. 10. Note the trash likely to be encountered during the course of Right of WavCleaning includes but is not limited to litter, trash, bio-waste and hypodermic needles, plastic, and cardboard containers, plywood, used lumber, discarded furniture, and small appliances, toys and other household items. 11. Remove and dispose of items listed above according to all applicable laws, codes, and requirements. 12 Note that trash removal is incidental to weed removal by either crew. It is included so that the areas look clean after the weed removal work is completed. 18 The Contractor shall collect all clippings, trimmings, cuttings, rubbish and debris, and posted signs at all work sites and dispose of same in a lawful manner per contract requirements at the Contractor's expense. 14. All trash and debris shall be removed from all worksites a minimum of one (1) time per week. 15. The Contractor shall rake, hand remove, or vacuum leaves that are not absorbed by planting. This shall be done as often as required to maintain a neat appearance, or prevent plants from being smothered by seasonal leaf drop at least weekly or as directed by Projects Manager or designee. 25F-20 16. After heavy windstorms, the entire contract area shall be cleaned of litter, fallen branches, etc. Contractor shall respond to calls from Projects Manager or designee immediately. Contractor shall patrol all areas during heavy windstorms for trees down, fallen branches, hanging branches, debris, and other potential hazards. 17. The Contractor shall keep sidewalks and all paved areas in the medians and under overpasses swept and cleaned of any debris, weeds, dirt or soil. Tree wells shall be maintained weed free. V. IRRIGATION TECHNICIAN 1. The Imgation Technician shall physically inspect (by manual or semi -automatically running.the Controller) the operation of all systems weekly. The Irrigation Technician shall maintain all sprinkler systems in such a way as to guarantee proper coverage and full working capability, and make whatever adjustments are necessary, including but not limited to, adjustment of heads or inserts, or replacing of Inserts, etc., to prevent excessive over spray/runoff into street right-of-ways or other areas not Intended to receive Irrigation over spray/runoff. (Exhibit 1) VI. OPTIONAL AS -NEEDED CLEANING AND CLEARING Crew Size: varies depending on need; City estimates, but does not guarantee or imply 1,000 hours per year for City -requested optional as -needed services. A. These as Needed Cleaning and Clearing Services will be compensated at the regular hourly rate on the appropriate Price List item. B. City will Issue a work order request for such work to be performed. C. These services include, but are not limited to: ■ Remove silt, weeds, and debris in Orphan Parkway locations ■ Maintain and clean the tree wells to enhance appearance and cleanliness of City parkway tree wells by removing weeds and litter, and installing City -provided wood chips and mulch. ■ Clear catch basins during winter rain and storms. • Fill sandbags. ■ Remove extra trash and debris generated by special events. ■ Remove litter and vegetation at City -owned parcels. ■ Removal of homeless camp debris and rubbish. 25F-21 Maintain median islands and remove weeds, debris and trash as directed. ■ Assist street sweepers in debris removal during weather events, ex, wind or rain. VII. OTHER PROVISIONS/ REQUIREMENTS —nonspecific A. Contractor Data Entry for Maintenance Work a. The City uses a computerized assettwork order system (Cityworks) and APP (mySantaAna) to record all work performed against City owned assets. b. The Contractor will be required to utilize the City's computerized system (Cityworks & mySantaAna) to record ALL maintenance work performed for this contract. c. The City will provide training and instruction to the Contractor on the use of the Cityworks and mySentaAna system and APP. d. The Contractor will be required to obtain a cellularM/i-Fi enabled Apple branded tablet (iPad) for each crew, to perform the required data entry in the field. The Contractor will be solely responsible for maintaining the device in working order to complete the required data entry for the City. e. The Contractor will be required to obtain a cellular Internet data plan cost using one of the following carriers (AT&T wireless, Verizon, T-Mobile or Sprint). 2. Maintenance Function Checklist and Reports a. Daily Attendance Sign in Sheet: Provided by the Contractor on a daily basis by 7:30 am, including the signatures of each laborer and crew assignment, date, and hours to be worked. Contractor shall update the hours worked if any laborer leaves early. b. Daily Work Report: Prepared by Contractor on a daily basis and specifies the work performed; date performed; and labor, materials and supplies used, and amount of trash and debris collected (measurement method to be agreed upon). c. Weekly Report I. Due: Monday of every week B. Contents: Ensure that the report contains all the required and approved content, which may include, but not limited to: M. Description of work completed iv. Materials used v Defects found N. Results of patrol/observation and inspections 25F-22 vu. Description of the actual inspection, observation, repair and/or maintenance of landscaping, signage, lighting, streetscape, and graffiti vE. Observations of safety issues, potential hazards, public nuisances, and minutes (notes) from any other City -required meeting (e.g. maintenance project meetings, field reviews, etc.) d. Report Guidelines: I. Submit records in the time required, In the method required, and on the forms required. 6. Include any pertinent information or backup documentation with your reports. 01. Submit all reports prior to submission of the monthly invoice; otherwise payment will be withheld. iv. Provide an equipment time report using a form provided indicating the hours worked each day of the pay period. v. Monthly payment will not be made until reports are received by City. e. Documentation t Digital Photo Sampler Report a. Take a series of before -and -after photos of items, areas, or incidents that Contractor responds to as specified by City. b. Maintain these photos electronically and make them available for Inspection by City at any time. c. Identify photos by location, description, etc. before or after, date and time of photo taken. 1. Production Reports a. Email to City each month. b. These reports will Include: 1. Amount of trash and debris removed 2. Incidents completed (i.e. number of homeless camps cleared, other assigned duties, etc.) 3. Other incident related data 3. Meetings a. General Guidelines Document all meetings and prepare corresponding action list is generated, Initiated, and completed by the time required. b. Attendees Project Manager and/or designee and Contract Supervisor must attend meetings, in person, with the PW management team. c. Operational Meetings 25F-23 1. Purpose: To address issues regarding: upcoming events, blackout dates, Scheduling; and other issues of concern. 2. Held on: Third Thursday of every month or as specified. 3. Location: PW office 220 S. Daisy, Santa Ana, CA 92705 d. Service Level Inspections a. Provide an English-speaking Contract Supervisor to tour the contracted area with the Project b. Manager or his/her designee twice a month to determine compliance with the specifications and to discuss required work. c. Contractor's Supervisor must be authorized to sign documents and/or effect changes to the work being performed. e. As -Needed Meetings Meetings as necessary to address immediate issues regarding: Safety, Injury, or Damage; Public Nuisances; Business Interactions; Work Performance Delays; Repair or Maintenance issues; and other issues of immediate concern. Attendees: Contractor Supervisor and or Contractor Management Representative as appropriate to the nature of the meeting. f. Subject Matter to include, but not be limited to administrative issues, billing questions, contract issues, operational, safety issues, and service issues. 4. Contractor Employees/UniformsNehicles/Place Of Business a. All Contractor Employees: 1. Ensure that all Contractor employees performing work in conjunction with this project are always courteous, professional, competent, and do not cause any undue disturbances. 2. Remove any employee who is determined by the Project Manager or his/her designee to be incompetent, working inefficiently, disorderly, intemperate or otherwise objectionable immediately removed from work under this agreement and replace with a satisfactory replacement. 3. The City of Santa Ana is committed to a safe workplace. The Project Manager or his/her designee may direct Contract Supervisor to immediately remove any worker who is unfit for duty. 4. Employees must present a neat, well-groomed appearance at all times. 5. Perform the work while minimizing disturbance to the citizens, residences, and businesses. 6. Workers must have basic knowledge, experience, skills and abilities in general labor, custodial maintenance, landscaping maintenance, cleaning, trash handling, landscape care and street safety procedures to perform the scope of work requirements in accordance with the specifications at all times. Workers who do not demonstrate these capabilities shall be replaced at the request of the Project Manager or his/her designee. 25F-24 5. Contract Supervisors and Lead workers a. Provide an English-speaking Contract supervisor and Lead workers who are fully trained and knowledgeable in all aspects of these requirements: b. Equipped with a working, fully -charged, capable of taking and sending photos and emails, cellular phone, to enable immediate contact with Project Manager and/or designee. c. Contract Supervisor and Lead workers must demonstrate skills including, but not limited to the following: 1. Basic principles of supervision, directing, planning, controlling, training and appropriate safety procedures. 2. Ability to safely direct the work of crews engaged In maintenance activities in a high vehicle and pedestrian traffic area. 3. Ability to effectively communicate in verbal and written form in order to solve daily problems. 4. Contract Supervisor must have the authority to sign documents and/or effect changes to the work being performed. 5. Contract Supervisor must be able to tour the Area with a Project Manager or his/her designee on an as -needed basis for the purpose of determining compliance with these specifications or to discuss required work. 6. Contract Supervisor is responsible for ensuring the crews are accomplishing the scheduled work per the specifications. 4. Uniform and Safety Vests a. Pay foc and bear the maintenance cost of uniforms for all employees working on the project. The uniforms must bear Contractor's company name. b. The uniform must be wom as a complete unit and be fitted properly. The uniform must be maintained in a clean and neat order with no rips, tears, or permanent stains present. c. Must wear identification and appropriate safety vest at all times, which must be furnished by the Contractor. 5. Vehicles and Equipment a. Ensure that all contractor vehicles and equipment used in performing work in conjunction with this project are mechanically and operationally sound; have well -maintained exteriors; clean; have well -organized tool racks; bear Contractor's company name, which is to be visible on both sides of the vehicle; have current California registrations and licenses. b. Vehicles of Contractor must have magnets which is to be visible on both sides of the vehicle that say "Contractor for City of Santa Ana" and bear the city logo. c. Vehicles must have 360-degree operational warning lights or traffic notification light bars. 25F-25 d. Have a suitable stake side compactor truck or trailer for hauling weeds, rubbish, and brush. Trucks should have sufficient capacity to minimize trips and maximize productivity; (typically a 2-ton capacity). The truck hall be equipped with an arrow board for lane closures. e. Provide power and hand tools of sufficient quantity and quality to handle the job as specified. Examples of such tools are string trimmers (weed eaters), brush cutters, catch bags, sod cutters, loppers, handsaws, and various hand tools. f. Provide and assure usage of appropriate safety equipment as required by Cal/OSHA for all hand crews, including, but not limited to hearing protection, dust masks, helmets, boots, gloves, goggles, chaps, shin guards). g. Furnish, provide, and operate, at Contractor's sole expense, mobile phones capable of taking and sending photos and emalls. City may ask the contractor to also use the `My SantaAna" phone app. h. Replace immediately, any equipment that does not meet the foregoing as may be determined by Project Manager and/or designee's sole discretion. Insure that all crews, equipment, and trash are secure In vehicles at all times. 6. Place of Business a. Maintain an office at a fixed location corresponding to current business license. b. Maintain an assigned telephone number under Contractor's personal name or the legal company name. c. Have a capable person employed by Contractor available to take the necessary actions regarding all inquiries and complaints from City and/or private citizen during regular work hours at said office. 7. Traffic Controls a. Maintain clear Ingress and egress areas, sidewalks, vehicle travel lanes, driveways, and the like at all times unless Immediate work prohibits such clearance b. Inspect and identify any condition(s) that renders any portion of the areas under maintenance unsafe, as well as any unsafe practices occurring thereon and keep a log indicating date inspected and action taken. Notify the Project Manager or his/her designee immediately of any unsafe condition that requires major correction. G. Make minor field corrections, including but not limited to, placing traffic cone in holes to protect members of the public or others from injury and report immediately to the Project Manager or his/her designee. d. Cooperate fully with City in the investigation of any accidental injury or death occurring on the designated work areas, including a complete written report thereof to the Project Manager or his/her designee within five (5) days following the occurrence. 25F-26 e. Cooperate with local authorities relative to handling traffic through the area and must make arrangements relative to keeping the working area safe and clear of vehicles. f. Provide a towed or mounted arrow board for all lane closures. g. Note most work should be performed without obstructing the flow of traffic whenever possible. If lane closure is required, abide by WATCH manual. 8. Performance during inclement weather During periods of inclement weather, i.e. rain/wind; Contractor's workforce shall accomplish work not affected by such weather, i.e. litter pick up/spent blossom removal, preventative maintenance, etc. a. Contractor shall stake and re -tie trees as required. b. Drains shall be checked and cleaned as necessary. C. Contractor shall remove all branches and debris resulting from Inclement weather. d. Contractor may be required to perform additional clean-up tasks due to inclement weather. 9. Recycling All organic waste (including leaves, grass clippings, brush, branches, and tree parts) resulting from work performed under this contract shall be recycled through composting or processing for use as mulch. Organic waste cannot be taken to the landfill. The names and addresses of the licensed green -waste composting or processing companies, and haulers, along with the tonnages used and receipts, shall be provided to the Projects Manager or designee in a monthly written report and an annual written report. 10. Disposal At least 100% of all landscape debris will be disposed of through a landscape material recycling center or reused in some manner. The Contractor shall dispose of all cutfings, weeds, leaves, trash, and other debris from the operation as work progresses. The City shall not be responsible for the disposal. Contractor shall pay all disposal fees and provide documentation evidence of recycling to Include location, tonnage, etc. on a monthly basis to the City. Contractor shall dispose of all trash and debris. Contractor shall dispose of all landscape debris through a landscape material recycling center such as Tierra Verde Industries. Contractor shall not dispose of landscape debris in a landfill without prior approval from the Projects Manager or designee. Contractor shall pay all disposal fees and submit a copy of receipt as part of the landscape monthly reports. At no 25F-27 time is the Contractor permitted to use City dumpsters. 11. Emergency Services The Contractor shall provide the City with names and telephone numbers of at least two qualified persons who can be tailed by City representatives when emergency maintenance conditions occur during hours when the Contractor's normal work force is not present in the City of Santa Ana. These Contractor representatives shall respond to said emergency within thirty (30) minutes from receiving notification. 12. Damage Repair a. All damage incurred by the Contractor's operations shall be repaired or replaced in kind and size at the Contractor's expense. b. Irrigation repairs shall be completed within twenty-four (24) hours using approved materials. c. Non irrigation repairs shall be completed within seven (7) working days and shall be repaired using only pre -approved materials. 13. Vandalism Contractor shall be responsible for the labor to repair damaged landscaping caused by vandalism or vehicle accidents with material costs to be reimbursed by City. The Contractor shall submit invoicing to establish cost of materials. 14. Holiday Table: Holidav LN b• —TE EVENT 1 January 1 New Year's Da 4 May, last Monday Memorial Day 5 July 4 Independence Day 6 September, first Monday Labor Da 8 November, fourth Thursday Thanksgiving Day 1 10 December 25 Christmas Day 15. Penalties and Fines Failure to comply with specifications of contract or requests from the Projects Manager or designee and/or creating unnecessary delays, as determined by the Projects Manager or designee, may be cause for fines and penalties In the table below until said request(s) is completed. This shall be deducted from routine monthly maintenance payments. 25F-28 16. Table: Liquidated Damaqes LN VIOLKT-ION- Amount 1 Failure to perform required/scheduled work: missed or late, $100.00 per in correct number of workers per contract, missed occurrence per day meetings without prior notification. 2 Safety violation and/or failure by Contractor to comply with $200.00 per the most current Work Area Traffic Control Manual occurrence W.A.T.C. H. 3 Failure to remove any significant amount of litter/debris $200.00 per (generated by crews) from work site same day as occurrence generated. 4 Blowing or sweeping debris onto private property, public $200.00 per streets, parking lots or into storm drains. occurrence 5 Failure to provide reports, schedules and other deliverables $100.00 per without notice and agreement by CR. occurrence Mowing OnceMeek Edging OnceMeek Clipping Removal OnceMeek String Trimming OnceMeek Pest and Weed Control Weekly Visual Inspection Weekly Chemical Weed Control As needed Debris Removal Once/Week Ground Cover Maintenance Trim Monthly Pest and Weed Control Weekly Vfsual Inspection OnceMleek Debris Removal OnceNVeek Shrub, Vine and Tree Maintenance Trim Shrubs Monthly or sooner if needed Vines Four (4) times a year Visual Inspection Once/Week Debris Removal OnceNVeek Hardscape Maintenance Weekly Median with no/turf planting Weekly Debris Removal OnceMeek Grounds Policing/Litter Removal All other Areas Every week Work Schedule and locations to be provided by City as Exhibits 25F-29 17. Contractor shall be responsible for the labor to repair damaged landscaping caused by vandalism or vehicle accidents with material costs to be reimbursed by City. The Contractor shall submit invoicing to establish cost of materials 18. The actual cost of all materials passed on to the City for extraordinary maintenance/repairs shall be wholesale cost of the materials. • The wholesale cost shall be the actual cost paid by the Contractor reflecting the best price, including discounts available. Receipts shall be required for reimbursements. • At no time shall the cost of materials exceed retail cost from the current price list, minus the discount rates. • Typical costs of the Irrigation parts, plant material, etc. to be submitted to the City prior to approval. 25F-30 EXHIBIT A MEDIAN LOCATIONS ...........:;;n............... 1 ...........:.I. - - r•m:un�ev . .. .;--.- ... o ..... ........ 7... ........ ifeTn"1+.. .$. ..... ........... ...... p ^TY 1:1 it o E . City of Santa Ana: Landscaped Medians �� 1 4Gl�Y.11l AV � _ O ' ®GrasslTu[(htedians —-� rAz ® Drought Tolerant Medians . s r •y _ I `a ® Artificial Turf Medians :.q�.....:L " _"e T.......... 1_ .................... :.... .......:. _. Note: 90% of Grass[Turf medians are now natural soil only — no grass 25F-31 ROUTINE MAINTENANCE LOCATION MEDIANS, PARKWAYS, UINEAR PARKS, PARKS AND SERVICE ROAD DIVIDERS EXHIBIT B MONDAY CODE WORKSITE LOCATION Undscam I Hardsca Both .r N tED BUANN I TR&PI I SIDEIAXI 80AED hIEDUDI I.13aflh. Md. M"NTOLIAM D 1 2 Y NO Y Y Y NO laEDIu1 IdacA hw Blvd. LWIN TO BRISTOL 0 a 5 Y Y Y Y Y WA IAEDIAN ma"ur ENd. PIAZATOFAIRVIEW 0 0 T Y Y Y Y Y WA hIEDUW hlawbur EFN. MR WEST OF SUSAN TO HARBOR 0 1 1 Y Y Y Y Y WA LIMAN SC HSutm REOHILLTOGREENVILLE 0 T 24 Y Y Y Y Y WA LIEDM Segersucm HAR$ORTOSANTAANARWER D 0 2 Y Y Y Y Y WA LIEDIAN Segmv= SHELTON TO BRISTOL NORTH SIDE 0 2 1 Y WA Y Y Y WA LIMAN FalIvIew St SUNFLOWER TO SEGERSTROI.1 0 0 6 Y I WA Y Y Y WA MEDIAN Bear SL SUNFLOWER TO SEGERSTROTA 0 2 a Y Y Y Y Y Y MEDIAN Plata Or. SUNFLOWER TO I.IACARTHUR Y Y Y Y Y Y LIMAN Harbor SNd. IJACARTHUR TO SEGER$TROI.I 0 0 a Y Y Y Y Y ILIA UEDIAN RagI St SUNFLOWERTOEIACARTHUR 0 1 1 Y NIA Y Y Y Y LIEDIAN 56stel$I SUNFLOWER TO ALTON 0 2 S Y Y Y Y Y WA LIEDIAN Llaln$I SUNFLOWER TO COLUhIBINE 0 f 12 Y Y I Y Y Y WA PLANTER Alain SV2el ISUNFLOWER TO NORTH OF VURPHY 0 0 1 Y Y Y Y Y NIA PLANTERINY I.latt wr hWN TO FLOWER NORTH SIDE 0 0 a Y Y Y Y Y WA PLAIITEROVY hljc hvr MIN TO FLOWER SOUTH SIDE 0 0 d Y Y Y Y Y NIA PLANTERI SUNFLOWER AWN TO ROSS NORTH SIDE 0 2 2 Y Y Y Y Y IVA PLANTER LlaF ur FLOWER NORTHWEST CORNER 0 1 0 Y Y Y Y Y WA PLATTER LIAWITmr FLOWER SOVTHWEST CORNER 0 0 1 Y Y Y Y WA PLANTER Segers0 RAITT NORTH WEST CORNER 0 0 1 Y Y Y Y Y NIA PLANTER SC erstmm DOUGLAS SOUTH EAST CORNER D 1 0 Y Y Y Y Y N'A PIA:RER Isegersum I GREENVILLE NORTH EAST CORNER lo 0 I Y Y Y Y Y NIA 25F-32 MEDIAN snemtm. CRODDY NORTH SIDE TO SANTA ANA RIVER Y Y Y Y Y WA MEDIAN segemU GREENUILLE TO DOUGLAS NORTH SIDE Y Y Y Y Y WA MEDIAN Se Muw '!JEST OF ROSEYJOOD Y Y Y Y Y WA MEDIAN ,SeatrsUaU EAST OF THORTON PARK TO SRLSTOL Y Y Y Y Y WA MIEDIAN LISYISUGH SUNFLOYJER TO NORTH OF MURPHY Y 7 Y Y Y WA LIEDAN LWrMnur FLOWER TO TOWNER NORTH SIDE Y 7 Y Y Y WA MEDIAN Last 807d0 KORAL PARK TO FLOWER SOUTH SIDE Y T Y Y Y WA MEDIAN MaUNnur BEAR TO RART SOUTH SIDE Y T Y Y Y WA MEDIAN ?,Mr wr FAI FIN TO GREENYILLE SOUTH SIDE Y Y Y Y Y MEDIAN SUNFLOYJER MAN TO ROSS NORTH SIDE Y T Y Y MEDIAN SUNFLO%'rR I NEL Y 9 Y Y y WA MEDIAN FR\TE IFL0J SUNFLMER TO MACARTHUR EAST SIDE Y T Y Yy NIA MiDIAN BEAR SEGERSTROM TO ALTON Y T 1 Y Y Y WA 25F-33 TUESDAY CODE LLDWI niEDIAN YlORKSRE Warner AvP Plam¢r Ave LOCATION Redh010 Br0ohhotbrr 00v¢lo SDegon SduN nice 0 16 I %TEDE I Y Y T ME0 WA_ NIA 6=71 Y y TRASH Y Y sIOBYK Y N/A n!OY•LD dip NrA MEDIAN Warner Ave BrIStMt0V1est01Fair4iew 0 D 9 Y Y MEDIAN Manner Av'e Yale to Harbor D 2 0 y Y Y Y NIA N'q MEDIAN Edinger 55 Fin to Bristol 0 5 26 Y Y V y NJp ,WA I.IEDIAN Edinger BmadlvaY to Hower south side 0 1 5 Y Y Y y WA WA MEDIAN Ercnger Fimm to Park south tilde 0 0 3 Y Y Y Y WA WA LIEDIAN Ednger Park to Baker Sour Side 0 I 2 Y y Y y VIA WA hIED1AN W15011 EdInp,60fth of 1 0 0 Y Y Y Y WA WA IdEDIAN KII. Edngernonh0t I 0 0 Y Y Y y WA WA IAEDIAH Ed'n Pr Karen to Curia 0 0 1 Y Y Y Y N/A IUA I.fEDIAN FaiMeNSL S ersbom Ave In Harvard 0 1 5 Y WA Y Y NIA [L'A t.1EDIAN Falmlety St. South of Edi er 0 I 0 Y WA Y Y WA IL'A AIEBIAN Harrirelvd Iseciemnam Ave to Santa Ana RNer 10 0 2 y WA Y Y WA WA IJEDIAN Brisld St SOON of Edinger 0 1 0 Y NIA Y Y NIA Wq LIEDIAN Lfain Sl Ppnonalo Occlaenial 0 I I y Y Y Y H!A tUA LIEDIAtl Irrard Ave IDve, Road to Hotel Terrance ID 10 to Y Y Y V fu0. WA RIMIAN Ist Gertrude IEIO Rain 10 In I I y Y y Y WA ILIA LIEDIAN Alton SQMM FaiMm.. fledan on N side Peal W bide Dad p 21 13 Y y Y y Y WA I.IEDIAN Ron St IAdkods St- tYamer AV East side 0 ID 0 Y Y I Y Y y WA PLVITER Se•eMUM Avenue Al Oo las Street SEI 0 I 0 Y Y Y Y Y WA PLANTER SeptstroonAvenDP At Rang NM1Y CIO 0 0 1 Y V Y. Y WA WA PLATTER Harbor Warner to Santa Ana RNef east side Y Y V y Y WA IJEDWJ Harbor Warner 10 Santa Ana River Y y V Y Y WA SOWK Warm Harbor to Santa Ana River North side Y WA Y Y Y WA SOLVK l"Jor, M, Harbor to Santa Ana River SWA side Y WA Y Y Y WA 25F-34 SDYM Ylomer Paac to FohViex south side Y WA Y Y Y WA SDYM Vim" Rene West Of EvHflade Y WA Y Y Y NIA SOM Warner Saslol to Mmer Y WA Y Y Y WA MONUMENT £IAndrevl 1=wefl SalnlA v, 1 0 0 Y Y N.'A Y WA WA MONUMENT SIAndw, 1236Wesl 0 0 1 Y Y NIA V WA WA PLANTER Edin H 302 Vt EcLagtr PLANTER Edn et aM Van Ness -Scwh SMe PLANTER Ednger at no wer PWITER Ednger at Me PLANE R EdnOer Jdpafl, PKIVY Edner SOMSIDE AT VAN NESS EAST AND WEST 0 1 1 Y IVA Y Y Y Y PWN Ednger DIOWEST D 0 1 Y Y Y Y Y Y MIN Edinger SOUTNSID'e AT PARK EASTAND VVEST Y WA Y Y Y Y FRVlY Ednger 55 WN Loop setts We Y Y Y Y Y IVA SDYM Unger 1.19nle to cwess nOM side Y WA Y Y Y WA SDVJK Ednger Cedar to Masi, SeNh Side Y WA Y Y Y NfA IVY Ednger 9rcaCmyto Flen'H 0 1 5 Y Y Y Y Y IVA SDYM Eftg, Fl=V to 1.1 D,, la UMSlde Y IUA Y Y Y WA e.1EOM Ed er nta ea We do 0 0 1 Y Y Y Y N1A WA PLNTR Edmer AI 12oha'xt to Santa Ana R v(NN ood Entrance) Y Y Y Y Y IRA LINEAR PARK Sdsld SL AmJrety North East 1 D 0 Y Y Y Y WA Y LINEAR PARK £dslol SLArNree�NCMLYest 1 0 0 Y Y Y Y NIA Y PLNTR EdnOH slop t to Santa Ana R ee Nora, SCe Y Y Y Y Y WA 25F-35 WEDNESDAY CODE WORBSITE LOMMON Y. iRVAeD OILMAN! TWH 9DBW U941D LIEDIAN MCFOdden Ave RlCAe tOL DO MR20' D 2 0 Y WA Y Y I NIA N'A LIEDIAN LlcFadden Ave Orange to Ma-n 0 0 1 Y Y Y Y WA WA LIEDIAN McFadden Ave Sow to Dennis 0 0 3 Y Y Y Y WA WA LIEDIAN &ICFJCUen Ave I.I01i to Ruron. Side tiedian On me SOVW D 1 0 Y WA Y Y WA N'A IJBDIAN fdcb0.ve LICFaddtnta Cu0uen 1 0 0 Y Y Y Y WA WA LIEDIAN rdmune LlcFadden 10 11I0Nand 0 0 1 Y Y Y Y WA WA RIAWER WOas SNlt'lan - SE Comer LIMAN YYD1d5 $Vlivan tO Fairvirv- Sloe median on We North 0 2 0 Y Y Y Y NIA WA LIEDIAN 1e1 Tustin to Bristol 1 $ 16 Y Y Y Y NA W'A LIEDIAN 15t TOemcend to Center 0 D 1 Y Y V I Y N!A IUA l.1EDIAN 151 Su0iean 10 FaiWev D 0 1 Y Y Y Y NIA WA LIEDIAN 1st Santa Ana Rive, to Ja0lon 0 0 2 Y Y Y Y Y WA li Im W/OHm0or 0 0 1 Y Y Y Y NIA PVA MEDIAN Isl J82D t'lesl 0 0 1 Y NrA Y Y 111A NIA f.IEDUN r.1ccl3y Grand east of 0 0 1 Y HIA Y Y HA WA f.IZDlu,N Rl,chey R1cFa0den to Wilshire MR 20' 0 2 0 Y WA Y_ Y WA WA MEDIAN Grand AT At Hunter RXR20' 0 1 0 Y Y Y Y Y WA LIEDIAN Win $1 RUSSen t0 LlCFadden Ave 0 0_ 1 Y Y Y Y Y WA r.IEDIAN Bristol St EdnSeraveto lst 0 0 7 Y Y Y Y Y WA LIEDIAN FalWen St Ed'ncer Ave to Ist 0 0 6 Y Y Y Y Y tUA LIEDIA7l HaAm, SIV& II II Sam. 101ST D 2 6 Y Y Y Y Y tl'A tdEDIAN Chestnut at Lyon Voodons 0 3 0 Y WA Y V WA tUA LIEDIAN LYON attlmmandy MR2C 0 2 0 Y NIA Y Y WA WA NE s"lest of Fanlety-Neliabomcod En 1 0 0 Y Y Y Ya WA N!A GIEDUN HI00a e� Y YW05 Y WA WA 25F-36 PLANTER Cedar Street McFareen HIE CIO 1 0 0 Y I Y Y I Y WA N'A PLANTER Cadar$tnel McFadden NNJ CIO 1 0 0 Y Y Y Y IVA WA PUNTER Cypress al Wallol SE S SYl 2 D 0 Y Y Y Y N'A N'A MEDIAN Rost St McFadden to Edngu-EIS 0 0 0 Y Y Y Y WA WA PLANTER MCFaW2n FJO Santa Ana River Sehdl ever slope 0 0 0 Y NIA Y V Y N'A PLANTER McFadden FJO Santa Ana River WO side slope 0 D 0 Y WA Y Y Y WA SDVX McFadden NFentope W SlIamon so0th see Y NIA Y Y Y WA SDVIK McFadden NCntWpe W Wo dt1T-Mom Side Y WA Y Y Y MIA LINEAR PARK McFadden Orange swat see EIO I 0 a Y Y Y Y Y Y LINEAR PARK elcFaWen Orange scuth side YNO 2 D 0 Y Y Y Y Y Y LINEAR PARK OM McFadden rE5SIVE•Endd Cw - ac Y Y Y Y Y Y LINEAR PARK OMMICFadden Cypress NrW-End cICuWeSac V Y Y Y Y Y LINEAR PARK let Grand to SWn0ard S010A sae 0 0 1 Y Y Y Y Y HA LINEAR PARK Isl GraWto Standard NWhsee 0 0 Y Y Y Y Y ?1% PH 1st ElO Santa Are Rher ScM see 0 D 1 Y Y Y Y Y WA NY list EIO Santa Am River NCM see 0 0 1 Y Y Y Y Y WA PLANTER Jakson WE CO 1st 1 0 0 Y WA Y Y MA WA PLANTER Jackson MY vo 151 1 0 0 Y NIA Y Y WA NIA LINEAR PARK Sdstcl St. No" of Edm er Ave.(Eail side) 0 0 1 Y Y Y Y Y Y LINEAR PARK BASI01 St.. NdVI oI YJJSMrd EasL•!de 2 0 0 Y Y Y Y V V PWN Mist SL. Edinger W Mdadden. east see 5 0 0 Y Y Y Y Y Y LIEAR PARK Ddslcl St.. Eeer to MCFaWen. west see 9 0 0 Y Y Y Y Y Y LINEAR PARK Sdsw Pne W 15L east see 2 0 0 Y Y Y Y Y Y FLINEASPARK Mist Pint to I5l vest side 1 0 0 Y Y I Y I Y Y Y 25F-37 THURSDAY CODE WORKSITE LOCATION WEED 1;a=u 6LO.:N TFASN Iavm V..To MEDNJI TusM Ave. IJDD NaM to ITthM 0 0 2 1 Y Y Y Y NIA WA MEDM CauOW Park Iat to till, 0 1 9 Y Y Y Y WA WA MEDIAN Grand IIt to 4m 0 D 1 Y Y V Y Y WA MEMM Grano Slaffor0 to 14M 0 0 3 Y Y Y Y WA ILIA LIEDUW PeM Stay 5Fwy to 1T10 1 1 0 Y NIA Y Y WA Y ME01AN sant1ago S'm to Santa Ana BNO 1 0 1 V Y Y Y WA N'A MEDIAN sroa&my 1Vto3M 0 0 2 Y Y Y 'Y WA WA MEDLM Broadway 401 to CNIO Center Dr. 0 0 2 Y Y Y Y WA WA MEDIAN Flower let to Santa Ana 814 0 0 2 Y Y Y Y WA WA Id'MM Flower At IDm Street 0 0 1 Y Y Y Y MA WA MEDIAN Flower Al 15M Street 0 0 1 Y Y Y Y WA WA MEDIAN 8r15I0 Istlosm 1 0 2 _ Y Y Y Y NIA WA LIEDWN Fa:Mew 19tb North of 5m sum 0 2 3 Y Y Y Y IUA WA LIEDSW Harbor IA to Westminster 0 0 5 Y Y Y Y NIA MIA MEDIAN 3r0 Al BtreD 2 0 0 Y Y Y Y WA WA LIEDP 3n Al Sycamore 1 0 0 Y Y Y Y NIA MIA 1.101M 30 At SO eon 2 0 10 Y Y I Y Y WA WA MED" 4m Street Yle tof Termhlal R)(R 20' 0 1 0 Y NIA I Y Y ILIA IL'A MEDM 4tA Street 55 ITNto 5 MY 0 1 4 Y Y Y Y NIA NIA LIEDLM $oma Ano Seta Gnrq to Sannago 0 0 3 Y Y Y Y Y MA LIE0IAN Santa AM ENV At?."ter. Soum 51de 0 0 0 Y Y V Y WA WA MEDIAN Oink Center Drive Sycamore to Braadoay 0 0 1 Y Y Y Y IUA WA MEDIAN ITm SL 55 RVY to CoOege Avenue 1 3 20 Y Y Y Y IBA IUA LIEDLW 12m Street FalMew to EuolN 0 2 13 Y Y Y Y IUA NIA 25F-38 PKIVY Grand ISt to Ath E35l lode 0 0 1 Y I Y Y Y Y WA PKWY Grand Isl to JM. West side 0 0 1 Y Y Y Y Y WA LINPARPARK Lh¢oln 5FWY to 170, 1 0 0 Y Y Y Y WA WA FRWY Penn Wav 5 F%rN OFF RAMPTO 17M 0 t 0 Y Y Y Y Y Y PLANTER Wright Street Al palm Street DNerler D 0 1 Y Y Y Y Y WA LWFARPARK BRISTOL NORTHEAST AT IST STREET D 0 1 Y Y Y Y Y Y FINN Bristol Ist to CMc Center Drive. East Stile 2 0 D Y Y Y Y Y WA FWN Bristol 1st t0 CNIC Center DrIve. Nest side 2 0 D Y Y Y Y Y N/A FRWY 17I11 5FY2YOfrram t0Um 0 0 1 Y Y Y Y • WA PLANTER English At 15th Street 0 1 0 Y Y Y Y Y WA PLANTER I'MOSheet At Child Center Dove 2 0 0 Y Y Y Y Y MA PLANTER 10ih SUM At Spmgem Street 1 0 10 Y IVA Y Y Y WA PLANTER Washinglonaverme Al Bush Street 2 0 0 1' Y Y 1' Y WA PLANTER ftshtngton Oveme, At L"tl Street 2 0 0 Y Y Y Y Y WA PLANTER LYashin on avenPG AIOINe Street 2 0 0 Y YY Y Y Y WA PLANTER lYashN lOn avemre call of Hau 2 0 0 Y Y Y Y WA FR49Y Gtlnd Av¢TNe Ra.P loops InWding aTiacul areas. posh sloes of 651 T 10 ID Y Y V Y Y Y 25F-39 FRIDAY CODE WORKSITE LOCATION thEOE tlhsWED BLDAP TR 510L1yK L•P.:£D faEDDW Nsm At Lenim East spe 0 D i Y Y Y y WA Y MEDIAN NOM Pork SM. 6 p D 6 Y Y Y Y IVA Y tMEDIM! Fimwr SL IMSL to Park 9 0 0 Y Y Y Y WA Y MEDIAN Oxkmoni NaM Of Santa Clara 1 0 0 Y Y y y f6A Y LIEDIM Btlstol St At RNerglm 0 0 Y Y Y Y Y WA MEDIAN BDstd Sl Sanii Geekbftem •Acre 0 1 1 Y Y Y y Y WA MEDIAN Btlstol Sl Hes clan to NIO 22 FYlY D 2 0 Y WA V V Y WA MEDI.W Bristol St North of 17N 0 0 1 Y Y Y Y Y MA LMAR PARK Bristol St North of EM Hestsl0e 0 0 1 Y Y Y Y V Y CIEDIAN Falryievi Sl ITI1SI Nodl Olty Lhna 0 D 1 Y Y Y Y Y WA :MEDIAN fdemay Lane ESl off.,. Street 0 D 1 Y Y y Y Y y hIEDIAN mem< Lane Floser to We5Mow 0 p 2 Y Y y y y fVA UEDIMI 1,1M rvAna at PadBc 0I 1 10 1 Y I NIA Y Y NIA WA LIEDIAN f.kmctyLane al Santa Ana River 0 I 0 Y WA Y Y Y W'A 61EDIAN AJ2m of DiscoveryftolmeCener.%-lVWSanmlgOPark y NIA Y Y WA PEAAIEDIM! LIa21 IMWmory We to NCL 0 0 1 Y Y y y ILIA WA LIEOLM! Pack Lane East of SSNaIW 1 D 0 Y Y Y Y WA MA f.IEDIAN Icalatm Eantol Tush 1 0 0 Y Y Y Y WA WA PLANT'cR lost SYreel Al BVM-My2 0 0 Y Y Y I Y Y WA PLANTER 19515Dee1 Al Jefferson Plao 1 0 0 Y Y Y Y Y MIA PLANTER Lvv¢0 Lane Al Santa Clara Avenue 1 0 0 Y Y Y Y Y WA PIAtnER 6lemayLane JAILonUm (SE851V) p D 2 y y Y Y WA WA PLANTER Puk Lane West of 6tlsto15Dee1 1 0 0 Y Y Y Y Y WA PLANTER am Ncr'Jl of Santa Clam Avenue 1 0 0 Y Y Y Y WA WA PLANER 5an0aao Al2M 2 D 0 I y Y Y Y N tUA 25F-40 FRV2V Edge.,rood Alfloln Eastet0e y y Y Y y fVA PKVly Bush EO en=d So Spuf em 0 1 0 Y I y Y Y WA NIA PUNTER Ema0-mv S FRY ID Santa Clara Y y y Y MA WA PUNTER Santa Gaga Avenue At BDstol Street 2 D 0 Y Y y y Y IUA PLANTGER Same Clara Avenue At Bma0vmV 2 0 0 Y y y y Y WA PWN Item Lane FI%Vef to Ba9pl South eke y Y y y Y y PWN hlem0 Lane F %w to Weshvood y y y y y y PUNTER Flcxer St. North City CDmlt- Jost North of Orange Rgag y V Y y Y N'A LINEAR PARK Flower St. At Santiago Creek emse NOM west Y y y I Y WA y VIALL Kea0110pe NOM of 12O S SOuth of 18O 1 0 0 Y Y Y V WA WA MEDIAN Bnstd Saallago peek to Mermay Lane east s4e Y Y Y Y LINEAR PARK SnstO Elm 10 Park west sideSDR'K S Sl01 22 FWY areamp 10 NCL East sideSDVVK ly Brlebl 22 FLW 10 NCL Weffi side PLNTR Fau0aven East of EashsWd at Rag Road Tracks -Both S.-des 25F-41 EXHIBIT C _lq ii I I .. Location Total Sq. Ft. ' Maint. Type 31d and Bush 445 Hardscape 601 E. 411 Street 300 Shrub/Ground Cover Area Myrtle and Shelton 100 Shrub/Ground Cover Area 3' and Birch 300 Shrub/Ground Cover Area Bishop and Shelton 100 Shrub/Ground Cover Area Pacific and Walnut 100 Shrub/Ground Cover Area Myrtle and Pacific 2,498 Shrub/Ground Cover Area Wisteria and Pacific 100 Shrub/Ground Cover Area Richland and Pacific 100 Shrub/Ground Cover Area Willits and Pacific 100 Shrub/Ground Cover Area Bishop and Baker 100 Shrub/Ground Cover Area Highland and Shelton 100 Shrub/Ground Cover Area Chestnut and Shelton 100 Shrub/Ground Cover Area Occidental and Maple 1,422 Shrub/Ground Cover Area Willits and Sullivan 2,300 Shrub/Ground Cover Area Garfield and Santa Ana Blvd. 30 Shrub/Ground Cover Area GRAND TOTAL Sq. Ft. 8,195 25F-42 EXHIBIT D VACANT PARCELS Address 1 North of 610 N Figueroa St 2 South of 926 N Lincoln Ave_ 13 Northeast comer of Standard Ave and Chestnut Ave I. e .. 4 ; South side of Edinger ave east of Boyd St ! 5 Northwest corner of 1st St and Pacific Ave 6 South of i 2i N Euclid sf 7 1 North side of 1st St wesf of Garfield St 53 8 East of 01 W 1 stSt `4 Dead-end of San Lorenzo west of Baker i 10 i Northwest comer of Flower St and Walnut St- ill Northwest comer of Daisy and Walnut i i 12 South of 4319 W Edinger Ave 13 j Slope on south side of Warner west of the 55 fwy 14 i East of 2216 W 5th St _ 15 , Slope on south side of Mcfadden west of the 55 i 16 : North slope of Edinger east of the Santa ana River 17 l South side of 6th Street east of Mabury Street 18 i Walkway East of Greenbrier St between River Ln and Sharon Rd 1st Street East of 117 N Standard Ave 1120 Main Place Dr between Broadway and Bedford Rd i 21 i Southwest comer of Segerstrom and Bear 22 Santa Fe Street south of 2nd Street Area 23 ; East side of Ritchey between Warner and St Andrew 24 : North slope of McFadden east of the Santa Ana .. fiver . . i 25 i North side of 7th east of Jackson 26 East side of Clinton north of 5th 27 North and South slopes of Santa Clara Ave west of the 55 freeway f 28 Penn Way between 171th and Washington 29 South slope of Mcfadden east of the Santa Ana River 30 Slope on north side of Warner west of the 55 fwy 31 i East of 2212 W St Gertrude PI .32 South side of Maca_ rthur west of the 55 Fwy i 33 South side of Dyer west of the 55 Fwy i 34 .i North of 1026 N Mirasol St 35 ; East of 502 E Memory Ln 36 ' Dead end of 6th St west of Hawley St 37 . East of 1633 E6th St 38 ; North of 3131 S Standard Ave 25F-43 39 ' East side of Lincoln at Washington 1.40. ; Northeast comer of 1st Stand Maiury St 41 j West side of Grand Ave north of 1-5 Freeway 'i 42 ! Southeast Comer of Sullivan Stand Will St 48 ` North of 2057 N Bush Street 25F-44 EXHIBIT E ALLEYS MAP SANTA AM 91 r � a I4��,r;l�4 ails - Y Y - 25F-45 EXHIBIT G CITY BOUNDARY MAP City of Santa Ana N �r 0.0 0S 1. Niles 25F-47 EXHIBIT H IRRIGATION TECHNICIAN Crew Size -1 Irrigation Technician The Irrigation Technician shall turn off irrigation system during periods of rainfall and times when suspension of irrigation is desirable to conserve water while remaining within the guidelines of horticulturally acceptable maintenance practices as determined by the Projects Manager or designee. When the Projects Manager or designee acknowledges the necessity to turn on the water once again, all controllers shall be activated within twenty-four (24) hours. After 24 hours, the Projects Manager or designee at his discretion may elect to activate the controllers with City forces and deduct estimated time plus overhead from the Contractor's monthly invoice. 2. The Irrigation Technician shall physically inspect (by manual or semi -automatically running the Controller) the operation of all systems weekly. The Irrigation Technician shall maintain all sprinkler systems in such a way as to guarantee proper coverage and full working capability, and make whatever adjustments are necessary, including but not limited to, adjustment of heads or inserts, or replacing of inserts, etc., to prevent excessive over spray/runoff into street right-of-ways or other areas not Intended to receive irrigation over spray/runoff. 3. A visual inspection of all irrigated areas shall occur, more often, but not less than one (1) time per week. All areas receiving marginal coverage shall be Irrigated by a portable irridation method. The Irrigation Technician shall furnish all hoses, nozzles, sprinklers, etc., necessary to accomplish this supplementary irrigation. Care shall be exercised to prevent waste of water, erosion, and/or detrimental seepage into existing underground improvements or structures. 4. Contractor shall submit a monthly irrigation report to the Projects Manager or designee. The report shall be of the format required by the Projects Manager or designee and shall include, but not be limited to, controller location, address, type of controller, number of stations, schedule, and run times for each station, turf, ground cover or shrub irrigation, condition of site, and repairs made for each station. 5. Irrigation Technician shall maintain a log at each controller location. 6. Irrigation Technician shall provide efficient use of water at all times. The controllers shall be programmed and monitored to maintain adequate moisture, optimal for growth and appearance, while eliminating excessive runoff. Adequate soil moisture shall be determined by visual observation, plant resiliency, and turgidity, examining cores removed by soil probe, moisture sensing devices, and programming irrigation controllers accordingly. Considerations must be given to soil texture, structure, porosity, water holding capacity, drainage, compaction, precipitation rate, runoff, 25F-48 infiltration rate, percolation rate, evapotranspiration, seasonal temperatures, prevailing wind condition, time of day or night, type of plant and root structure. 7. Irrigation Technician shall be responsible for and bear the cost of service and repair to all irrigation components from the remote control valve, downstream (including the remote control valve). The responsibility includes, but is not limited to, the remote control valve, flow sensors, lateral lines, fittings, risers, all sprinkler heads, and drip irrigation components. 8. Monitoring Systems: Irrigation Technician shall weekly inspect the irrigation systems for broken and clogged heads, malfunctioning or leaking valves, or any other condition, which hampers the correct operation of the system. Authorization must be obtained from the Project Manager or designee before proceeding with work not covered under normal maintenance work and the malfunctioning sprinkler system area shall be irrigated by a portable irrigation method until all authorized repairs have been completed to the Project Manager or designee's satisfaction. Each irrigation controller(s).and- system shall be. checked weekly for proper water scheduling.and coverage. Make all necessary adjustments to heads, which throw onto roadways, walkways, windows, or out of intended area of coverage. Irrigation Technician shall clean and adjust sprinkler heads as needed for proper coverage. Each system shall be manually operated at the irrigation controller and observed on a bi-monthly basis. Controllers shall be programmed to water during nighttime hours between approximately midnight and 7:00 a.m. No watering shall occur during the daytime unless associated with Irrigation check/repairs or with prior approval by the Projects Manager or designee. 9. Irrigation Technician shall provide irrigation personnel fully trained in all phases of landscape irrigation systems operation, maintenance, adjustment; and repair.. This is to include diagnosis and repair of controllers, valve wires, control valves, lateral lines, gate valves, main lines, strainers, pressure regulators, backflow devices, moisture sensors, master valves, and electric pedestals. Irrigation Technician shall maintain an adequate stock of medium and high usage items for repair of all irrigation systems. 10. Note: Irrigation Technician has the responsibility to adequately diagnose problems and take corrective action as called for in the contract specifications. Should the City be called upon to diagnose an irrigation problem that is Irrigation Technicians responsibility, the City's labor and material cost incurred will be deducted from the monthly payment to Irrigation Technician. 11. Automatic controllers and/or enclosures shall be locked while unattended. 12 All controller enclosures must be painted in approved colors, as needed, to prevent rusting and maintain good appearance. System Maintenance: Once a year during the month of March, Irrigation Technician shall wipe down the equipment in the irrigation controller cabinet to remove all dust and dirt, clean all electrical connections, 25F-49 Install bait traps for control of ants, replace batteries as required, clean and remove intruding soil in valve boxes and replace gravel, as originally specified. 13. All hinges and locks shall be regularly oiled to ensure trouble free operation. 14. Sprinkler heads shall be kept clear of overgrowth that may obstruct maximum operation. 15. Repairs made to the irrigation system must be made in accordance with the system's original design with products equal to or higher quality than currently provided. Workmanship shall be performed in accordance with industry standards. 16. irrigation Technician shall be responsible for regular monitoring of all systems and correcting for: coverage, adjustment, and clogging of lines and other sprinkler components. 17. All irrigation systems shall be inspected and adjusted on a.weekly basis or.more frequently as required, considering the water requirements of each remote control valve. A written irrigation tracking sheet indicating the system location, date inspected, and watering schedule shall be submitted to the Projects Manager or designee at the end of each week. 18. Irrigation Technician shall observe and note deficiencies occurring from the original design of facilities and review these findings with the Projects Manager or.designee so necessary improvements can be considered. 19. All leaking or defective piping, valves, or other system components shall be repaired within twenty-four (24) hours of detection. 20. Particular attention shall be paid to all slope areas, which will, by physical nature, provide for greatest potential runoff, which can contribute to erosion. 21. Irrigation Technician shall turn off controllers when adequate rainfall is anticipated. 22. In the event of irrigation system failure, manual watering required to keep the plant material in a vigorous, healthy condition is to be provided by Irrigation Technician at no additional cost to the City. 23. At no time shall Irrigation Technician utilize a fire hydrant for irrigation purposes without written authorization by Projects Manager or designee. 24. Contractor will keep system in operation by valve or head adjustment to keep all systems operating at manufacturer's recommended operating pressure. This shall be accomplished by valve throttling pressure gaging. The valves should be throttled to prevent sprinkler heads from fogging, allowing droplets for effective watering. The Projects Manager or designee may request a coverage test to evaluate proper settings, timing, usage, or maintenance of system. 25F-50 25. All valve boxes, controllers, and backflow devices shall be kept clear of plant growth. 28. Contractor shall be responsiblefor periodic inspection of surface drains located within the landscaped areas. These drains shall be checked to assure proper functioning. Remove any debris or vegetation that might accumulate at the inlet and prevent proper flow of water. 27. Any erosion damage because of Contractor's failure to keep the surface drainsclear shall be repaired at Contractor's expense. 25F-51 EXHIBIT B CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR RIGHT OF WAY AND MEDIAN LANDSCAPE MAINTENANCE SERVICES PROPOSER'S CERTIFICATION and PROPOSAL ITEM PRICING Certification - I certify that I have read, understand and agree to the terms and conditions of this Request for Proposals. I have examined the Scope of Services (Exhibit A) and am familiar with the scope of work locations. I am familiar with all the existing conditions and limitation that may Impact work requests. I understand and agree that I am responsible for reporting any errors, omissions or discrepancies to the City for clarification prior to the submission of my proposal. Proposal Item Price - Pricing shall be based on a unit cost for services described in Exhibit A. Fee must be Inclusive of all costs, including but not limited to, direct and indirect costs for labor, overhead, incidental supplies, travel, mileage, and fuel. Any special materials will be purchased by the contractor only after discussed and authorized by the City projects manager or designee In writing. ROUTINE MAINTENANCE PRICING ITEM 131D ITEM DESCRIPTION QUANTITY. UNIT UNIT QUANTITY UNIT PRICE. EXTENDED TOTAL PRICE. # Median Crew -Laborer 30.00 3005000, 1. 2,000 Hours 6 Hour 10,000 $ $ Median Crew -Lead worker "�500 70 000 2. 2,000 Hours 1 Hour 2 000 $Y. $ ROW Crew —Laborer 1209000 3. 2,000 Hours 2 Hour 4,000 $ 30.00 $ 4. ROW Crew - Supervisor 1 Hour 2.000 $ 40.00 $ 803000 Irrigation Technician 78,000 5. (2,000 Hours) 1 Hour 2,000 $ 39.00 $ 6485000 Total Contract Amount Add Lines Ili, V & 1 S. As -Needed Cleaning 1 I Hour 1 2,000 $26.00 $ 52,000 During the process of negotiation between the City of Santa Ana and Landscape West Management Service Inc on June 7th 2019, we have agreed to drop our annual total to $700,000. 25F-52 CVT0AMan1MA0V PI ANT1Mr: LINE DESCRIPTION EXTRAORDINARY PLANTING I. 36' box Tree: standard trunk S 950.00 II. 36' box Tree: multi trunk S 975.00 Ill. 24' box Tree: standard trunk S 495.00 IV. 24' box Tree: multi trunk 550.00 S V 15 nal plant S 95.00 VI. 5 qal plant s 35.00 VII 1 nal plant S 20.00 \rift. 4' Flat of annual color S 35.00 IX Fiat of around color s 30.00 %Vest Minaganent Services, Lie. 0. (714) 9604702 F. (714) 8604705 — 0UMir AMn PA —MI MIR,- R 1234,North Blue Cum Slrect,Anahcltn, Ca 92806 BUS11ESS ADDRESS 36-4750952 C27-9S5245 FEDERAL ID NUMIBER CONTRACTOR LICENSE NUMBER THIS FORM MUST RUM AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. 25F-53 25F-54 0 CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: JULY 2, 2019 TITLE: APPROVED ❑ As Recommended APPROVE AGREEMENT TO APPOINT El [I DAISY GOMEZ AS CLERK OF THE [IOOrrdinance on 13f Reading ❑ Ordinance on 2"e Reading COUNCIL EFFECTIVE JULY 16, 2019 ❑ Implementing Resolution (STRATEGIC PLAN NO. 7) ❑ Set Public Hearing For CONTINUED TO FILE NUMBER CITY MANAGER Approve an employment agreement outlining the terms and conditions of the appointment of Daisy Gomez as the Clerk of the Council for the City of Santa Ana. DISCUSSION City Charter Section 701 authorizes the City Council to appoint a Clerk of the Council. The Clerk of the Council is responsible for preparing City Council documents, postings and agendas, providing information and maintaining official City records, conducting municipal elections, and ensuring compliance with the Brown Act and Political Reform Act in accordance with all applicable federal, state and local laws. Following a recruitment to identify, interview and evaluate candidates, the City Council selected and desires to appoint Daisy Gomez to the position of Clerk of the Council. The proposed Employment Agreement (Exhibit 1) delineates the terms and conditions of the proposed appointment of Ms. Gomez. This Agreement includes the following primary provisions: • Term: This Agreement shall be deemed effective for a term beginning on July 16, 2019 and shall remain in effect unless terminated earlier in accordance with the provisions of this Agreement. Compensation: City agrees to pay Clerk of the Council a base salary commencing on the effective date set at Step 14 of EM-33, currently at $14,075, and payable in installments made in the same manner and at the same times as the salaries of other executive managers of the City. Benefits: Except as expressly provided for in this Agreement (sick leave, vacation, car allowance, 457 deferred compensation), Clerk of the Council shall be entitled to receive the same benefits provided to other Executive Management employees pursuant to Resolution No. 2015-026, as may be amended from time to time by the City Council. These benefits include, but are not limited to: health insurance (medical, dental, vision), holidays, retiree health savings plan, group life and disabilit insurance, and bereavement leave 256-1 Approve Agreement to Appoint Clerk of the Council Page 2 July 2, 2019 • Sick Leave: Upon employment, Clerk of the Council will be provided with a bank of 150 hours of accrued sick leave. Clerk of the Council will accrue eight hours of sick leave per calendar year of service. • Vacation: Upon employment, Clerk of the Council will be provided with a bank of 200 hours of vacation leave. Clerk of the Council will accrue vacation at the rate of a five-year employee and shall accumulate regular and management vacation hours in the same manner as City Executive Management. • CaIPERS Membership: As a Classic member of CalPERS, Clerk of the Council will be enrolled in the 2.7% at age 55 benefit formula and shall be responsible for paying eight percent of CalPERS reportable compensation toward the employer cost of the 2.7% at 55 enhanced retirement formula. • Life Insurance: Clerk of the Council will receive life insurance in the amount of three times the Clerk of the Council's annual salary not to exceed a maximum of three hundred thousand dollars. • Deferred Compensation: Clerk of the Council will receive deferred compensation pursuant to the City's 457 plan in the amount of $10,000 a year. • Relocation Expenses: Clerk of the Council will be provided reimbursement for the actual costs required to relocate to Orange County i.e., moving expenses, not to exceed the sum of $5,000. • Car Allowance: Clerk of Council shall be provided the same car allowance as unrepresented Executive Management employees of the City. Currently this amount is $6,000 annually. • Severance Pay: If the Employment Agreement is terminated by a vote of the City Council, change in form of government, or reduction of salary or benefits, the Clerk of Council will receive, a severance payment, in a lump sum, equal to nine months of the Clerk of Council's then monthly CalPERS reportable income plus the value of all City provided pension and medical benefits. The above provides a summary of the primary provisions of the Employment Agreement for the Clerk of the Council. A complete description is available in the Clerk of the Council Employment Agreement (Exhibit 1). STRATEGIC PLAN ALIGNMENT Approval of this appointment will support the City's effort in meeting Goal #7, Develop a culture of motivated and innovative leaders in the organization. 25G-2 Approve Agreement to Appoint Clerk of the Council Page 3 July 2, 2019 FISCAL IMPACT If the City Clerk candidate begins employment with the City on July 16, 2019, the estimated cost of the Agreement for Fiscal Year 2019-20 is $227,833 (Exhibit 2); a spreadsheet detailing the estimated costs is attached to this report. The Agreern nt will be paid from the 61000 series of accounts in the City Clerk Accounting Unit 01107031. APPROVED AS TO FUNDS AND ACCOUNTS: Steven- . P a n V Kathryn DdWns Executive DkVctor Executive Director Human Resources Department Finance & Management Services Agency Exhibits: 1. City Clerk Employment Agreement 2. Estimated Cost of Proposed City Clerk Agreement 25G-3 25G-4 Exhibit 1 CITY OF SANTA ANA CLERK OF THE COUNCIL EMPLOYMENT AGREEMENT This Cleric of the Council Employment Agreement ("Agreement") is entered into as of the 2nd day of July, 2019 (the "Effective Date"), between the City of Santa Ana (hereinafter referred to as the "City") and Daisy Gomez (hereinafter referred to as the "Clerk of the Council" or the 'Employee"). City and Clerk of the Council/Employee are sometimes referred to in this Agreement as "Party" and collectively as "Parties." RECITALS WHEREAS, the City Council of the City desires to appoint and employ Employee as Clerk of Council pursuant to the Charter of the City of Santa Ana ("City Charter"), and WHEREAS, the Employee desires to accept the appointment as the Clerk of Council, for the City, and WHEREAS, it is the desire of the City Council and Employee to set forth certain benefits, establish certain conditions of employment and to set certain working conditions of the Cleric of Council in an Employment Agreement. NOW, THEREFORE, the above named Parties hereby mutually agree and promise as follows: 1. Term. This Agreement shall be deemed effective for a term beginning on July 16, 2019, and shall remain in effect, unless terminated in accordance with the provisions of this Agreement. 2. Compensation. 2.1 Sal (a) City agrees to pay Clerk of the Council, and Clerk of the Council agrees to accept from City, as compensation for services rendered by Clerk of the Council pursuant to this Agreement, an annual base salary, commencing on July 16, 2019, set at Step 14 of EM-33 and payable in installment payments in the same manner and at the same times as the salaries of other executive managers of the City are paid. (b) In the event that the City Council approves cost of living adjustment or salary increase for a majority of City Executive Management, the City Council agrees to provide the same percentage cost of living adjustment or salary increase to the Clerk of Council effective on the date 25G-5 that the majority of City Executive Management receive the cost of living adjustment or salary increase. 2.2 Benefits 2.2.1 Employee Benefits Except as expressly provided for in this Agreement (sick leave, vacation, car allowance, 457 deferred compensation), Clerk of Council shall be entitled to receive the same benefits provided to other Executive Management employees pursuant to Resolution No. 2015-026, as may be amended from time to time by the City Council. These benefits include, but are not limited, to health insurance (medical, dental, vision), holidays, retiree health savings plan, group life and disability insurance, and bereavement leave. 2.2.2 Sick Leave Accrual Clerk of Council will accrue 8 hours of sick leave per calendar month of service. 2.2.3. Sick Leave Bank Upon employment, Cleric of Council will be provided with a bank of 150 hours of accrued sick leave. 2.2.4 Vacation Allowance Upon employment with City, Clerk of Council shall be awarded a bank of 200 hours of vacation leave and shall commence employment accruing vacation at the rate of a five (5) year employee. Clerk of Council shall accumulate regular and management vacation hours in the same manner as City executive managers. 2.2.5 CalPERS Membership As a classic member under CalPERS, Clerk of Council will be enrolled in the 2.7% at age 55 benefit formula and shall be responsible for paying eight percent (8%) of CalPERS reportable compensation toward the employer cost of the 2.7% at 55 enhanced retirement formula, This payment is implemented as cost sharing pursuant to Government Code section 20516(f). 2.2.6 Life Insurance City will purchase life insurance for Clerk of Council in the amount of three times the Clerk of Council's annual salary not to exceed a maximum of three hundred thousand dollars ($300,000). 2.2.7 Deferred Compensation Cleric of Council shall receive deferred compensation pursuant to the City's 457 plan in the amount of $10,000 a year. 25G-6 2.2.8 Relocation Expenses Clerk of Council shall be provided reimbursement for the actual costs required to relocate to Orange County, i.e, moving expenses, not to exceed the sum of five thousand dollars ($5,000), 3. Performance Evaluation. The Mayor and the City Council are responsible for setting performance goals on an annual basis in consultation with the Clerk of the Council. The City Council shall review and discuss Cleric of the Council's performance in or around July of each year commencing in 2020. Within the first 45 days of appointment, members of the Council will meet with the Clerk of the Council to provide and agree to preliminary Department goals, objectives, and priorities, The results of these meetings shall provide a roadmap towards the Clerk of the Council annual performance evaluation commencing in or around July of each year commencing in 2020. However, Employee acknowledges and accepts the fact that the City Council as Employer has the right to schedule and an evaluation session at any time in accordance with the notice and all other requirements of the Brown Act, 3.1 Management Performance Based Evaluation System City shall establish for the Clerk of the Council a management performance -based evaluation system, same as unrepresented Executive Management (EM), the provisions of which are set forth in Resolution No. 2015-026 and as amended from time -to -time. 4. Bonds. City shall bear the full cost of any fidelity or other bonds required of Clerk of the Council under any law or ordinance. 5. Transportation and General Business Expenses. 5.1. Car Allowance City shall provide Cleric of the Council with the same car allowance as unrepresented executive management employees of the City. 5.2 General Business Expenses A. City agrees to budget and pay for professional dues and subscriptions for Clerk of the Council necessary for her continuation and participation in national, regional, state and local boards, task -forces, conferences and meetings, associations and organizations desirable for Clerk of the Council's continued participation, professional growth, and advancement, and for the benefit of the City. B. City agrees to budget and pay for travel and subsistence expenses of Clerk of the Council for professional and official travel, board and task -force meetings, and occasions to 25G-7 adequately continue the professional development of Cleric of the Council and to pursue necessary official functions for City. C. City shall provide Cleric of the Council with the necessary technology tools, including and not limited to computer, software, cell phone and such other technologies as required by Clerk of the Council to perform her duties and to maintain communications. D. City agrees to conduct a workload and staffing study to determine optimal and cost-effective staffing levels that support Cleric of the Council's programs directed by the City Council and duties mandated by federal, state, and local laws. The aim of this review is intended to provide the city and public with timely, efficient, and professional services on a regular basis. 6. Abuse of Office or Position. Pursuant to Government Code Sections 53243, 53243.1 and 53243.2, which became effective on January 1, 20 t2, if Clerk of the Council is convicted of a crime involving an abuse of her office or position, all of the following shall apply: (1) if Clerk of the Council is provided with administrative leave pay pending an investigation, Cleric of the Council shall be required to My reimburse City such amounts paid.; (2) if City pays for the criminal legal defense of Clerk of the Council (which would be in its sole discretion, as it is generally not obligated to pay for a criminal defense), Clerk of the Council shall be required to fully reimburse City such amounts paid; and (3) if this Agreement is terminated, any Severance Pay and Severance Benefits related to the termination that Clerk of the Council may receive from City shall be fully reimbursed to City or void if not yet paid to Clerk of the Council. For purposes of this Section, abuse of office or position means either: (1) an abuse of public authority, including waste, fraud, and violation of the law under color of authority; or (2) a crime against public justice, including, but not limited to, a, crime described in Title 5, Title 6, or Title 7 (commencing with Section 92) of Part I of the Penal Code. 7. Notices. Any notice required or permitted by this Agreement shall be in writing and shall be personally served upon the other Party, or sent by United States Postal Service, postage prepaid and addressed to the appropriate Party as follows: If to City: City Attorney City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92702 If to Clerk of the Council: Daisy Gomez Cleric of the Council City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92702 Notice shall be deemed given as of the date of personal service or upon the date of deposit in the course of transmission with the United States Postal Service. 25G-8 8. Duties, Acceptance of Appointment, Hours of Work, Regional Liaison. 8.1 Duties City hereby agrees to employ Employee as Clerk of the Council of the City of Santa Ana to perform the functions and dudes specified in the City Charter of the City of Santa Ana, and to perform such other legally permissible duties and functions as the City Council may from time to time assign. 8.2 Hours of Work It is recognized that Cleric of the Council devotes a great deal of time outside the normal City Hall office -hours schedule, and to that end, he shall be allowed to establish her work schedule, taking into consideration that she is responsible for the supervision of employees and has responsibilities to serve all departments of the City. 9. Termination. 9.1 At -Will Employee Employee shall serve at the will and pleasure of the City Council. Nothing in this Agreement shall prevent, limit or otherwise interfere with the right of the City Council to suspend from duty, remove from office or otherwise terminate the services of Clerk of the Council at any time, at the sole discretion of the City Council, as provided in the City Charter. This Agreement may be terminated as follows. 9.2 Termination - Council Vote As required in Section 701 of the Charter, the City Council may remove the Clerk of the Council by motion adopted by the affirmative votes of at least two-thirds (2/3) of the members of the City Council. 9.3 Termination - Change in Form of Government If any of the governing policies pertaining to the role, power, duties, authority, or responsibilities of the Cleric of the Council are amended to substantially change the Clerk's role, power, duties, authority or responsibilities as the same exist at the time of the commencement of this Agreement, either by action of the City Council, a duly passed initiative measure or state legislation, Clerk of the Council shall have the right to terminate this Agreement. 9.4 Reduction of Salary or Benefits If the City Council reduces the Annual Base Salary or any other financial benefit of the Clerk of the Council in a percentage that is greater than the average reduction of base salary or any other financial benefit for all executive managers of the City, the Clerk of the Council may treat such action as a termination of this Agreement. 25G-9 9.5 Resignation Cleric of the Council may voluntarily resign her position as Clerk of the Council, after giving City at least sixty (60) days written notice prior to the effective date of such resignation, unless such notice is waived in whole or part by the City Council. 9.6 Severance Pay In the event this Agreement is terminated pursuant to any one of sections 9.2, 9.3 or 94 of this Agreement, the Clerk of the Council shall receive a severance payment, in a lump sum, equal to nine (9) months of the Clerk of the Council's then monthly CaIPERS reportable income, plus the value of all City provided pension and medical benefits. Said lump sum shall be payable on the last day of employee's employment. In lieu of receiving the cash equivalent of medical insurance benefits, Clerk of the Council may elect continuing medical insurance benefits from the City for a period of six months from and after the last day of employment. This Severance Pay payment shall be the sole remedy for termination under sections 9.2, 9.3 or 9.4 of this Agreement. The Severance Pay shall only be paid after the Clerk of the Council executes a waiver and release of claims agreement prepared by the City Attorney in a form substantially similar to that one set forth as Exhibit "A" to this Agreement. Notwithstanding the foregoing, if the Clerk of the Council is terminated for Cause, then Clerk of the Council shall not receive any form of severance and the provisions of Section 9.6 shall not apply. 1.0. General Provisions. 10.1 This writing constitutes the entire agreement between the parties with respect to the subject matter hereof, and supersedes all prior oral or written representations or written agreements on the subject matter hereof, which may have been entered into between the parties. No modification or revision to this Agreement shall be of any force or effect, unless the same is in writing and executed by the Parties hereto. 10.2 Each Party agrees and acknowledges that no representations, inducements, promises, or agreements, oral or otherwise, have been made by any Party, or anyone acting on behalf of any Party, which are not embodied herein and that any agreement, statement, or promise not contained in this Agreement shall not be valid or binding on either Party. 103 If any provision, or portion thereof, contained in the Agreement is held unconstitutional, invalid or unenforceable, the remainder of this Agreement, or portion thereof, shall be deemed severable, shall not be affected and shall remain in full force and effect. 10.4 This Agreement shall be governed by and construed in accordance with the law of the State of California. 10.5 This Agreement shall be construed as a whole, according to its fair meaning, and not in favor or against any Party. By way of example and not in limitation, this Agreement shall not be construed in favor of the Party receiving a benefit nor against the Party responsible for any particular 25G-10 language in this Agreement. 10.6 Employee acknowledges that she has had an opportunity to consult legal counsel in regard to this Agreement, that she has read and understands this Agreement, that she is fully aware of its legal effect, and that she has entered into it freely and voluntarily and based on her own judgment and not on any representations or promises other than those contained in this Agreement. 11. Communications in the Event of Termination 11.1 In the event the City terminates Employee for any reason or no reason, the City and Employee agree that no member of the City Council shall make any written, oral, or electronic statement to any member of the public, the press, or any city employee concerning the basis for the Employee's termination except in the form of a joint press release or statement, which is mutually agreeable to the City and the Employee. The joint press release or statement shall not contain any text or information that is disparaging to either Party. Either Party may verbally repeat the substance of the joint press release or statement in response to any inquiry. 12. Indemnification 12.1 City shall defend, hold harmless and indemnify Clerk of the Council against any tort, professional liability claim or demand or other legal action, whether groundless or otherwise, arising out of any alleged act or omission by the Clerk occurring in the course and scope of Clerk of the Council's duties or resulting from the exercise of her judgment or discretion in connection with the performance of her duties, unless the act or omission involved unlawful conduct. City shall not unreasonably refuse to provide for legal representation at City's expense. Legal representation, provided by City for Clerk of the Council, shall extend until a final determination of the legal action. Indemnification shall include any and all losses, damages, judgments, interests, settlements, fines, court costs, and the reasonable costs and expenses of legal proceedings, including appeals, and including attorneys' fees, and expert witness fees and all other trial and appellate costs, and other liabilities incurred, imposed upon, or suffered by such Clerk of the Council in connection with or resulting from any claim, action, suit, or proceeding, actual or threatened, arising out of or in connection with the performance of Cleric of the Council's duties. 12.2 City agrees to pay all reasonable litigation expenses of Clerk of the Council throughout pendency of any City -related litigation to which Clerk of the Council is a party, witness or advisor to the City. Such expense payments shall continue beyond Clerk of the Council's employment with the City as long as litigation is pending. Post -employment, City agrees to pay Clerk of the Council for reasonable consulting fees, travel expenses and other costs, when Clerk of the Council serves as a witness, advisor or consultant to City regarding pending litigation. [Signatures follow on the next page] 25G-11 IN WITNESS WHEREOF, the Parties have executed this Clerk of Council Employment Agreement as of 2nd day of July, 2019. EMPLOYEEICLERK OF COUNCIL Daisy Gomez CITY OF SANTA ANA Miguel A. Pulido Mayor ATTEST: Norma Mitre Acting City Clerk APPROVED AS TO FORM: Sonia R. Carvalho, Best, Best & Krieger City Attorney 25G-12 Exhibit "A" WAIVER AND RELEASE I, the undersigned, do hereby acknowledge and attest that I have read and understood section 9.6 of my Employment Agreement with the City of Santa Ana and hereby agree that by accepting nine (9) months' Severance Pay in the amount of $ [9 x current monthly compensation], I agree to waive all rights to further claims, remedies, or legal action against the City, its officers and employees. In exchange for receipt of the Severance Pay payment, I and my representatives, heirs, successors, and assigns do hereby completely release and forever discharge the City of Santa Ana and its related entities and their present and former officers, directors, council members, agents, employees, attorneys, and successors (collectively, "Released Parties") from all claims, rights, demands, actions, obligations, liabilities, and causes of action of every kind and character, known or unknown, mature or unmatured, which I may have now or in the future arising from any act or omission or condition occurring on or prior to the date this waiver is signed whether based on tort, contract (express or implied), or any federal, state, or local law, statute, or regulation (collectively, the "Released Claims"). Released Claims shall also include, but not be limited to, claims for wages or other compensation due, severance pay, bonuses, sick leave, vacation pay, life or health insurance, or any other fringe benefit. Employee knowingly and voluntarily waives any and all rights or benefits that she may now have, or in the future may have, under the terms of Section 1542 of the California Civil Code, which provides as follows: A GENERAL RELEASE DOES NOT EXTEND TO CLAIMS WHICH THE CREDITOR DOES NOT KNOW OR SUSPECT TO EXIST IN HIS OR HER FAVOR AT THE TIME OF EXECUTING THE RELEASE, WHICH IF KNOWN BY HIM OR HER MUST HAVE MATERIALLY AFFECTED HIS SETTLEMENT WITH THE DEBTOR. By initialing below, the Employee acknowledges that she has read and understands this waiver and voluntarily and knowingly is waiving her right under Section 1542 to pursue unknown or unanticipated claims, rights, demands, actions, obligations, liabilities and causes of action of any kind. Initials of Employee:ID 61 Employee shall not file any claim, sue or initiate, against any Released Party, any compliance review, action, or proceeding, or participate in the same, individually or as a member of a class, under any contract (express or implied), or any federal, state, or local law, statute, or regulation pertaining in any manner to the Released Claims. Approved and Agreed to By: (Name) (Date) 25G-13 25G-14 EXHIBIT 2 Estimated Cost of Proposed City Clerks Agreement FY 19-20 Description Annual Rates Base Salary 168,900 Deferred Compensation 10,000 CalPERS Retirement Cost (PEPRA) 18,544 Medical/Dental Max 22,400 LTD/Life Insurance 684 Workers Compensation 8,675 Medicare 2,536 Auto Allowance 6.000 Total Annual Compensation $ 237,739 Monthly Rate $ 19,812 July 2019-June 2020 $ 227,833* 25G-15 25G-16 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: JULY 2, 2019 APPROVED TITLE: RESOLUTION APPROVING THE WATER ❑ As Recommended SUPPLY ASSESSMENT FOR THE ELAN ❑ As Amended ❑ Ordinance on 1� Reading MIXED -USE PROJECT LOCATED AT 1660 ❑ Ordinance on 2nd Reading EAST FIRST STREET ❑ Implementing Resolution (STRATEGIC PLAN NOS. 3, 3 AND 5, 2) ❑ Set Public Hearing For CONTINUED TO FILE NUMBER CITY MANA ER RECOMMENDED ACTION Adopt a resolution approving the Water Supply Assessment for the proposed Elan Mixed -Use Project located at 1660 East First Street. PLANNING COMMISSION ACTIONS Approved Site Plan Review No. 2018-02 as conditioned by staff by a vote of 4-0 (Alderete, Contreras -Leo. and Revna absent) at its meeting of October 22, 2018. DISCUSSION In June 2016, the City of Santa Ana filed its 2015 Urban Water Management Plan (UWMP) (Exhibit 1) with the California Department of Water Resources in accordance with California Water Code Section 10610, et seq., which requires UWMPs be filed every five years. The UWMP, among its several functions, estimates water supply sufficiency by forecasting the City's water supply capacity and anticipated consumer water demand to ensure that available water supply will meet or exceed demand. UWMPs are point -in -time estimates that, by their nature, cannot fully capture future effects of large changes not yet known at the time the plan is developed. For this reason, California Water Code Section 10910 requires large projects be reviewed individually for water supply sufficiency via a Water Supply Assessment. The City must concur that adequate water supply exists for residential development projects consisting of 500 or more dwelling units before development may proceed. The vacant site located at 1660 E. First Street is approved for development as a mixed -use project, including 603 residential dwelling units, and, therefore, requires a Water Supply Assessment (Exhibit 2). Staff has reviewed the project's Water Supply Assessment and has concluded that the 55A-1 Resolution Approving Water Supply Assessment for the Elan Mixed -Use Project Located at 1660 E. First Street July 2, 2019 Page 2 City has, adequate supply to service the project upon completion and recommends that Council adopt a resolution approving this assessment (Exhibit 2). This is the second Water Supply Assessment brought for Council's specific review and consideration since the completion of the UWMP. City staff will evaluate future Water Supply Assessments by adjusting the demand projections of the UWMP for the anticipated demand of this project to determine the unutilized water supply available for additional development. When the future revised 2020 UWMP is filed again, any current or projected water demand from this project will be incorporated in the new baseline consumer water demand projections. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #3 — Economic Development Objective #3 (promote a solutions -based customer focus in all efforts to facilitate development and investment in the community); and, Goal #5 — Community Health, Livability, Engagement & Sustainability, Objective #2 (expand opportunities for conservation and environmental sustainability). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT There is no fiscal impact associated with this action Fuad Siss, PE, PL, Executi4 Director Public rks Agency FS/NS/RR Exhibits: 1. City of Santa Ana 2015 Urban Water Management Plan 2. Resolution Approving Water Supply Assessment for the Elan Project 55A-2 00 ARCAD IS I Oe,=,,.'onsultaaq for�utualand huiQassets 2015 URBAN WATER MANAGEMENT PLAN 2015 URBAN WATER MANAGEMENT PLAN =m V ho 79 19 S 31 l Sarina Sriboonlue, P.E. Staff Environmental Engineer 2015 URBAN WATER MANAGEMENT PLAN City of Santa Ana Prepared for: City of Santa Ana Public Works Agency Water Resources Division 20 Civic Center Plaza Santa Ana, CA 92701 Prepared by: Arcadis U.S., Inc. 445 South Figueroa Street Suite 3650 Los Angeles California 90071 Tel 213 486 9884 Fax 213 486 9894 Our Ref.: 4109039.0000 Date: June 2016 arcadis.com E55AT '�4 2015 URBAN WATER MANAGEMENT PLAN CONTENTS Acronymsand Abbreviations....................................................................................................................... vii 1 Introduction..........................................................................................................................................1-1 1.1 Urban Water Management Plan Requirements...........................................................................1-1 1.2 Agency Overview.........................................................................................................................1-3 1.3 Service Area and Facilities..........................................................................................................1-6 1.3.1 City of Santa Ana Service Area........................................................................................1-6 1.3.2 City of Santa Ana Water Facilities....................................................................................1-7 2 Demands..............................................................................................................................................2-1 2.1 Overview......................................................................................................................................2-1 2.2 Factors Affecting Demand...........................................................................................................2-1 2.2.1 Climate Characteristics....................................................................................................2-1 2.2.2 Demographics..................................................................................................................2-2 2.2.3 Land Use..........................................................................................................................2-2 2.3 Water Use by Customer Type.....................................................................................................2-2 2.3.1 Overview...........................................................................................................................2-3 2.3.2 Non-Residential................................................................................................................2-3 2.3.3 Sales to Other Agencies...................................................................................................2-4 2.3.4 Non -Revenue Water.........................................................................................................2-4 2.3.4.1 AWWA Water Audit Methodology...........................................................................2-4 2.4 Demand Projections.....................................................................................................................2-6 2.4.1 Demand Projection Methodology.....................................................................................2-6 2.4.2 Agency Refinement..........................................................................................................2-7 2.4.3 25 Year Projections..........................................................................................................2-7 2.4.4 Total Water Demand Projections.....................................................................................2-8 2.4.5 Water Use for Lower Income Households.......................................................................2-8 2.5 SBx7-7 Requirements................................................................................................................2-10 2.5.1 Baseline Water Use........................................................................................................2-10 2.5.1.1 Ten to 15-Year Baseline Period (Baseline GPCD)...............................................2-11 2.5.1.2 Five -Year Baseline Period (Target Confirmation)................................................2-11 amadis.mm 9VA5d i 2015 URBAN WATER MANAGEMENT PLAN 2.5.1.3 Service Area Population.......................................................................................2-11 2.5.2 SBx7-7 Water Use Targets............................................................................................2-12 2.5.2.1 SBx7-7 Target Methods........................................................................................2-12 2.5.2.2 2015 and 2020 Targets........................................................................................2-12 2.5.3 Regional Alliance.......................................................... .................................................. 2-13 3 Water Sources and Supply Reliability..................................................................................................3-1 3.1 Overview ............... ....................................................................................................................... 3-1 3.2 Imported Water............................................................................................................................3-2 3.2.1 Colorado River Supplies...................................................................................................3-2 3.2.2 State Water Project Supplies .......... ........... ...................................................................... 3-4 3.2.3 Storage.............................................................................................................................3-8 3.3 Groundwater................................................................................................................................3-8 3.3.1 Basin Characteristics........................................................................................................3-8 3.3.2 Basin Production Percentage.........................................................................................3-10 3.3.2.1 2015 OCWD Groundwater Management Plan.....................................................3-10 3.3.2.2 OCWD Engineer's Report ....................................................................................3-11 3.3.3 Groundwater Recharge Facilities...................................................................................3-12 3.3.4 Metropolitan Groundwater Replenishment Program ...................................... ................ 3-12 3.3.5 Metropolitan Conjunctive Use Program.........................................................................3-13 3.3.6 Groundwater Historical Extraction..................................................................................3-13 3.3.7 Overdraft Conditions ............................................. .......................................................... 3-13 3.4 Summary of Existing and Planned Sources of Water................................................................3-13 3.5 Recycled Water................... ....................................................................................................... 3-16 3.6 Supply Reliability........................................................................................................................3-16 3.6.1 Overview.........................................................................................................................3-16 3.6.2 Factors Impacting Reliability ......................................... ................................................. 3-16 3.6.2.1 Environment..........................................................................................................3-16 3.6.2.2 Legal.....................................................................................................................3-16 3.6.2.3 Water Quality........................................................................................................3-17 3.6.2.3.1 Imported Water...........................................................................................3-17 3.6.2.3.2 Groundwater...............................................................................................3-17 arcadis.com ET t 2015 URBAN WATER MANAGEMENT PLAN 3.6.2.4 Climate Change....................................................................................................3-19 3.6.3 Normal -Year Reliability Comparison..............................................................................3-19 3.6.4 Single -Dry Year Reliability Comparison.........................................................................3-20 3.6.5 Multiple -Dry Year Period Reliability Comparison...........................................................3-20 3.7 Supply and Demand Assessment..............................................................................................3-21 4 Demand Management Measures.........................................................................................................4-1 4.1 Water Waste Prevention Ordinances..........................................................................................4-1 4.2 Metering.......................................................................................................................................4-2 4.3 Conservation Pricing....................................................................................................................4-3 4.4 Public Education and Outreach...................................................................................................4-3 4.5 Programs to Assess and Manage Distribution System Real Loss..............................................4-5 4.6 Water Conservation Program Coordination and Staffing Support ...............................................4-5 5 Water Shortage Contingency Plan.......................................................................................................5-1 5.1 Overview......................................................................................................................................5-1 5.2 Shortage Actions..........................................................................................................................5-1 5.2.1 Metropolitan Water Surplus and Drought Management Plan..........................................5-1 5.2.2 Metropolitan Water Supply Allocation Plan......................................................................5-3 5.2.3 City of Santa Ana..............................................................................................................5-4 5.3 Three -Year Minimum Water Supply............................................................................................5-5 5.4 Catastrophic Supply Interruption.................................................................................................5-5 5.4.1 Metropolitan......................................................................................................................5-5 5.4.2 Water Emergency Response of Orange County..............................................................5-6 5.4.3 City of Santa Ana..............................................................................................................5-6 5.5 Prohibitions, Penalties and Consumption Reduction Methods....................................................5-7 5.5.1 Prohibitions.......................................................................................................................5-7 5.5.2 Penalties.........................................................................................................................5-11 5.5.3 Consumption Reduction Methods..................................................................................5-11 5.6 Impacts to Revenue...................................................................................................................5-12 5.7 Reduction Measuring Mechanism.............................................................................................5-14 6 Recycled Water....................................................................................................................................6-1 6.1 Agency Coordination...................................................................................................................6-1 amadis.com81�1 iii 2015 URBAN WATER MANAGEMENT PLAN 6.1.1 OCWD Green Acres Project.............................................................................................6-1 6.1.2 OCWD Groundwater Replenishment System..................................................................6-1 6.2 Wastewater Description and Disposal.........................................................................................6-2 6.3 Current Recycled Water Uses.....................................................................................................6-4 6.4 Potential Recycled Water Uses...................................................................................................6-6 6.4.1 Direct Non -Potable Reuse................................................................................................6-6 6.4.2 Indirect Potable Reuse.....................................................................................................6-6 6.5 Optimization Plan.........................................................................................................................6-7 7 Future Water Supply Projects and Programs......................................................................................7-1 7.1 Water Management Tools...........................................................................................................7-1 7.2 Transfer or Exchange Opportunities............................................................................................7-1 7.3 Planned Water Supply Projects and Programs...........................................................................7-1 7.4 Desalination Opportunities...........................................................................................................7-1 7.4.1 Groundwater ................................. .......................................... .......................................... 7-2 7.4.2 Ocean Water....................................................................................................................7-2 8 UWMP Adoption Process ....................................................................................................................8-1 8.1 Public Participation.......................................................................................................................8-2 8.2 Agency Coordination .................................... ............................................................................... 8-2 8.3 UWMP Submittal ..........................................................................................................................8-2 8.3.1 Review of 2010 UWMP Implementation...........................................................................8-2 8.3.2 Comparison of 2010 Planned Water Conservation Programs with 2015 Actual Programs8- 3 8.3.3 Filing of 2015 UWMP........................................................................................................8-3 References.................................................................................................................................................84 TABLES Table1-1: Plan Identification......................................................................................................................1-2 Table1-2: Agency Identification.................................................................................................................1-3 Table1-3: Public Water Systems...............................................................................................................1-7 Table 14: Water Supplier Information Exchange......................................................................................1-8 arcadis.com EXWQjT iv 2015 URBAN WATER MANAGEMENT PLAN Table 2-1: Population — Current and Projected..........................................................................................2-2 Table 2-2: Demands for Potable and Raw Water - Actual (AF).................................................................2-3 Table 2-3: Water Loss Audit Summary (AF)..............................................................................................2-6 Table 24: Demands for Potable and Raw Water - Projected(AF)............................................................2-7 Table 2-5: Inclusion in Water Use Projections...........................................................................................2-8 Table 2-6: Total Water Demands(AF).......................................................................................................2-8 Table 2-7: Household Distribution Based on Median Household Income..................................................2-9 Table 2-8: Projected Water Demands for Housing Needed for Low Income Households (AF)...............2-10 Table 2-9: Baselines and Targets Summary ............................................................................................2-13 Table2-10: 2015 Compliance..................................................................................................................2-13 Table 3-1: Metropolitan Colorado River Aqueduct Program Capabilities..................................................3-6 Table 3-2: Groundwater Volume Pumped(AF)........................................................................................3-13 Table 3-3: Water Supplies, Actual(AF)....................................................................................................3-14 Table 34: Water Supplies, Projected(AF)...............................................................................................3-15 Table 3-5: Basis of Water Year Data........................................................................................................3-21 Table 3-6: Normal Year Supply and Demand Comparison(AF)..............................................................3-21 Table 3-7: Single Dry Year Supply and Demand Comparison(AF).........................................................3-22 Table 3-8: Multiple Dry Years Supply and Demand Comparison (AF)....................................................3-22 Table4-1: Water Waste Prohibition...........................................................................................................4-2 Table 4-2: Water Rates Effective July 1, 2015...........................................................................................4-3 Table 5-1: Stages of Water Shortage Contingency Plan ............................................. Table 5-2: Minimum Supply Next Three Years (AF).................................................... Table 5-3: Restrictions and Prohibitions on End Uses ................................................. ..........5-5 .............................5-7 Table 5-4: Stages of Water Shortage Contingency Plan - Consumption Reduction Methods.................5-12 Table 5-5: Revenue Impact Analysis ...................... .................................................................................. 5-12 Table 6-1: Wastewater Collected Within Service Area in 2015(AF)..........................................................6-3 Table 6-2: 2010 UWMP Recycled Water Use Projection Compared to 2015 Actual(AF).........................6-5 Table 6-3: 2010 UWMP Recycled Water Use Projection Compared to 2015 Actual(AF).........................6-6 Table 8-1: External Coordination and Outreach.........................................................................................8-1 Table 8.2: Notification to Cities and Counties ....... .............8-2 arcadis.com MY v 2015 URBAN WATER MANAGEMENT PLAN FIGURES Figure 1-1: Regional Location of Urban Water Supplier............................................................................1-5 Figure 1-2: City of Santa Ana Service Area...............................................................................................1-6 Figure 3-1: Water Supply Sources in the City(AF)....................................................................................3-1 Figure 3-2: Map of the Orange County Groundwater Basin and its Major Aquifer Systems .....................3-9 Figure 5-1: Resource Stages, Anticipated Actions, and Supply Declarations...........................................5-2 APPENDICES A UWMP Checklist B Standardized Tables C Groundwater Management Plan D City Ordinance E Notification of Public and Service Area Suppliers F Adopted UWMP Resolution G Bump Methodology H AWWA Water Loss Audit Worksheet I Water Use Efficiency Implementation Report amadis.com = T1 O VI 2015 URBAN WATER MANAGEMENT PLAN ACRONYMS AND ABBREVIATIONS 20x2020 20% water use reduction in GPCD by year 2020 Act Urban Water Management Planning Act AF Acre -Feet AFY Acre -Feet per Year AMI Advanced Metering Infrastructure AWWA American Water Works Association BEA Basin Equity Assessment Biops Biological Opinions BMP Best Management Practice BPP Basin Production Percentage CARL Current Annual Real Losses CCC California Coastal Commission CDR Center for Demographic Research CEC Constituents of Emerging Concern CII Commercial/Industrial/institutional City City of Santa Ana CRA Colorado River Aqueduct CUP Conjunctive Use Program CVP Central Valley Project Delta Sacramento -San Joaquin River Delta DMM Demand Management Measure DOF Department of Finance DWR Department of Water Resources EIR Environmental Impact Report EOC Emergency Operation Center ERP Emergency Response Plan FY Fiscal Year GAP Green Acres Project GCM General Circulation Model GPCD Gallons per Capita per Day GPM Gallons per Minute GWRS Groundwater Replenishment System H2O2 Hydrogen Peroxide HCF Hundred Cubic Feet ILI Infrastructure Leakage Index IPR Indirect Potable Reuse IRP Integrated Water Resource Plan IWA International Water Association LBCWD Laguna Beach County Water District aBj4 i vii rcadis.com /�► 2015 URBAN WATER MANAGEMENT PLAN LRP Local Resources Program LTFP Long -Term Facilities Plan MAF Million Acre -Feet MARS Member Agency Response System MCL Maximum Contaminant Level MEOC Metropolitan Emergency Operations Center Metropolitan Metropolitan Water District of Southern California MF Microfiltration MGD Million Gallons per Day MHI Median Household Income MTBE Methyl Tertiary Butyl Ether NDMA N-nitrosodimethylamine OC Orange County OC Basin Orange County Groundwater Basin OCWD Orange County Water District Poseidon Poseidon Resources LLC PPCP Pharmaceuticals and Personal Care Product RA Replenishment Assessment RHNA Regional Housing Needs Assessment RO Reverse Osmosis SBx7-7 Senate Bill 7 as part of the Seventh Extraordinary Session SCAB South Coast Air Basin SCAG Southern California Association of Governments SCWD South Coast Water District SDCWA San Diego County Water Authority SDP Seawater Desalination Program Study Colorado River Basin Water Supply and Demand Study SWP State Water Project SWRCB California State Water Resources Control Board TDS Total Dissolved Solids UARL Unavoidable Annual Real Losses USBR United States Bureau of Reclamation UV Ultraviolet UWMP Urban Water Management Plan VOC Volatile Organic Compounds WEROC Water Emergency Response Organization of Orange County WF-21 Water Factory 21 WOC Water Operations Center WSAP Water Supply Allocation Plan WSDM Water Surplus and Drought Management arcadis.com JJ R Ti 2 viii 2015 URBAN WATER MANAGEMENT PLAN 1 INTRODUCTION 1.1 Urban Water Management Plan Requirements Water Code Sections 10610 through 10656 of the Urban Water Management Planning Act (Act) require every urban water supplier providing water for municipal purposes to more than 3,000 service connections or supplying more than 3,000 acre-feet (AF) of water annually to prepare, adopt, and file an Urban Water Management Plan (UWMP) with the California Department of Water Resources (DWR) every five years in the years ending in zero and five. The 2015 UWMP updates are due to DWR by July 1. 2016. This 2015 UWMP provides a detailed summary of present and future water resources and demands and provides an assessment of the City of Santa Ana's (City) water resource needs. Specifically, the UWMP provides water supply planning for a 25-year planning period in five-year increments and identifies water supplies needed to meet existing and future demands. The demand analysis must identify supply reliability under three hydrologic conditions: a normal year, a single -dry year, and multiple -dry years. The City's 2015 UWMP updates the 2010 UWMP in compliance with the requirements of the Act as amended in 2009, and includes a discussion of: • Water Service Area and Facilities • Water Sources and Supplies • Water Use by Customer Type • Demand Management Measures • Water Supply Reliability • Planned Water Supply Projects and Programs • Water Shortage Contingency Plan Recycled Water Use Since the original Act's passage in 1983, several amendments have been added. The most recent changes affecting the 2015 UWMP include Senate Bill 7 as part of the Seventh Extraordinary Session (SBx7-7) and SB 1087. SBx7-7, or the Water Conservation Act of 2009, is part of the Delta Action Plan that stemmed from the Governor's goal to achieve a 20 percent statewide reduction in urban per capita water use by 2020 (20x2020). Reduction in water use is an important part of this plan that aims to sustainably manage the Bay Delta and reduce conflicts between environmental conservation and water supply; it is detailed in Section 3.2.2. SBx7-7 requires each urban retail water supplier to develop urban water use targets to achieve the 20x2020 goal and the interim ten percent goal by 2015. Each urban retail water supplier must include in its 2015 UWMPs the following information from its target -setting process: • Baseline daily per capita water use 2020 Urban water use target arcadis.wm &MU 1-1 2015 URBAN WATER MANAGEMENT PLAN • 2015 Interim water use target compliance • Compliance method being used along with calculation method and support data • An implementation plan to meet the targets The other recent amendment, made to the UWMP on September 19, 2014, is set forth by SB 1420, Distribution System Water Losses. SB 1420 requires water purveyors to quantify distribution system losses for the most recent 12-month period available. The water loss quantification is based on the water system balance methodology developed by the American Water Works Association (AW WA). The sections in this UWMP correspond to the outline of the Act, specifically Article 2, Contents of Plans, Sections 10631, 10632, and 10633. The sequence used for the required information, however, differs slightly in order to present information in a manner reflecting the unique characteristics of the City's water utility. The UWMP Checklist has been completed, which identifies the location of Act requirements in this Plan and is included in Appendix A. This is an individual UWMP for a retail agency, as shown in Tables 1- 1 and 1-2. Table 1-2 also indicates the units that will be used throughout this document. Table 1.1: Plan Identification IdentificationPlan S e Only;, Z,t € �T eioflPlan ril " VP Name of)RUWMP o Regional Alliances Individual UWMP Water Supplier is also a member of El a RUWMP Water Supplier is also a member of a Regional Alliance Orange County 20x2020 Regional Alliance Regional Urban Water Management Plan ❑ (RUWMP) NOTES: amadis.com '90' XT 14 1-2 2015 URBAN WATER MANAGEMENT PLAN Table 1-2: Agency Identification Agency Identification ,- of Agency ❑ Agency is awholesaler 0 Agency is'a retailer UWMP Tables Are in Calendar Years ❑ UWMP Tables Are in Fiscal Years If Using Fiscal Years Provide Month and Date that the Fiscal Year Begins (mm/dd) 711 Unit cl�!n UWMP AF NOTES: 1.2 Agency Overview The City was, for many years, a ranching community with some farming. To serve this growing agricultural and domestic community, a municipal water system was formed in 1886. The original source of water supply for the City was from shallow irrigation wells. As the City continued to grow and change from agriculture to an urban community, the need for additional sources of water was recognized if economic development were to continue. To tap into water sources from outside the area, the City joined with 12 other southern California cities to form and be an original member agency of the Metropolitan Water District of Southern California (Metropolitan) on February 27, 1931. Metropolitan, as a regional wholesaler, supplies imported water to southern California from the Colorado River and from the State Water Project from Northern California. Metropolitan's primary purpose is to develop, store and distribute water at wholesale rates to its member public agencies for domestic and municipal uses. In 1933, the Orange County Water District (OCWD) was formed by a special act of the State Legislature to manage Orange County's groundwater supply and protection of the County's rights to water in the Santa Ana River. In 1953, the City became a member of OCWD. The City is governed by a non -partisan seven -member City Council, elected to serve staggered four-year terms, except for the Mayor, who serves a two-year term. The City Council appoints the City Manager and various members of commissions, committees, and citizen advisory groups, all of which may weigh in on water management issues and decisions for the City. The current Council members are 1-3 arcadis.com �� 56 5� 2015 URBAN WATER MANAGEMENT PLAN • Miguel Pulido, Mayor • Vicente Sarmiento, Mayor Pro Tern (Ward 1) • Michele Martinez (Ward 2) • Angelica Amezcua (Ward 3) • David Benavides (Ward 4) • Roman A. Reyna (Ward 5) • Sal Tinajero (Ward 6) The City receives its water from two main sources, local well water from the Lower Santa Ana River Groundwater Basin, also known as the Orange County Groundwater Basin (OC Basin), which is managed by OCWD, and imported water from Metropolitan. The City is a member agency of Metropolitan. The City's location is shown on Figure 1-1. arcadis.com E LT 16 1-4 2015 URBAN WATER MANAGEMENT PLAN ba Irye VI Mq iULLERiCW eufw nae . ITa'YN D . �Dw oueen aROu£ Q weannnarea aFK IFIW Na nN WlfFll WI J!RIInt � NNTNOnfNabCN IWMIw WLLfV MVWf RLNCN 04T dh [ Tacs MI Igyy:py l4aVEl raNn uieeuan WIn.�O:�le 1 WItF D�SI.nC� JN JU4V WISMI O OF n orange Candy ware Dl d(wndewM7 V rme.sye and Toewaya A Orrpe Candy Wow Dufid w E O SaueiCoaet_WD_NRWA 5 O W DOC Re WI Apnwiet I1v ONV~WAgency Bounday a MWDOC Service Area and Member Agencies Figure 1-1 Regional Location of Urban Water Supplier u+w.eo cep+o arcadis.com 5 EX L `7 7� 1-5 2015 URBAN WATER MANAGEMENT PLAN 1.3 Service Area and Facilities 1.3.1 City of Santa Ana Service Area The City is in the heart of Orange County and rated eleventh largest in California. The City's Water Utility provides water service within a 27-square mile service area. The service area includes the City of Santa Ana and a small neighborhood in the City of Orange, near Tustin Avenue and Fairhaven by the northeast corner of Santa Ana. A map of the City's service area is shown on Figure 1-2. Citv of Santa An;; 0' GA II 15 lo,n I Figure 1-2: City of Santa Ana Service Area arcadis.com 'W 18 1-6 2015 URBAN WATER MANAGEMENT PLAN 1.3.2 City of Santa Ana Water Facilities The City maintains 444 miles of transmission and distribution mains, nine reservoirs with a storage capacity of 49.3 million gallons, seven pumping stations, 20 wells, and seven import water connections. Thirteen of the City wells pump into surface reservoirs with booster stations pumping the water into the distribution system. The remaining wells pump directly into the City's distribution system. Water pumped from these wells has been naturally filtered as it passes through underlying aquifers of sand, gravel, and soil. This well water only requires disinfectant treatment for system distribution. The City maintains seven imported water connections to receive water through Metropolitan's Orange County and East Orange County Feeder pipelines. Seven metered connections with a total capacity of 60,580 gallons per minute (gpm) transfer water into the City's distribution system. System Pressures — Reducing distribution system pressures will, to a certain degree, conserve water and pumping energy by reducing leaking in water and plumbing systems, as well as reducing waste or water when turning water fixtures on and off. The City continually reviews the pressure zones to determine the feasibility of reducing system pressures by lowering settings on distribution system pressure regulators. The reviews have indicated that potential fire protection requirement deficiencies occur when pressures are reduced. Therefore, the City maintains safe yet efficient system pressures. Peak Demand— Water system demand patterns are a result of climatological, land use, sociological, and institutional factors, all of which affect the amount of water consumed. Reduction in peak demands can reduce the need for construction of new water storage and conveyance facilities and, in certain instances, the development of new water sources. The City's computerized telemetry system allows water system operators to operate the system more efficiently through the ability to stage and prioritize water production facilities usage to meet these ever changing demand patterns. The system connections and total water volume supplied including non -potable are summarized in Table 1-3, and the wholesalers informed of this water use as required are displayed in Table 1-4. Table 1-3: Public Water Systems Public Water System Public Water System Number of Municipal Volume of Number Name Connections2b15 Water Supplied 2015 CA3010038 City of Santa Ana 44,610 37,007 TOTAL 44,610 37,007 NOTES: amadis.com 66vii b 1-7 2015 URBAN WATER MANAGEMENT PLAN Table 1-4: Water Supplier Information Exchange arcadis.com RX110 1-8 2015 URBAN WATER MANAGEMENT PLAN 2 DEMANDS 2.1 Overview Since the last UWMP update, southern California's urban water demand has been largely shaped by the efforts to comply with SBx7-7. This law requires all California retail urban water suppliers serving more than 3,000 acre-feet per year (AFY) or 3,000 service connections to achieve a 20 percent water demand reduction (from a historical baseline) by 2020. The City has been actively engaged in efforts to reduce water use in its service area to meet the 2015 interim 10 percent reduction and the 2020 final water use target. Meeting this target is critical to ensure the City's eligibility to receive future state water grants and loans. In April 2015 Governor Brown issued an Emergency Drought Mandate as a result of one of the most severe droughts in California's history, requiring a collective reduction in statewide urban water use of 25 percent by February 2016, with each agency in the state given a specific reduction target by DWR. In response to the Governor's mandate, the City is carrying out more aggressive conservation efforts. It is also implementing higher (more restrictive) stages of its water conservation ordinance in order to achieve its demand reduction target of 12 percent set for the City. In addition to local water conservation ordinances, the City partnered with Metropolitan on educational programs, indoor retrofits and training. The City has implemented turf removal, an art contest, pole banners, lawn signs, and neighborhood association meetings to promote water conservation, as detailed in Section 4. These efforts have been part of statewide water conservation ordinances that require watering landscape watering, serving water in restaurants and bars, and reducing the amount of laundry cleaned by hotels. Further discussion on the City's water conservation ordinance is covered in Section 5 Water Supplies Contingency Plan. This section analyzes the City's current water demands by customer type, factors that influence those demands, and projections of future water demands for the next 20 years. In addition, to satisfy SBx7-7 requirements, this section provides details of the City's SBx7-7 compliance method selection, baseline water use calculation, and 2015 and 2020 water use targets. 2.2 Factors Affecting Demand Water demands within the City's service area are dependent on many factors such as local climate conditions and the evolving hydrology of the region, demographics, land use characteristics, and economics. In addition to local factors, southern California's imported water sources are also experiencing drought conditions that impact availability of current and future water supplies. 2.2.1 Climate Characteristics The City is located within the South Coast Air Basin (SCAB) that encompasses all of Orange County, and the urban areas of Los Angeles, San Bernardino, and Riverside counties. The SCAB climate is arwdis.wm &MB 2-1 2015 URBAN WATER MANAGEMENT PLAN characterized by southern California's "Mediterranean" climate: a semi -arid environment with mild winters, warm summers and moderate rainfall. Local rainfall has limited impacts on reducing demand for the City. Water that infiltrates into the soil may enter groundwater supplies depending on the local geography. However, due to the large extent of impervious cover in southern California, rainfall runoff quickly flows to a system of concrete storm drains and channels that lead directly to the ocean. OCWD is one agency that has successfully captured stormwater along the Santa Ana River and in recharge basins for years and used it as an additional source of supply for groundwater recharge. The City's imported water supplies from the State Water Project (SWP) and the Colorado River Aqueduct (CRA) are influenced by climate conditions in northern California and the Colorado River Basin, respectively. Both regions have been suffering from multi -year drought conditions with record low precipitation which directly impact water supplies to southern California. 2.2.2 Demographics The City has a 2015 population of 335,299 according to the California State University at Fullerton's Center of Demographics Research (CDR). The City is almost completely built -out, and its population is projected to increase only 0.9 percent by 2040, representing an average growth rate of 0.005 percent every five years. Growth projections have decreased slightly from the 2010 UWMP projections. Vacant land within the City is very limited while existing housing is becoming denser and new residential units are multi -storied. Table 2-1 shows the population projections in five-year increments out to 2040 within the City's service area. Table 2-1: Population — Current and Projected 2.2.3 Land Use The City's service area can best be described as a predominately residential single and multi -family community located in central Orange County. 2.3 Water Use by Customer Type An agency's water consumption can be projected by understanding the type of use and customer type creating the demand. Developing local water use profiles helps to identify quantity of water used as well as when, where, how, and by whom water is used within the agency's service area. A comprehensive arcadis.com RX-22 2-2 2015 URBAN WATER MANAGEMENT PLAN profile of the agency's service area enables the impacts of water conservation efforts to be assessed and to project the future benefit of water conservation programs. The following sections of this UWMP provide an overview of the City's water consumption by customer account type as follows: • Single-family Residential • Multi -family Residential • Commercial • Institutional] Government Other water uses including non -revenue water are also discussed in this section. 2.3.1 Overview There are 44,551 current customer active and inactive service connections in the City's water distribution system with all existing connections metered. Approximately 66.8 percent of the City's potable water demand is residential; commercial, including dedicated landscape, accounts for the remaining 33.2 percent of the total potable demand. Table 2-2 contains a summary of the City's total potable water demand in fiscal year (FY) of 2014-15. Table 2-2: Demands for Potable and Raw Water - Actual (AF) D- Use .Potable .- and Raw Water - Actual Additional Description 2015 'Actual Level of Treatment When Delivered Volume Single Family Drinking Water 14,084 Multi -Family Drinking Water 10,399 Other (CII) Comm/Instit/Indust Drinking Water 12,025 Landscape Large Drinking Water 147 TOTAL 36,656 NOTES: Data retrieved from MWDOC Customer Class Usage Data and FY 2014-2015 Retail Tracking. 2.3.2 Non -Residential Non-residential use includes commercial, industrial, institutional water demands. Institutional water use accounts for 4 percent of total non-residential water demands and commercial accounts for 52.3 percent of total non-residential water demand. The City has a mix of commercial uses (markets, restaurants, etc.), public entities (schools, fire stations and government offices), office complexes, light industrial and warehouses. amadis.com EgrB � � 2-3 2015 URBAN WATER MANAGEMENT PLAN 2.3.3 Sales to Other Agencies The City does not sell water to other agencies although it does maintain emergency interconnections with neighboring cities and water districts. 2.3.4 Non -Revenue Water Non -revenue water is defined by the International Water Association (IWA) as the difference between distribution systems input volume (i.e. production) and billed authorized consumption. Non -revenue water consists of three components: unbilled authorized consumption (e.g. hydrant flushing, firefighting, and blow -off water from well start-ups), real losses (e.g. leakage in mains and service lines, and storage tank overflows), and apparent losses (unauthorized consumption, customer metering inaccuracies and systematic data handling errors). A water loss audit was conducted per AWWA methodology for the City to understand the relationship between water loss, operating costs and revenue losses. This audit was developed by the IWA Water Loss Task Force as a universal methodology that could be applied to any water distribution system. This audit meets the requirements of SB 1420 that was signed into law in September 2014. Understanding and controlling water loss from a distribution system is an effective way for the City to achieve regulatory standards and manage their existing resources. 2.3.4.1 AWWA Water Audit Methodology There are five data categories that are part of the AWWA Water Audit: 1) Water Supplied 2) Authorized Consumption 3) Water Losses 4) System Data and 5) Cost Data. Data was compiled from questionnaires, invoices, meter test results, and discussion with the City. Each data value has a corresponding validation score that evaluates the City's internal processes associated with that data entry. The scoring scale is 1- 10 with 10 representing best practice. The Water Supplied section represents the volume of water the City delivered from its own sources, purchased imported water, or water that was either exported or sold to another agency. Validation scores for each supply source correspond to meter accuracy and how often the meters are calibrated. If the calibration results of supply meters were provided, a weighted average of errors was calculated for master meter adjustment. This adjustment factor was applied to reported supply volumes for meters that were found to register either over or under the true volume. Validity scores for meter adjustment are based on how often the meter is read and what method is used. The Authorized Consumption section breaks down consumption of the volume of Water Supplied. Billed metered water is billed and delivered to customers and makes up the majority of an agency's consumption. Billed unmetered water is water that is delivered to a customer for a set fee but the actual quantity of water is not metered. Customer accounts for this type of use are typically determined by utility policy. Unbilled metered water is the volume used and recorded, but the customer is not charged. This volume is typically used for City facilities per City policy. Unbilled unmetered water is authorized use that is neither billed nor metered which typically includes activities such as firefighting, flushing of water mains and sewers, street cleaning, and fire flow testing. The AWWA Water Audit recommends using the default value of 1.25 percent to represent this use, as calculating an accurate volume is often tedious due to the many different components involved and it represents a small portion of the City's overall use. For each arcadis.com WXL 2 2-4 2015 URBAN WATER MANAGEMENT PLAN consumption type listed above the associated validation score reflects utility policy for customer accounts, frequency of meter testing and replacement, computer -based billing and transition to electronic metering systems. Water Losses are defined as the difference between the volume of water supplied and the volume of authorized consumption. Water losses are further broken down into apparent and real losses. Apparent losses include unauthorized consumption, customer meter inaccuracies and systematic data handling errors. Default percentages were provided for the Audit by AWWA for unauthorized consumption and systematic data handling error as this data is not often available. The corresponding default validation score assigned is 5 out of 10. A discrete validation score was included for customer meter inaccuracies to represent quality of meter testing records, testing procedures for meter accuracy, meter replacement cycles, and inclusion of new meter technology. System Data includes information about the City's physical distribution system and customer accounts. The information included is: length of mains, number of active and inactive service connections, location of customer meters in relation to the property line, and the average operating pressure of the system. The number of service connections is automatically divided by the length of mains to find the service connection density of the system. The calculated service connection density determines which performance indicators best represent a water system's real loss performance. The validity scores in this section relate to the water system's policies and procedures for calculating and documenting the required system data, quality of records kept, integration with an electronic database including GIS and SCADA, and how often this data is verified. The final section is Cost Data and contains three important financial values related to system operation, customer cost and water production. The total annual cost of operating the water system, customer retail unit cost and the variable production cost per AF are included. The customer retail unit value is applied to the apparent losses to determine lost revenue, while the variable production cost is typically applied to real losses. In water systems with scarce water supplies, a case can be made for real losses to be valued at the retail rate, as this volume of water could be sold to additional customers if it were not lost.] Validity scores for these items consider how often audits of the financial data and supporting documents are compiled and if third -party accounting professionals are part of the process. Calculations based on the entered and sufficiently valid data produce a series of results that help the City quantify the volume and financial impacts of water loss and facilitate comparison of the City's water loss performance with that of other water systems who have also performed water loss audits using the AWWA methodology. The City's Data Validity Score was 74 out of 100, with a total water loss volume of 677 AFY. The Non -Revenue Water volume represents 1.9 percent of the total water supplied by the City. The value of non -revenue water is calculated to be $814,980 per year. The Infrastructure Leakage Index (ILI) is a performance indicator developed from the ratio of Current Annual Real Losses (CARL) to the Unavoidable Annual Real Losses (UARL). CARL was developed as part of the workbook and explained as real losses above. UARL is developed on a per system basis with an equation based on empirical data, developed by IWA that factors in the length of mains (including fire hydrant laterals), number of service connections, average distance of customer service connection piping between the curb stop and the customer meter and the total length of customer service piping, all multiplied by average system pressure. The City received an ILI score of 0.15 which taken at face value is a very high score and indicates that real losses are well managed. This value suggests that the City's real arc dis.wrn 6%r�t 2-5 2015 URBAN WATER MANAGEMENT PLAN loss volume is beneath the technically achievable minimum, which is possible but unlikely. This requires further field investigation of leakage if leakage detection and control practices are not extensively implemented and/or, given the Data Validity Score for some components in the Audit, further investigation/confirmation of entries such as water supplied/accuracy of supply meters, accuracy of customer meters, systematic data handling errors, and applicability of the default percentages applied in the audit. Apparent losses make up a significant portion of the City's total water loss at 80 percent; most of this was developed from default percentages provided by the AWWA Water Audit. Based on this information, the City can improve water loss by taking a closer look at apparent losses and developing a strategy to better quantify this data in the future. The overall Water Audit score can also be improved by meeting the standards AWWA has developed for each data point through clear City procedures and reliable data. The result of the AWWA Water Audit completed for the City as required by the 2015 UWMP is summarized in Table 2-4. The water loss summary was calculated over a one-year period from available data and the methodology explained above. Table 2-3: Water Loss Audit Summary (AF) IT, r i. r -I k I NQr r Reporting Period Start Date Volume of Water Loss (mm/my) 07/2014 677 NOTES: 2.4 Demand Projections Demand projections were developed by MWDOC for each agency within the Regional Alliance based on available data as well as land use, population and economic growth. Three trajectories were developed representing three levels of conservation: 1) continued with existing levels of conservation (lowest conservation), 2) addition of future passive measures and active measures (baseline conservation), and 3) aggressive turf removal program - 20 percent removal by 2040 (aggressive conservation). The baseline demand projection was selected for the 2015 UWMP. The baseline scenario assumes the implementation of future passive measures affecting new developments, including the Model Water Efficient Landscape, plumbing code efficiencies for toilets, and expected plumbing code for high - efficiency clothes washers. It also assumes the implementation of future active measures, assuming the implementation of Metropolitan incentive programs at historical annual levels seen in Orange County. 2.4.1 Demand Projection Methodology The water demand projections were an outcome of the Orange County (OC) Reliability Study led by MWDOC where demand projections were divided into three regions within Orange County: Brea/La Habra, OC Basin, and South County. The demand projections were obtained based on multiplying a unit water use factor and a demographic factor for three water use sectors, including single-family and multi- family residential (in gallons per day per household), and non-residential (in gallons per day per employee). The unit water use factors were based on the survey of Orange County water agencies (FY arcadis.com MR116 2-6 2015 URBAN WATER MANAGEMENT PLAN 2013-14) and represent a normal weather, normal economy, and non -drought condition. The demographic factors are future demographic projections, including the number of housing units for single and multi -family residential sectors and the total employment (number of employees) for the non- residential sector, as provided by CDR. The OC Reliability Study accounted for drought impacts on 2016 demands by applying the assumption that water demands will bounce back to 85 percent of 2014 levels (i.e. pre -drought levels) by 2020 and 90 percent by 2025 without future conservation, and continue at 90 percent of unit water use through 2040. The unit water use factor multiplied by a demographic factor yields demand projections without new conservation. To account for new implementation of conservation, projected savings from new passive and active conservation as a result of plumbing codes, water model efficiency landscape ordinance, and rebates from Metropolitan were excluded from these demands. As described above, the OC Reliability Study provided demand projections for three regions within Orange County: Brea/La Habra, OC Basin, and South County. The City's water demand represents a portion of the OC Basin region total demand. The City's portion was estimated as the percentage of the City's five-year (FY 2010-11 to FY 2014-15) average usage compared to the OC Basin region total demand for the same period. 2.4.2 Agency Refinement Demand projections were developed by MWDOC for the City as part of the OC Reliability Study. The future demand projections were reviewed and accepted by the City as a basis for the 2015 UW MP. 2.4.3 25 Year Projections A key component of the 2015 UWMP is to provide insight into the City's future water demand outlook. The City's current total water demand is 36,655 AFY, met through locally pumped groundwater and purchased imported water from Metropolitan. Table 2-4 is a projection of the City's water demand for the next 25 years. Table 2.4: Demands for Potable and Raw Water - Projected (AF) LRetail: Demands for P.otable -and Raw Water - projected Use s ProjectedWater Use Additional Description 2020 2025 2030 2035 2040 Single Family 14,093 15,138 15,242 15,238 15,260 Multi -Family 10,406 11,177 11,254 11,251 11,267 Other (CII) Comm/Instit/Indust 12,033 12,925 13,014 13,010 13,029 Landscape I Large 147 158 159 159 159 TOTAL 1 36,678 39,397 1 39,669 1 39,658 1 39,716 NOTES: Data retrieved from MWDOC Customer Class Usage Data and FY 2014-2015 Retail Tracking. arcadis.wrn i� �J 2-7 2015 URBAN WATER MANAGEMENT PLAN The above demand values were provided by MWDOC and reviewed by the City as part of the UWMP effort. The City will aim to decrease its reliance on imported water by pursuing a variety of water conservation strategies, the City's per capita water use is projected to decrease as detailed in section 2.5 below. Table 2.5: Inclusion in Water Use Projections The demand data presented in this section accounts for passive savings in the future. Passive savings are water savings as a result of Codes, Standards, Ordinances, or Transportation and Land Use Plans as well as public outreach on water conservation and higher efficiency fixtures. Passive savings are anticipated to continue for the next 25 years and will result in continued water saving and reduced consumption levels. 2.4.4 Total Water Demand Projections Based on the information provided above, the total demand for potable water is listed below in Table 2-6 below. Recycled water demand is projected to remain constant through the planning horizon. Table 2-6: Total Water Demands (AF) DemandsRetail: Total Water 2015 2020 2025 2030 2035 2040 Potable and Raw Water 36,655 36,678 39,397 39,669 39,658 39,716 Recycled Water Demand 352 320 320 320 320 320 TOTAL WATER DEMAND 37,007 36,998 39,717 39,989 39,978 40,036 NOTES: 2.4.5 Water Use for Lower Income Households Since 2010, the UWMP Act has required retail water suppliers to include water use projections for single- family and multi -family residential housing for lower income and affordable households. This will assist the City in complying with the requirement under Government Code Section 65689.7 granting priority for providing water service to lower income households. A lower income household is defined as a household earning below 80 percent of the median household income (MHI). amadis.com RK12 Q 2-8 2015 URBAN WATER MANAGEMENT PLAN DWR recommends retail suppliers rely on the housing elements of city or county general plans to quantify planned lower income housing with the City's service area (DWR, 2015 UWMP Guidebook, February 2016). The Regional Housing Needs Assessment (RHNA) assists jurisdictions in updating general plan's housing elements section. The RHNA identifies housing needs and assesses households by income level for the City through 2010 decennial Census and 2005-2009 American Community Survey data. The fifth cycle of the RHNA covers the planning period of October 2013 to October 2021. The Southern California Association of Governments (SCAG) adopted the RHNA Allocation Plan for this cycle on October 4, 2012 requiring housing elements updates by October 15, 2013. The California Department of Housing and Community Development reviewed the housing elements data submitted by jurisdictions in the SCAG region and concluded the data meets statutory requirements for the assessment of current housing needs. The housing elements from the RHNA includes low income housing broken down into three categories: extremely low (less than 30 percent MHI), very low (31 percent - 50 percent MHI), and lower income (51 percent - 80 percent MHI). The report gives the household distribution for all households of various income levels in the City which can be seen in Table 2-7. Altogether the City has 54.18 percent low income housing (SCAG, RHNA, November 2013). Table 2-7: Household Distribution Based on Median Household Income Number of Households Extremely Low Income 11,370 Very Low Income 12,486 Lower Income 16,919 Moderate Income 15,657 Above Income 18,827 Total Households 75,259 Table 2-8 provides the projected water needs for low income single family and multifamily units. The projected water demands shown here represent 54.18 percent of the projected water demand for the single-family and multifamily categories provided in Table 2-4 above. For example, the total low income single family residential demand is projected to be 7,441 AFY in 2020 and 8,052 AFY in 2040. arcadis.com OM§ 2-9 2015 URBAN WATER MANAGEMENT PLAN Table 2-8: Projected Water Demands for Housing Needed for Low Income Households (AF) 2.5 SBx7-7 Requirements The Water Conservation Act of 2009, SBx7-7, signed into law on February 3, 2010, requires the State of California to reduce urban water use by 20 percent by the year 2020. The City must determine baseline water use during their baseline period and water use targets for the years 2015 and 2020 to meet the state's water reduction goal. The City may choose to comply with SBx7-7 individually or as a region in collaboration with other retail water suppliers. Under the regional compliance option, the City is still required to report its individual water use targets. The City is required to be in compliance with SBx7-7 either individually or as part of the alliance, or demonstrate they have a plan or have secured funding to be in compliance, in order to be eligible for water related state grants and loans on and after July 16, 2016. For the 2015 UWMP, the City must demonstrate compliance with its 2015 water use target to indicate whether or not they are on track to meeting the 2020 water use target. The City also revised their baseline per capita water use calculations using 2010 U.S. Census data. Changes in the baseline calculations also result in updated per capita water use targets. DWR also requires the submittal of SBx7-7 Verification Forms, a set of standardized tables to demonstrate compliance with the Water Conservation Act in this 2015 UWMP. 2.5.1 Baseline Water Use The baseline water use is the City's gross water use divided by its service area population, reported in gallons per capita per day (GPCD). Gross water use is a measure of water that enters the distribution system of the supplier over a 12-month period with certain allowable exclusions. These exclusions are: • Recycled water delivered within the service area • Indirect recycled water • Water placed in long term storage • Water conveyed to another urban supplier • Water delivered for agricultural use arcadis.com OXT 0 2-10 2015 URBAN WATER MANAGEMENT PLAN Process water Water suppliers within the OC Basin, including the City, have the option of choosing to deduct recycled water used for indirect potable reuse from their gross water use to account for the recharge of recycled water into the OC Basin by OCWD, historically through Water Factory 21, and now by the Groundwater Replenishment System (GW RS). Water suppliers must report baseline water use for two baseline periods, the 10- to 15-year baseline (baseline GPCD) and the five-year baseline (target confirmation) as described below. 2.5.1.1 Ten to 15-Year Baseline Period (Baseline GPCD) The first step to calculating the City's water use targets is to determine its base daily per capita water use (baseline water use). This baseline water use is essentially the City's gross water use divided by its service area population, reported in GPCD. The baseline water use is calculated as a continuous (rolling) 10-year average during a period, which ends no earlier than December 31, 2004 and no later than December 31, 2010. Water suppliers whose recycled water made up 10 percent or more of their 2008 retail water delivery can use up to a 15-year average for the calculation. The City did not have recycled water use in 2008; therefore, a 10-year baseline period is used. The City's baseline water use is 130 GPCD, obtained from the 10-year period July 1, 1995 to June 30, 2005. 2.5.1.2 Five -Year Baseline Period (Target Confirmation) Water suppliers are required to calculate water use, in GPCD, for a five-year baseline period. This number is used to confirm that the selected 2020 target meets the minimum water use reduction requirements. Regardless of the compliance option adopted by the City, it will need to meet a minimum water use target of 5 percent reduction from the five-year baseline water use. This five-year baseline water use is calculated as a continuous five-year average during a period, which ends no earlier than December 31, 2007 and no later than December 31, 2010. The City's five-year baseline water use is 122 GPCD, obtained from the five-year period July 1, 2003 to June 30, 2008. 2.5.1.3 Service Area Population The City's service area boundaries correspond with the boundaries for a city or census designated place. This allows the City to use service area population estimates prepared by the Department of Finance (DOF). The CDR at California State University, Fullerton is the entity which compiles population data for Orange County based on DOF data. The calculation of the City's baseline water use and water use targets in the 2010 UWMP was based on the 2000 U.S. Census population numbers obtained from CDR. The baseline water use and water use targets in this 2015 UWMP have been revised based on the 2010 U.S. Census population obtained from CDR in 2012. arwdis.wm 5"B'% 2-11 2015 URBAN WATER MANAGEMENT PLAN 2.5.2 SBx7-7 Water Use Targets In the 2015 UWMP, the City may update its 2020 water use target by selecting a different target method than what was used in 2010. The target methods and determination of the 2015 and 2020 targets are described below. 2.5.2.1 SBx7-7 Target Methods DWR has established four target calculation methods for urban retail water suppliers to choose from. The City is required to adopt one of the four options to comply with SBx7-7 requirements. The four options include: • Option f requires a simple 20 percent reduction from the baseline by 2020 and 10 percent by 2015. • Option 2 employs a budget -based approach by requiring an agency to achieve a performance standard based on three metrics o Residential indoor water use of 55 GPCD o Landscape water use commensurate with the Model Landscape Ordinance o 10 percent reduction in baseline Commercial/Industrial/Institutional (CII) water use • Option 3 is to achieve 95 percent of the applicable state hydrologic region target as set forth in the State's 20x2020 Water Conservation Plan. • Option 4 requires the subtraction of Total Savings from the baseline GPCD: Total savings includes indoor residential savings, meter savings, CII savings, and landscape and water loss savings. With MWDOC's assistance in the calculation of the City's base daily per capita use and water use targets, the City selected to comply with Option 3 consistent with the option selected in 2010. 2.5.2.2 2015 and 2020 Targets Under Compliance Option 3, to achieve 95 percent of the South Coast Hydrologic Region target as set forth in the State's 20x2020 Water Conservation Plan, the City's 2015 target is 123 GPCD and the 2020 target is 116 GPCD as summarized in Table 2-9. The 2015 target is the midway value between the 10- year baseline and the confirmed 2020 target. In addition, the confirmed 2020 target needs to meet a minimum of five percent reduction from the five-year baseline water use. In this case, the confirmed 2020 target is the five percent reduction from the five-year baseline. amadis.com WK112 2-12 2015 URBAN WATER MANAGEMENT PLAN Table 2-9: Baselines and Targets Summary Table 2-10 compares the City's 2015 water use target to its actual 2015 consumption. Based on this comparison, the City is in compliance with its 2015 interim target and has also already met the 2020 water use target. Table 2-10: 2015 Compliance 2.5.3 Regional Alliance A retail supplier may choose to meet the SBx7-7 targets on its own or it may form a regional alliance with other retail suppliers to meet the water use target as a region. Within a Regional Alliance, each retail water supplier will have an additional opportunity to achieve compliance under both an individual target and a regional target. • If the Regional Alliance meets its water use target on a regional basis, all agencies in the alliance are deemed compliant. • If the Regional Alliance fails to meet its water use target, each individual supplier will have an opportunity to meet their water use targets individually. The City is a member of the Orange County 20x2020 Regional Alliance formed by MWDOC. This regional alliance consists of 29 retail agencies in Orange County as described in MWDOC's 2015 UWMP. MWDOC provides assistance in the calculation of each retail agency's baseline water use and water use targets. arradis.wm 50 B%� 2-13 2015 URBAN WATER MANAGEMENT PLAN In 2015, the regional baseline and targets were revised to account for any revisions made by the retail agencies to their individual 2015 and 2020 targets. The regional water use target is the weighted average of the individual retail agencies' targets (by population). The Orange County 20x2020 Regional Alliance weighted 2015 target is 176 GPCD and 2020 target is 158 GPCD. The actual 2015 water use in the region is 125 GPCD, i.e. the region has already met its 2020 GPCD goal. ar disxom FdWaIT % w 2-14 2015 URBAN WATER MANAGEMENT PLAN 3 WATER SOURCES AND SUPPLY RELIABILITY 3.1 Overview The City relies on a combination of imported water, local groundwater, and recycled water to meet its water needs. The City works together with two primary agencies, Metropolitan and OCW D to ensure a safe and reliable water supply that will continue to serve the community in periods of drought and shortage. The sources of imported water supplies include water from the Colorado River and the SWP provided by Metropolitan. The City's main source of water supply is groundwater from the OC Basin. Imported water and recycled water make up the rest of the City s water supply portfolio. Currently, the City relies on approximately 71 percent groundwater, 28 percent imported water, and 1 percent recycled water. The City's water supply portfolio is expected to change slightly to 70 percent groundwater, 29 percent imported water, and 0.7 percent recycled water by the year 2040. The sources of imported water supply include the CRA and the SWP. The City's projected water supply portfolio is shown on Figure 3-1. 100% 90% r 80% 70% 60% 50% 40% 30% 20% 10% 0% 2020 2025 2030 2035 2040 ■Groundwater ■Imported ■Recycled Water Figure 3-1: Water Supply Sources in the City (AF) The following sections provide a detailed discussion of the City's water sources as well as the future water supply portfolio for the next 25 years. Additionally, the City's projected supply and demand under various hydrological conditions are compared to determine the City's supply reliability for the 25 year planning horizon. arcadis.com OI�t 3-1 2015 URBAN WATER MANAGEMENT PLAN 3.2 Imported Water The City supplements its water supply with imported water purchased from Metropolitan. Metropolitan's principal sources of water are the Colorado River via the CRA and the Lake Oroville watershed in Northern California through the SW P. The water obtained from these sources is treated at the Robert B. Diemer Filtration Plant located north of Yorba Linda. Typically, the Diemer Filtration Plant receives a blend of Colorado River water from Lake Mathews through the Metropolitan Lower Feeder and SWP water through the Yorba Linda Feeder. The City currently maintains seven imported water connections to the Metropolitan system. 3.2.1 Colorado River Supplies The Colorado River was Metropolitan's original source of water after Metropolitan's establishment in 1928. The CRA, which is owned and operated by Metropolitan, transports water from the Colorado River to its terminus at Lake Mathews in Riverside County. The actual amount of water per year that may be conveyed through the CRA to Metropolitan's member agencies is subject to the availability of Colorado River water for delivery. The CRA includes supplies from the implementation of the Quantification Settlement Agreement and related agreements to transfer water from agricultural agencies to urban uses. The 2003 Quantification Settlement Agreement enabled California to implement major Colorado River water conservation and transfer programs, stabilizing water supplies for 75 years and reducing the state's demand on the river to its 4.4 MAF entitlement. Colorado River transactions are potentially available to supply additional water up to the CRA capacity of 1.25 million acre-feet (MAF) on an as -needed basis. Water from the Colorado River or its tributaries is available to users in California, Arizona, Colorado, Nevada, New Mexico, Utah, and Wyoming, as well as to Mexico. California is apportioned the use of 4.4 MAF of water from the Colorado River each year plus one-half of any surplus that may be available for use collectively in Arizona, California, and Nevada. In addition, California has historically been allowed to use Colorado River water apportioned to but not used by Arizona or Nevada. Metropolitan has a basic entitlement of 550,000 AFY of Colorado River water, plus surplus water up to an additional 662,000 AFY when the following conditions exists (Metropolitan, 2015 UWMP, June 2016): • Water unused by the California holders of priorities 1 through 3 • Water saved by the Palo Verde land management, crop rotation, and water supply program • When the U.S. Secretary of the Interior makes available either one or both: o Surplus water is available o Colorado River water is apportioned to but unused by Arizona and/or Nevada Unfortunately, Metropolitan has not received surplus water for a number of years. The Colorado River supply faces current and future imbalances between water supply and demand in the Colorado River Basin due to long term drought conditions. Over the past 16 years (2000-2015), there have only been three years when the Colorado River flow has been above average (Metropolitan, 2015 UWMP, June 2016). The long-term imbalance in future supply and demand is projected to be approximately 3.2 MAF by the year 2060. arc dis.wm &VK T36 3-2 2015 URBAN WATER MANAGEMENT PLAN Approximately 40 million people rely on the Colorado River and its tributaries for water with 5.5 million acres of land using Colorado River water for irrigation. Climate change will affect future supply and demand as increasing temperatures may increase evapotranspiration from vegetation along with an increase in water loss due to evaporation in reservoirs, therefore reducing the available amount of supply from the Colorado River and exacerbating imbalances between increasing demands from rapid growth and decreasing supplies. Four water supply scenarios were developed around these uncertainties, each representing possible water supply conditions. These four scenarios are as follow: • Observed Resampled: future hydrologic trends and variability are similar to the past approximately 100 years. • Paleo Resampled: future hydrologic trends and variability are represented by reconstructions of streamflow for a much longer period in the past (approximately 1,250 years) that show expanded variability. • Paleo Conditioned: future hydrologic trends and variability are represented by a blend of the wet -dry states of the longer paleo-reconstructed period. • Downscaled General Circulation Model (GCM) Projected: future climate will continue to warm, with regional precipitation and temperature trends represented through an ensemble of future downscaled GCM projections. The Colorado River Basin Water Supply and Demand Study (Study) assessed the historical water supply in the Colorado River Basin through two historical streamflow data sets, from the year 1906 through 2007 and the paleo-reconstructed record from 762 through 2005. The following are findings from the study: • Increased temperatures in both the Upper and Lower Colorado River Basins since the 1970s has been observed. • Loss of springtime snowpack was observed with consistent results across the lower elevation northern latitudes of the western United States. The large loss of snow at lower elevations strongly suggest the cause is due to shifts in temperature. • The deficit between the two year running average flow and the long-term mean annual flow that started in the year 2000 is more severe than any other deficit in the observed period, at nine years and 28 MAF deficit. • There are deficits of greater severity from the longer paleo record compared to the period from 1906 through 2005. One deficit amounted to 35 MAF through a span of 16 years. • A summary of the trends from the observed period suggest declining stream flows, increases in variability, and seasonal shifts in streamflow that may be related to shifts in temperature. Findings concerning the future projected supply were obtained from the Downscaled GCM Projected scenario as the other methods did not consider the impacts of a changing climate beyond what has occurred historically. These findings include: ar dis.wm § IJy 3-3 2015 URBAN WATER MANAGEMENT PLAN Increased temperatures are projected across the Colorado River Basin with larger changes in the Upper Basin than in the Lower Basin. Annual Basin -wide average temperature is projected to increase by 1.3 degrees Celsius over the period through 2040. Projected seasonal trends toward drying are significant in certain regions. A general trend towards drying is present in the Colorado River Basin, although increases in precipitation are projected for some higher elevation and hydrologically productive regions. Consistent and expansive drying conditions are projected for the spring and summer months throughout the Colorado River Basin, although some areas in the Lower Basin are projected to experience slight increases in precipitation, which is thought to be attributed to monsoonal influence in the region. Upper Basin precipitation is projected to increase in the fall and winter, and Lower Basin precipitation is projected to decrease. Snowpack is projected to decrease due to precipitation falling as rain rather than snow and warmer temperatures melting the snowpack earlier. Areas where precipitation does not change or increase is projected to have decreased snowpack in the fall and early winter. Substantial decreases in spring snowpack are projected to be widespread due to earlier melt or sublimation of snowpack. • Runoff (both direct and base flow) is spatially diverse, but is generally projected to decrease, except in the northern Rockies. Runoff is projected to increase significantly in the higher elevation Upper Basin during winter but is projected to decrease during spring and summer. The following future actions must be taken to implement solutions and help resolve the imbalance between water supply and demand in areas that use Colorado River water (U.S. Department of the Interior Bureau of Reclamation, Colorado River Basin Water Supply and Demand Study, December 2012): • Resolution of significant uncertainties related to water conservation, reuse, water banking, and weather modification concepts. • Costs, permitting issues, and energy availability issues relating to large -capacity augmentation projects need to be identified and investigated. • Opportunities to advance and improve the resolution of future climate projections should be pursued. • Consideration should be given to projects, policies, and programs that provide a wide -range of benefits to water users and healthy rivers for all users. 3.2.2 State Water Project Supplies The SWP consists of a series of pump stations, reservoirs, aqueducts, tunnels, and power plants operated by DWR and is an integral part of the effort to ensure that business and industry, urban and suburban residents, and farmers throughout much of California have sufficient water. The SWP is the largest state -built, multipurpose, user -financed water project in the United States. Nearly two-thirds of residents in California receive at least part of their water from the SWP with approximately 70 percent of SW P's contracted water supply going to urban users and 30 percent to agricultural users. The primary purpose of the SWP is to divert and store water during wet periods in Northern and Central California and distribute it to areas of need in Northern California, the San Francisco Bay area, the San Joaquin Valley, the Central Coast, and southern California. arcadis.com €%OA-3'8 3-0 2015 URBAN WATER MANAGEMENT PLAN The availability of water supplies from the SWP can be highly variable. A wet water year may be followed by a dry or critically dry year and fisheries issues can restrict the operations of the export pumps even when water supplies are available. The Sacramento -San Joaquin River Delta (Delta) is key to the SWP's ability to deliver water to its agricultural and urban contractors. All but five of the 29 SWP contractors receive water deliveries below the Delta (pumped via the Harvey O. Banks or Barker Slough pumping plants). However, the Delta faces many challenges concerning its long-term sustainability such as climate change posing a threat of increased variability in floods and droughts. Sea level rise complicates efforts in managing salinity levels and preserving water quality in the Delta to ensure a suitable water supply for urban and agricultural use. Furthermore, other challenges include continued subsidence of Delta islands, many of which are below sea level, and the related threat of a catastrophic levee failure as the water pressure increases, or as a result of a major seismic event. Ongoing regulatory restrictions, such as those imposed by federal biological opinions (Biops) on the effects of SWP and the federal Central Valley Project (CVP) operations on certain marine life, also contributes to the challenge of determining the SW P's water delivery reliability. In dry, below -normal conditions, Metropolitan has increased the supplies delivered through the California Aqueduct by developing flexible CVP/SWP storage and transfer programs. The goal of the storage/transfer programs is to develop additional dry -year supplies that can be conveyed through the available Harvey O. Banks pumping plant capacity to maximize deliveries through the California Aqueduct during dry hydrologic conditions and regulatory restrictions. In addition, the California State Water Resources Control Board (SWRCB) has set water quality objectives that must be met by the SWP including minimum Delta outflows, limits on SWP and CVP Delta exports, and maximum allowable salinity level. Metropolitan's Board approved a Delta Action Plan in June 2007 that provides a framework for staff to pursue actions with other agencies and stakeholders to build a sustainable Delta and reduce conflicts between water supply conveyance and the environment. The Delta action plan aims to prioritize immediate short-term actions to stabilize the Delta while an ultimate solution is selected, and mid-term steps to maintain the Delta while a long-term solution is implemented. Currently, Metropolitan is working towards addressing three basin elements: Delta ecosystem restoration, water supply conveyance, and flood control protection and storage development. "Table A" water is the maximum entitlement of SWP water for each water contracting agency. Currently, the combined maximum Table A amount is 4.17 million AFY. Of this amount, 4.13 million AFY is the maximum Table A water available for delivery from the Delta pumps as stated in the State Water Contract. However, deliveries commonly are less than 50 percent of the Table A. SWP contractors may receive Article 21 water on a short-term basis in addition to Table A water if requested. Article 21 of SWP contracts allows contractors to receive additional water deliveries only under specific conditions, generally during wet months of the year (December through March). Because an SWP contractor must have an immediate use for Article 21 supply or a place to store it outside of the SWP, there are few contractors like Metropolitan that can access such supplies. . Carryover water is SWP water allocated to an SWP contractor and approved for delivery to the contractor in a given year but not used by the end of the year. The unused water is stored in the SW P's share of San Luis Reservoir, when space is available, for the contractor to use in the following year. arcadis.comB IZ 3-5 2015 URBAN WATER MANAGEMENT PLAN Turnback pool water is Table A water that has been allocated to SWP contractors that has exceeded their demands. This water can then be purchased by another contractor depending on its availability. SWP Delta exports are the water supplies that are transferred directly to SWP contractors or to San Luis Reservoir storage south of the Delta via the Harvey O. Banks pumping plant. Estimated average annual Delta exports and SWP Table A water deliveries have generally decreased since 2005, when Delta export regulations affecting SWP pumping operations became more restrictive due to the Biops. A summary of SWP water deliveries from the years 2005 and 2013 is summarized in Table 3-1. Table 3-1: Metropolitan Colorado River Aqueduct Program Capabilities The following factors affect the ability to estimate existing and future water delivery reliability: Water availability at the source: Availability depends on the amount and timing of rain and snow that fall in any given year. Generally, during a single dry year or two, surface and groundwater storage can supply most water deliveries, but multiple dry years can result in critically low water reserves. • Water rights with priority over the SWP: Water users with prior water rights are assigned higher priority in DWR's modeling of the SWP's water delivery reliability, even ahead of SWP Table A water. Climate change: mean temperatures are predicted to vary more significantly than previously expected. This change in climate is anticipated to bring warmer winter stones that result in less snowfall at lower elevations, reducing total snowpack. From historical data, DWR projects that by 2050, the Sierra snowpack will be reduced from its historical average by 25 to 40 percent. Increased precipitation as rain could result in a larger number of "rain -on -snow" events, causing snow to melt earlier in the year and over fewer days than historically, affecting the availability of water for pumping by the SWP during summer. Regulatory restrictions on SWP Delta exports due to the Biops to protect special -status species such as delta smelt and spring- and winter -run Chinook salmon. Restrictions on SWP operations imposed by state and federal agencies contribute substantially to the challenge of accurately determining the SWP's water delivery reliability in any given year. • Ongoing environmental and policy planning efforts: the California WaterFix involves water delivery improvements that could reduce salinity levels by diverting a greater amount of lower salinity Sacramento water to the South Delta export pumps. The EcoRestore Program aims to restore at least 30,000 acres of Delta habitat, and plans to be well on the way to meeting that goal by the year 2020. arrzdis.com A OA-40 3-6 2015 URBAN WATER MANAGEMENT PLAN • Delta levee failure: The levees are vulnerable to failure because most original levees were simply built with soils dredged from nearby channels and were not engineered. A breach of one or more levees and island flooding could affect Delta water quality and SWP operations for several months. When islands are flooded, DWR may need to drastically decrease or even cease SWP Delta exports to evaluate damage caused by salinity in the Delta. The Delta Risk Management Strategy addresses the problem of Delta levee failure and evaluates alternatives to reduce the risk to the Delta. Four scenarios were developed to represent a range of possible risk reduction strategies (Department of Water Resources, The State Water Project Final Delivery Capability Report 2015, July 2015). They are: • Trial Scenario 1 Improved Levees: This scenario looks at improving the reliability of Delta levees against flood -induced failures by providing up to 100-year flood protection. The report found that improved levees would not reduce the risk of potential water export interruptions, nor would it change the seismic risk of most levees. • Trial Scenario 2 Armored Pathway. This scenario looks at improving the reliability of water conveyance by creating a route through the Delta that has high reliability and the ability to minimize saltwater intrusion into the south Delta. The report found that this scenario would have the joint benefit of reducing the likelihood of levee failures from flood events and earthquakes, and of significantly reducing the likelihood of export disruptions. • Trial Scenario 3Isolated Conveyance: This scenario looks to provide high reliability for conveyance of export water by building an isolated conveyance facility on the east side of the Delta. The effects of this scenario are similar to those for Trial Scenario 2 but with the added consequence of seismic risk of levee failure on islands that are not part of the isolated conveyance facility. • Trial Scenario 4 Dual Conveyance: This scenario is a combination of Scenarios 2 and 3 as it looks to improve reliability and flexibility for conveyance of export water by constructing an isolated conveyance facility and through -Delta conveyance. It would mitigate the vulnerability of water exports associated with Delta levee failure and offer flexibility in water exports from the Delta and the isolated conveyance facility. However, seismic risk would not be reduced on islands not part of the export conveyance system or infrastructure pathway. DWR has altered the SWP operations to accommodate species of fish listed under the Biops, and these changes have adversely impacted SWP deliveries. DWR's Water Allocation Analysis indicated that export restrictions are currently reducing deliveries to Metropolitan as much as 150 TAF to 200 TAF under median hydrologic conditions. Operational constraints likely will continue until a long-term solution to the problems in the Bay -Delta is identified and implemented. New biological opinions for listed species under the Federal ESA or by the California Department of Fish and Game's issuance of incidental take authorizations under the Federal ESA and California ESA might further adversely affect SWP and CVP operations. Additionally, new litigation, listings of additional species or new regulatory requirements could further adversely affect SWP operations in the future by requiring additional export reductions, releases of additional water from storage or other operational changes impacting water supply operations. arcadis.com AX4 1 3-7 2015 URBAN WATER MANAGEMENT PLAN 3.2.3 Storage Storage is a major component of Metropolitan's dry year resource management strategy. Metropolitan's likelihood of having adequate supply capability to meet projected demands, without implementing its Water Supply Allocation Plan (WSAP), is dependent on its storage resources. Lake Oroville is the SWP's largest storage facility, with a capacity of about 3.5 MAF. The water is released from Oroville Dam into the Feather River as needed, which converges with the Sacramento River while some of the water at Bethany Reservoir is diverted from the California Aqueduct into the South Bay Aqueduct. The primary pumping plant, the Harvey O. Banks pumping plant, pumps Delta water into the California Aqueduct, which is the longest water conveyance system in California. 3.3 Groundwater Historically, local groundwater has been the cheapest and most reliable source of supply for the City. The City draws water from the OC Basin. This source of water meets approximately 71 percent of the Citys total annual demand. 3.3.1 Basin Characteristics The OC Basin underlies the northerly half of Orange County beneath broad lowlands. The OC Basin managed by OCWD covers an area of approximately 350 square miles, bordered by the Coyote and Chino Hills to the north, the Santa Ana Mountains to the northeast, and the Pacific Ocean to the southwest. The OC Basin boundary extends to the Orange County -Los Angeles Line to the northwest, where groundwater flows across the county line into the Central Groundwater Basin of Los Angeles County. The total thickness of sedimentary rocks in the OC Basin is over 20,000 feet, with only the upper 2,000 to 4,000 feet containing fresh water. The Pleistocene or younger aquifers comprising this OC Basin are over 2,000 feet deep and form a complex series of interconnected sand and gravel deposits. The OC Basin's full volume is approximately 66 MAF. There are three major aquifer systems that have been subdivided by OCWD, the Shallow Aquifer System, the Principal Aquifer System, and the Deep Aquifer System. These three aquifer systems are hydraulically connected as groundwater is able to flow between each other through intervening aquitards or discontinuities in the aquitards. The Shall Aquifer system occurs from the surface to approximately 250 feet below ground surface. Most of the groundwater from this aquifer system is pumped by small water systems for industrial and agricultural use. The Principal Aquifer system occurs at depths between 200 and 1,300 feet below ground surface. Over 90 percent of groundwater production is from wells that are screened within the Principal Aquifer system. Only a minor amount of groundwater is pumped from the Deep Aquifer system, which underlies the Principal Aquifer system and is up to 2,000 feet deep in the center of the OC Basin. The three major aquifer systems are shown on Figure 3-2. aroadis.com WA T42 3-8 2015 URBAN WATER MANAGEMENT PLAN •fir°� _ �/ J La Habra.. -. Brea KTIDS `poi • � - A ` / 1 EARRIER i TALBERT m a \"4o yS ` 9 FARRIER f afj(j� 10 rya ouw Fa.a� ir. ..l Pion �WM ane �.rr N OWOCGmunEwacn4rFaain L.H .a 0. Car W 3 E r.pua- Hmmon- Ino� pocHv nxnuye racilies • —ira.m � �i p a 6 s Fula. a� �niwLM.6+ gNMawu�.M I C Figure 3-2: Map of the Orange County Groundwater Basin and its Major Aquifer Systems The OCWD was formed in 1933 by a special legislative act of the California State Legislature to protect and manage the County's vast, natural, groundwater supply using the best available technology and arcadis.com & U 3-9 2015 URBAN WATER MANAGEMENT PLAN defend its water rights to the OC Basin. This legislation is found in the State of California Statutes, Water — Uncodified Acts, Act 5683, as amended. The OC Basin is managed by OCWD under the Act, which functions as a statutorily -imposed physical solution. Groundwater levels are managed within a safe basin operating range to protect the long-term sustainability of the OC Basin and to protect against land subsidence. OCWD regulates groundwater levels in the OC Basin by regulating the annual amount of pumping (OCWD, Groundwater Management Plan 2015 Update, June 2015). 3.3.2 Basin Production Percentage The OC Basin is not adjudicated and as such, pumping from the OC Basin is managed through a process that uses financial incentives to encourage groundwater producers to pump a sustainable amount of water. The framework for the financial incentives is based on establishing the basin production percentage (BPP), the percentage of each Producer's total water supply that comes from groundwater pumped from the OC Basin. Groundwater production at or below the BPP is assessed a Replenishment Assessment (RA). While there is no legal limit as to how much an agency pumps from the OC Basin, there is a financial disincentive to pump above the BPP. Agencies that pump above the BPP are charged the RA plus the Basin Equity Assessment (BEA), which is calculated so that the cost of groundwater production is greater than MW DOC's full service rate. The BEA can be increased to discourage production above the BPP. The BPP is set uniformly for all Producers by OCWD on an annual basis. The BPP is set based on groundwater conditions, availability of imported water supplies, and basin management objectives. The supplies available for recharge must be estimated for a given year. The supplies of recharge water that are estimated are: 1) Santa Ana River stormflow, 2) Natural incidental recharge, 3) Santa Ana River baseflow, 4) GWRS supplies, and 5) other supplies such as imported water and recycled water purchased for the Alamitos Barrier. The BPP is a major factor in determining the cost of groundwater production from the OC Basin for that year. In some cases, OCWD encourages treating and pumping groundwater that does not meet drinking water standards in order to protect water quality. This is achieved by using a financial incentive called the BEA Exemption. A BEA Exemption is used to clean up and contain the spread of poor quality water. OCWD uses a partial or total exemption of the BEA to compensate a qualified participating agency or Producer for the costs of treating poor quality groundwater. When OCWD authorizes a BEA exemption for a project, it is obligated to provide the replenishment water for the production above the BPP and forgoes the BEA revenue that OCWD would otherwise receive from the producer (OCWD, Groundwater Management Plan 2015 Update, June 2015). 3.3.2.1 2015 OCWD Groundwater Management Plan OCWD was formed in 1933 by the California legislature to manage and operate the OC Basin in order to protect and increase the OC Basin's sustainable yield in a cost-effective manner. As previously mentioned, the BPP is the primary mechanism used by OCWD to manage pumping in the OC Basin. In 2013, OCWD's Board of Directors adopted a policy to establish a stable BPP with the intention to work toward achieving and maintaining a 75 percent BPP by FY 2015-16. Although BPP is set at 75 percent, arcadis.com =4 w 3-10 2015 URBAN WATER MANAGEMENT PLAN based on discussions with OCWD a conservative BPP of 70 percent is assumed through 2040. Principles of this policy include: • OCWD's goal is to achieve a stable 75 percent BPP, while maintaining the same process of setting the BPP on an annual basis, with the BPP set in April of each year after a public hearing has been held and based upon the public hearing testimony, presented data, and reports provided at that time. • OCWD would endeavor to transition to the 75 percent BPP between 2013 and 2015 as construction of the GWRS Initial Expansion Project is completed. This expansion will provide an additional 31,000 AFY of water for recharging the groundwater basin. • OCWD must manage the OC Basin in a sustainable manner for future generations. The BPP will be reduced if future conditions warrant the change. • Each project and program to achieve the 75 percent BPP goal will be reviewed individually and assessed for their economic viability. The OC Basin's storage levels would be managed in accordance to the 75 percent BPP policy. It is presumed that the BPP will not decrease as long as the storage levels are between 100,000 and 300,000 AF from full capacity. If the OC Basin is less than 100,000 AF below full capacity, the BPP will be raised. If the OC Basin is over 350,000 AF below full capacity, additional supplies will be sought after to refill the OC Basin and the BPP will be lowered. The OC Basin is managed to maintain water storage levels of not more than 500,000 AF below full condition to avoid permanent and significant negative or adverse impacts. Operating the OC Basin in this manner enables OCWD to encourage reduced pumping during wet years when surface water supplies are plentiful and increase pumping during dry years to provide additional local water supplies during droughts. OCWD determines the optimum level of storage for the following year when it sets the BPP each year. Factors that affect this determination include the current storage level, regional water availability, and hydrologic conditions. When the OC Basin's storage approaches the lower end of the operating range, immediate issues that must be addressed include seawater intrusion, increased risk of land subsidence, and potential for shallow wells to become inoperable due to lower water levels (OCWD, Groundwater Management Plan 2015 Update, June 2015). 3.3.2.2 OCWD Engineer's Report The OCWD Engineer's Report reports on the groundwater conditions and investigates information related to water supply and OC Basin usage within OCWD's service area. The overall BPP achieved in the 2013 to 2014 water year within OCWD for non -irrigation use was 75.2 percent. However, a BPP level above 75 percent may be difficult to achieve. Therefore, a BPP ranging from 65 percent to 70 percent is currently being proposed for the ensuing FY 2015-16. Analysis of the OC Basin's projected accumulated overdraft, the available supplies to the OC Basin (assuming average hydrology) and the projected pumping demands indicate that this level of pumping can be sustained for 2015-16 without harming the OC Basin. amadis.com fli4k 3-11 2015 URBAN WATER MANAGEMENT PLAN A BPP of 70 percent corresponds to approximately 320,000 AF of groundwater production including 22,000 AF of groundwater production above the BPP to account for several groundwater quality enhancement projects discussed earlier. In FY 2015-16 additional production of approximately 22,000 AF above the BPP will be undertaken by the City of Tustin, City of Garden Grove, Mesa Water District, and Irvine Ranch Water District. These agencies use the additional pumping allowance in order to accommodate groundwater quality improvement projects. As in prior years, production above the BPP from these projects would be partially or fully exempt from the BEA as a result of the benefit provided to the OC Basin by removing poor -quality groundwater and treating it for beneficial use (OCWD, 2013-2014 Engineer's Report, February 2015). 3.3.3 Groundwater Recharge Facilities Recharging water into the OC Basin through natural and artificial means is essential to support pumping from the OC Basin. Active recharge of groundwater began in 1949, in response to increasing drawdown of the OC Basin and consequently the threat of seawater intrusion. The OC Basin's primary source of recharge is flow from the Santa Ana River, which is diverted into recharge basins and its main Orange County tributary, Santiago Creek. Other sources of recharge water include natural infiltration, recycled water, and imported water. Natural recharge consists of subsurface inflow from local hills and mountains, infiltration of precipitation and irrigation water, recharge in small flood control channels, and groundwater underflow to and from Los Angeles County and the ocean. Recycled water for the OC Basin is from two sources. The main source of recycled water is from the GWRS and is recharged in the surface water system and the Talbert Seawater Barrier. The second source of recycled water is the Leo J. Vander Lans Treatment Facility which supplies water to the Alamitos Seawater Barrier. Injection of recycled water into these barriers is an effort by OCWD to control seawater intrusion into the OC Basin. Operation of the injection wells forms a hydraulic barrier to seawater intrusion. Untreated imported water can be used to recharge the OC Basin through the surface water recharge system in multiple locations, such as Anaheim Lake, Santa Ana River, Irvine Lake, and San Antonio Creek. Treated imported water can be used for in -lieu recharge, as was performed extensively from 1977 to 2007 (OCWD, Groundwater Management Plan 2015 Update, June 2015). 3.3.4 Metropolitan Groundwater Replenishment Program OCWD, MWDOC, and Metropolitan have developed a successful and efficient groundwater replenishment program to increase storage in the OC Basin. The Groundwater Replenishment Program allows Metropolitan to sell groundwater replenishment water to OCWD and make direct deliveries to agency distribution systems in lieu of producing water from the groundwater basin when surplus surface water is available. This program indirectly replenishes the OC Basin by avoiding pumping. In the in -lieu program, OCWD requests an agency to halt pumping from specified wells. The agency then takes replacement water through its import connections, which is purchased by OCWD from Metropolitan. OCWD purchases the water at a reduced rate, and then bills the agency for the amount it would have had to pay for energy and the RA if it had produced the water from its wells. The deferred local production results in water being left in local storage for future use. arcadis.com 95A-4'6 3-12 2015 URBAN WATER MANAGEMENT PLAN 3.3.5 Metropolitan Conjunctive Use Program Since 2004, OCWD and certain groundwater producers have participated in Metropolitan's Conjunctive Use Program (CUP). This program allows for the storage of Metropolitan water in the OC Basin. The existing Metropolitan program provides storage up to 66,000 AF of water in the OC Basin in exchange for Metropolitan's contribution to improvements in basin management facilities. These improvements include eight new groundwater production wells, improvements to the seawater intrusion barrier, and construction of the Diemer Bypass Pipeline. The water is accounted for via the CUP program administered by the wholesale agencies and is controlled by Metropolitan such that it can be withdrawn over a three-year time period (OCWD, 2013-2014 Engineer's Report, February 2015). 3.3.6 Groundwater Historical Extraction The City pumps groundwater through its twenty operating groundwater wells. A summary of the groundwater volume pumped by the City is shown in Table 3-2. Table 3-2: Groundwater Volume Pumped (AF) 3.3.7 Overdraft Conditions Annual groundwater basin overdraft, as defined in OCWD's Act, is the quantity by which production of groundwater supplies exceeds natural replenishment of groundwater supplies during a water year. This difference between extraction and replenishment can be estimated by determining the change in volume of groundwater in storage that would have occurred had supplemental water not been used for any groundwater recharge purpose, including seawater intrusion protection, advanced water reclamation, and the in -Lieu Program. The annual analysis of basin storage change and accumulated overdraft for water year 2013-14 has been completed. Based on the three -layer methodology, an accumulated overdraft of 342,000 AF was calculated for the water year ending June 30, 2014. The accumulated overdraft for the water year ending June 30, 2013 was 242,000 AF, which was also calculated using the three -layer storage method. Therefore, an annual decrease of 100,000 AF in stored groundwater was calculated as the difference between the June 2013 and June 2014 accumulated overdrafts (OCWD, 2013-2014 Engineer's Report, February 2015). 3.4 Summary of Existing and Planned Sources of Water The actual sources and volume of water for the year 2015 is displayed in Table 3-3. arr dis.mrn M4 3-13 2015 URBAN WATER MANAGEMENT PLAN Table 3-3: Water Supplies, Actual (AF) SuppliesY&tail: Water Water Su Additional Detail on 2015 Water Supply Actual Volume Water Quality Groundwater Orange County 26,351 Drinking Groundwater Basin Water Purchased or Imported Water Metropolitan 10,305 Drinking Water Recycled Water Green Acres Project 352 Recycled (OCWD) Water Total 37,007 NOTES: arradis.com OA)T4t 3-14 z a z W 2 W (7 z w W Q z m Of D p N T cu "E m m o a m a c '° 6 N O tea O N N m Q � d' T Ln � v Ln m 00 m e 0 m IR N m N > j ry m m N E N O1 n n p al 00 m C m J 0 b N a N N> 0 N '-I m tUY)I O! Q C' � (U 01 N C.. m E O M 00 VI ry m n N N, > 0 N ' -I al Q T 0 N U m 00 C N C m W N N m O m 0 p Q 7 In N N m C 0 C ii m 0 v m Tm a � m � a 0 3O u 0 m m y a Q p to 0 c� Q i 0 y N U Ol7 �C7O m 00 a E Y y � N � � 3 v � v J L ` U T W O` J N z O o_ z z LO A 0 a U a 55A-49 2015 URBAN WATER MANAGEMENT PLAN 3.5 Recycled Water The City receives recycled water from the Green Acres Project (GAP) that is used for non -potable applications. More information concerning the City's recycled water usage can be found in Section 6. 3.6 Supply Reliability 3.6.1 Overview Every urban water supplier is required to assess the reliability of their water service to its customers under normal, dry, and multiple dry water years. The City depends on a combination of imported and local supplies to meet its water demands and has taken numerous steps to ensure it has adequate supplies. Development of numerous local augment the reliability of the imported water system. There are various factors that may impact reliability of supplies such as legal, environmental, water quality and climatic which are discussed below. The water supplies are projected to meet full -service demands; Metropolitan's 2015 UWMP finds that Metropolitan is able to meet, full -service demands of its member agencies starting 2020 through 2040 during normal years, single dry year, and multiple dry years. Metropolitan's 2015 Integrated Water Resources Plan (IRP) update describes the core water resources that will be used to meet full -service demands at the retail level under all foreseeable hydrologic conditions from 2020 through 2040. The foundation of Metropolitan's resource strategy for achieving regional water supply reliability has been to develop and implement water resources programs and activities through its IRP preferred resource mix. This preferred resource mix includes conservation, local resources such as water recycling and groundwater recovery, Colorado River supplies and transfers, SWP supplies and transfers, in -region surface reservoir storage, in -region groundwater storage, out -of - region banking, treatment, conveyance and infrastructure improvements. 3.6.2 Factors Impacting Reliability The Act requires a description of water supply reliability and vulnerability to seasonal or climatic shortage. The City's ability to meet supply demands is contingent upon its ability to maintain its water production assets in proper working order. In addition, the following are some of the factors identified by Metropolitan that may have an impact on the reliability of Metropolitan supplies. 3.6.2.1 Environment Endangered species protection needs in the Delta have resulted in operational constraints to the SWP system, as mentioned previously in the State Water Project Supplies section. 3.6.2.2 Legal The addition of more species under the Endangered Species Act and new regulatory requirements could impact SWP operations by requiring additional export reductions, releases of additional water from storage or other operational changes impacting water supply operations. arcadis.com ETdo 3-16 2015 URBAN WATER MANAGEMENT PLAN 3.6.2.3 Water Quality 3.6.2.3.1 Imported Water Metropolitan is responsible for providing high quality potable water throughout its service area. Over 300,000 water quality tests are performed per year on Metropolitan's water to test for regulated contaminants and additional contaminants of concern to ensure the safety of its waters. Metropolitan's supplies originate primarily from the CRA and from the SWP. A blend of these two sources, proportional to each year's availability of the source, is then delivered throughout Metropolitan's service area. Metropolitan's primary water sources face individual water quality issues of concern. The CRA water source contains higher total dissolved solids (TDS) and the SWP contains higher levels of organic matter, lending to the formation of disinfection byproducts. To remediate the CRA's high level of salinity and the SWP's high level of organic matter, Metropolitan blends CRA and SWP supplies and has upgraded all of its treatment facilities to include ozone treatment processes. In addition, Metropolitan has been engaged in efforts to protect its Colorado River supplies from threats of uranium, perchlorate, and chromium VI while also investigating the potential water quality impact of emerging contaminants, N- nitrosodimethylamine (NDMA), and pharmaceuticals and personal care products (PPCP). While unforeseeable water quality issues could alter reliability, Metropolitan's current strategies ensure the deliverability of high quality water. The presence of Quagga Mussels in water sources is a water quality concern. Quagga Mussels are an invasive species that was first discovered in 2007 at Lake Mead, on the Colorado River. This species of mussels form massive colonies in short periods of time, disrupting ecosystems and blocking water intakes. They are capable of causing significant disruption and damage to water distribution systems. Controlling the spread and impacts of this invasive species within the CRA requires extensive maintenance and results in reduced operational flexibility. It also resulted in Metropolitan eliminating deliveries of CRA water into Diamond Valley Lake to keep the reservoir free from Quagga Mussels. 3.6.2.3.2 Groundwater OCWD is responsible for managing the OC Basin. To maintain groundwater quality, OCWD conducts an extensive monitoring program that serves to manage the OC Basin's groundwater production, control groundwater contamination, and comply with all required laws and regulations. A network of nearly 700 wells provides OCWD a source for samples, which are tested for a variety of purposes. OCWD collects 600 to 1,700 samples each month to monitor OC Basin water quality. These samples are collected and tested according to approved federal and state procedures as well as industry -recognized quality assurance and control protocols. Salinity is a significant water quality problem in many parts of southern California, including Orange County. Salinity is a measure of the dissolved minerals in water including both TDS and nitrates. OCWD continuously monitors the levels of TDS in wells throughout the OC Basin. TDS currently has a California Secondary Maximum Contaminant Level (MCL) of 500 mg/L. The portions of the OC Basin with the highest levels are generally located in the Cites of Irvine, Tustin, Yorba Linda, Anaheim, and Fullerton. There is also a broad area in the central portion of the OC Basin where TDS ranges from 500 to 700 mg/L. Sources of TDS include the water supplies used to recharge the OC Basin and from onsite amadis.com �-1J� � M 3-17 2015 URBAN WATER MANAGEMENT PLAN wastewater treatment systems, also known as septic systems. The TDS concentration in the OC Basin is expected to decrease over time as the TDS concentration of GWRS water used to recharge the OC Basin is approximately 50 mg/L. Nitrates are one of the most common and widespread contaminants in groundwater supplies, originating from fertilizer use, animal feedlots, wastewater disposal systems, and other sources. The MCL for nitrate in drinking water is set at 10 mg/L. OCWD regularly monitors nitrate levels in groundwater and works with producers to treat wells that have exceeded safe levels of nitrate concentrations. OCWD manages the nitrate concentration of water recharged by its facilities to reduce nitrate concentrations in groundwater. This includes the operation of the Prado Wetlands, which was designed to remove nitrogen and other pollutants from the Santa Ana River before the water is diverted to be percolated into OCWD's surface water recharge system. Although water from the Deep Aquifer System is of very high quality, it is amber -colored and contains a sulfuric odor due to buried natural organic material. These negative aesthetic qualities require treatment before use as a source of drinking water. The total volume of the amber -colored groundwater is estimated to be approximately 1 MAF. Other contaminants that OCWD monitors within the OC Basin include: • Methyl Tertiary Butyl Ether (MTBE) — MTBE is an additive to gasoline that increases octane ratings but became a widespread contaminant in groundwater supplies. The greatest source of MTBE contamination comes from underground fuel tank releases. The primary MCL for MTBE in drinking water is 13 pg/L. • Volatile Organic Compounds (VOC) — VOCs come from a variety of sources including industrial degreasers, paint thinners, and dry cleaning solvents. Locations of VOC contamination within the OC Basin include the former El Toro marine Corps Air Station, the Shall Aquifer System, and portions of the Principal Aquifer System in the Cities of Fullerton and Anaheim. • NDMA— NDMA is a compound that can occur in wastewater that contains its precursors and is disinfected via chlorination and/or chloramination. It is also found in food products such as cured meat, fish, beer, milk, and tobacco smoke. The California Notification Level for NDMA is 10 ng/L and the Response Level is 300 ng/L. In the past, NDMA has been found in groundwater near the Talbert Barrier, which was traced to industrial wastewater dischargers. • 1,4-Dioxane — 1,4-Dioxane is a suspected human carcinogen. It is used as a solvent in various industrial processes such as the manufacture of adhesive products and membranes. • Perchlorate — Perchlorate enters groundwater through application of fertilizer containing perchlorate, water imported from the Colorado River, industrial or military sites that have perchlorate, and natural occurrence. Perchlorate was not detected in 84 percent of the 219 production wells tested between the years 2010 through 2014. • Selenium — Selenium is a naturally occurring micronutrient found in soils and groundwater in the Newport Bay watershed. The bio-accumulation of selenium in the food chain may result in deformities, stunted growth, reduced hatching success, and suppression of immune systems in fish and wildlife. Management of selenium is difficult as there is no off -the -shelf treatment technology available. arcadis.com vff,Vk 3-18 2015 URBAN WATER MANAGEMENT PLAN Constituents of Emerging Concern (CEC) — CECs are either synthetic or naturally occurring substances that are not currently regulated in water supplies or wastewater discharged but can be detected using very sensitive analytical techniques. The newest group of CECs include pharmaceuticals, personal care products, and endocrine disruptors. OCWD's laboratory is one of a few in the state of California that continuously develops capabilities to analyze for new compounds (OCWD, Groundwater Management Plan 2015 Update, June 2015). 3.6.2.4 Climate Change Changing climate patterns are expected to shift precipitation patterns and affect water supply. Unpredictable weather patterns will make water supply planning more challenging. The areas of concern for California include a reduction in Sierra Nevada Mountain snowpack, increased intensity and frequency of extreme weather events, and rising sea levels causing increased risk of Delta levee failure, seawater intrusion of coastal groundwater basins, and potential cutbacks on the SWP and CVP. The major impact in California is that without additional surface storage, the earlier and heavier runoff (rather than snowpack retaining water in storage in the mountains), will result in more water being lost to the oceans. A heavy emphases on storage is needed in the State of California. In addition, the Colorado River Basin supplies have been inconsistent since about the year 2000, resulting in 13 of the last 16 years of the upper basin runoff being below normal. Climate models are predicting a continuation of this pattern whereby hotter and drier weather conditions will result in continuing lower runoff. Legal, environmental, and water quality issues may have impacts on Metropolitan supplies. It is felt, however, that climatic factors would have more of an impact than legal, water quality, and environmental factors. Climatic conditions have been projected based on historical patterns but severe pattern changes are still a possibility in the future. 3.6.3 Normal -Year Reliability Comparison The water demand forecasting model developed for the OC Reliability Study (described in Section 2.4.1), to project the 25-year demand for Orange County water agencies, also isolated the impacts that weather and future climate can have on water demand through the use of a statistical model. The explanatory variables of population, temperature, precipitation, unemployment rate, drought restrictions, and conservation measures were used to create the statistical model. The impacts of hot/dry weather condition are reflected as a percentage increase in water demands from the average condition. The average (normal) demand is represented by the average water demand of 1990 to 2014 (CDM Smith, Final Technical Memorandum #1 of Orange County Reliability Study, April 2016). The City is 100 percent reliable for normal year demands from 2020 through 2040. The City has entitlements to receive imported water from Metropolitan via the regional distribution system. Although pipeline and connection capacity rights do not guarantee the availability of water, per se, they do guarantee the ability to convey water when it is available to the Metropolitan distribution system. All imported water supplies are assumed available to the City from existing water transmission facilities. The demand and supplies listed below also include local groundwater supplies that are available to the City through OCWD by a pre -determined pumping percentage. arcadis.com d�/"��:l'�� ' 3-19 2015 URBAN WATER MANAGEMENT PLAN 3.6.4 Single -Dry Year Reliability Comparison A single -dry year is defined as a single year of no to minimal rainfall within a period that average precipitation is expected to occur. The water demand forecasting model developed for the OC Reliability Study (described in Section 2.4.1) isolated the impacts that weather and future climate can have on water demand through the use of a statistical model. The impacts of hot/dry weather condition are reflected as a percentage increase in water demands from the average condition (1990-2014). For a single dry year condition (FY2013-14), the model projects a six percent increase in demand for the OC Basin area where the City's service area is located (CDM Smith, Final Technical Memorandum #1 of Orange County Reliability Study, April 2016). Detailed information of the model is included in Appendix G. The City has documented that it is 100 percent reliable for single dry year demands from 2020 through 2040 with a demand increase of six percent from normal demand with significant reserves held by Metropolitan, local groundwater supplies, and conservation. 3.6.5 Multiple -Dry Year Period Reliability Comparison Multiple -dry years are defined as three or more consecutive years with minimal rainfall within a period of average precipitation. The water demand forecasting model developed for the OC Reliability Study (described in Section 2.4.1) isolated the impacts that weather and future climate can have on water demand through the use of a statistical model. The impacts of hot/dry weather condition are reflected as a percentage increase in water demands from the average condition (1990-2014). For a single dry year condition (FY2013-14), the model projects a six percent increase in demand for the OC Basin area where the City's service area is located (CDM Smith, Final Technical Memorandum #1 of Orange County Reliability Study, April 2016). It is conservatively assumed that a three-year multi dry year scenario is a repeat of the single dry year over three consecutive years (FY 2011-12 through FY 2013-14). The City is capable of meeting all customers' demands with significant reserves held by Metropolitan, local groundwater supplies, and conservation in multiple dry years from 2020 through 2040 with a demand increase of six percent from normal demand with significant reserves held by Metropolitan, local groundwater supplies, and conservation. The basis of the water year is displayed in Table 3-5. arcadis.com RXIV 3-20 2015 URBAN WATER MANAGEMENT PLAN Table 3-5: Basis of Water Year Data Retail: 6asts Xvailable Year Supplies if Type, Repeats Quantification of available supplies is not compatible with this table and is provided elsewhere in the UWMP. El Year Type Base Year Location Quantification of available supplies is provided in this ❑d table as either volume only, percent only, or both. Volume Available % of Average Supply Average Year 1990-2014 100% Single -Dry Year 2014 106% Multiple -Dry Years 1st Year 2012 106% Multiple -Dry Years 2nd Year 2013 106% Multiple -Dry Years 3rd Year 2014 106% NOTES: Developed by MWDOC as 2015 Bump Methodology 3.7 Supply and Demand Assessment A comparison between the supply and the demand for projected years between 2020 and 2040 is shown in Table 3-6. As stated above, the available supply will meet projected demand due to diversified supply and conservation measures. Table 3-6: Normal Year Supply and Demand Comparison (AF) NormalRetalk e and 2020 Demand Comparison 2025 1 2030 2035 2040 Supply totals 36,998 39,717 39,989 39,978 40,036 Demand totals 36,998 39,717 39,989 39,978 40,036 Difference 0 0 0 0 0 NOTES: A comparison between the supply and the demand in a single dry year and multiple dry years are shown in Tables 3-7 and 3-8 respectively. As stated above, the available supply will meet projected demand due to diversified supply and conservation measures. arcadis.com Mribb 3-21 2015 URBAN WATER MANAGEMENT PLAN Table 3-7: Single Dry Year Supply and Demand Comparison (AF) Single Dry SupplyRetail: -Year 2020 . Demand Comparison 1 2025 1 2030 2035 2040 Supply totals 39,218 42,100 42,388 42,377 42,438 Demand totals 39,218 42,100 42,388 42,37 442,438 Difference 0 0 0 0 0 NOTES: Developed by MWDOC as 2015 Bump Methodology Table 3-8: Multiple Dry Years Supply and Demand Comparison (AF) Retail: Multiple Dry Years Supply and-D�emancl 2020 Cornpaei.son, 2025 2030 2035 2040 Supply totals 39,218 42,100 42,388 42,377 42,438 First year Demand totals 39,218 42,100 42,388 42,377 42,438 Difference 0 0 0 0 0 Supply totals 39,218 42,100 42,388 42,377 42,438 Second year Demand totals 39,218 42,100 42,388 42,377 42,438 Difference 0 0 0 0 0 Supply totals 39,218 42,100 42,388 42,377 42,438 Third year Demand totals 39,218 42,1OD 42,388 42,377 42,438 Difference 1 0 0 1 0 0 0 NOTES: Developed by MWDOC as 2015 Bump Methodology armclis,com Mitt 3-22 2015 URBAN WATER MANAGEMENT PLAN 4 DEMAND MANAGEMENT MEASURES The Demand Management Measures (DMM) section provides a comprehensive description of the water conservation programs that a supplier has implemented, is currently implementing, and plans to implement in order to meet its urban water use reduction targets. The reporting requirements for DMM were significantly modified and streamlined in 2014 by Assembly Bill 2067. For a retail agency such as the City the requirements changed from having 14 specific measures to six more general requirements plus an "other" category. 4.1 Water Waste Prevention Ordinances The City Council adopted the Water Conservation and Supply Shortage Program Ordinance No. NS-2877 on May 19, 2015. Ordinance No. NS-2877 establishes permanent water conservation requirements and prohibition against waste that are effective at all times and is not dependent upon a water shortage for implementation, as follows: • No washing down hard or paved surfaces • Limit on watering hours • Re -circulating water required for water fountains and decorative water features • Drinking water served upon request only • Limits on washing vehicles • Commercial lodging establishments must provide guests option to decline daily linen services • Restaurants required to use water conserving dish wash spray valves • Obligation to fix leaks, break, or malfunctions • No installation of single pass cooling systems • Commercial car wash systems • No excessive water flow or runoff • No installation of non -recirculating water systems in commercial car wash and laundry systems • No watering during or within 48 hours of measurable rainfall No irrigation of ornamental turf on public street medians with potable water • Limit on irrigation with potable water of landscapes outside of new construction In an event of a water supply shortage, the ordinance further establishes three levels of water supply shortage response actions to be implemented during times of declared water shortage or declared water shortage emergency, with increasing restrictions on water use in response to worsening drought or emergency conditions and decreasing supplies. The provisions and water conservation measures to be implemented in response to each shortage level are described in Section 5 of the UW MP. The City's Water Conservation and Supply Shortage Program Ordinance is included in Appendix D. arcadis.com gIb� 4-1 2015 URBAN WATER MANAGEMENT PLAN Table 4-1 summarizes the City's water waste prohibition efforts in the past five years and the projected number of sit visits and expenditures related to the Water Conservation and Supply Shortage Program. Table 4-1: Water Waste Prohibition The City maintains active water wasting prohibition measures at all times and has the ability to implement additional measures as water conservation needs dictate (see Table 5.3 in Section 5-5). In 2015, as a result of the Governor's drought mandates, the City began to track its water wasting prohibition enforcement activities. On June 2, 2015 the City declared a Phase 2 water supply shortage in Resolution No. 2015-025 by formally requiring all water consumers to reduce use by 12 percent relative to their 2013 consumption. Additionally, on August 4, 2015, a water wasting penalty rate was established by Resolution No. 2015-047. This new penalty rate permits City staff to penalize those users not meeting their water use reduction targets of 12 percent. The City of Santa Ana as a whole has been meeting its State mandated target; as a result the City has yet to impose any monetary penalties on any of its users. The City has communicated the water wasting prohibitions and water conservation measures via various communication outlets available including messaging on water bills, bill inserts, bill envelopes, the City website, bus shelter advertisements, City newsletters, pole banners across the City, and a water conservation booth at community events. As a result, in 2015 the City received 1,064 water waster complaints: a dramatic increase from prior years. The City intends to continue both its water waste enforcement efforts and water conservation messaging in the future; however, the intensity of both activities will be directly related to the level of water conservation required to meet stated use reductions. 4.2 Metering The City requires individual metering for all new connections and bills by volume -of -use. All existing connections are metered. arr disxom U 9�AIOv 4-2 2015 URBAN WATER MANAGEMENT PLAN The City has a meter replacement and calibration program in place. The program is focused on replacing aging meters and those with high use. The City's meter calibration program is customer driven and is focused on testing meters at the request of customers. The City plans to expand the meter replacement and calibration program in the next five years by the implementing and deploying Automated Meter Infrastructure (AMI) and a proactive calibration and testing program focused on periodically testing high use meters. In accordance with the City's municipal code, all new development with over 1,000 square feet of landscape requires the installation of dedicated landscape meters. The City has also adopted a policy requiring individual metering of all users such as individual tenants of commercial plazas, residential condominiums, and apartments. 4.3 Conservation Pricing There are two parts to the City's water service charges: a fixed Basic Service Charge and a variable Commodity Charge. The Basic Service Charge is a fixed amount based on the connection's meter size and is billed bi-monthly. The Commodity Charge is determined by the amount of water served to the property and is measured in hundred cubic feet (HCF). The City also provides private fire water service and recycled water to specific customers and also has a Private Fire Service Charge and a Recycled Water Commodity Charge. The City's current Commodity Charge rates, effective from July 1, 2015 until July 1, 2016, were approved on February 17, 2015 and are shown in Table 4-2. Table 4-2: Water Rates Effective July 1, 2015 4.4 Public Education and Outreach Part of the City's public education and outreach program is administered by MWDOC, although the City is not one of its retail agencies. MWDOC has established an extensive public education and outreach program to assist retail agencies in Orange County to promote water use efficiency awareness within their service areas. MWDOC's public education and outreach programs consist of five primary activities as described below. In addition to the primary programs it administers, MWDOC also maintains a vibrant public website (www.mwdoc.com) as well as a social media presence on Facebook, Twitter and Instagram. MWDOC's Facebook page has more than 1,200 followers. The social media channels are used to educate the public about water -efficiency, rates and other water -related issues. arradisxom :' B dam! 1 Ibb 4-3 2015 URBAN WATER MANAGEMENT PLAN MWDOC's public education and outreach programs are described below: School Education Programs MWDOC school education programs reach more than 100,000 students per year. The program is broken into elementary and high school components. • Elementary School Program reaches 60,000 students throughout Orange County through assemblies hosted by the Discovery Science Center. MWDOC holds a $220,000 contract with the Discovery Science Center, funded proportionally by the participating MWDOC retail agencies. • High School Program is new in 2015-16 and will reach students in 20 high schools in Orange County. The program is administered by MWDOC and operated by two contractors, the OC Department of Education and the Ecology Center. Through the three-year contract, those agencies will train more than 100 county teachers on water education on topics such as, water sources, water conservation, water recycling, watersheds, and ecological solutions for the benefit of their current and future students. Teachers will learn a variety of water conservation methods, such as irrigation technology, rainwater harvesting, water recycling, and water foot -printing through a tour at the Ecology Center facility. These trainings allow teachers to support student -led conservation efforts. The program will reach a minimum of 25,000 students by providing in -classroom water education and helping students plan and implement campus wide "Water Expos" that will allow peer -to -peer instruction on water issues. The $80,000 program is funded by participating agencies. Value of Water Communication Program MWDOC administers this program on behalf of 14 agencies. The $190,000 program involves the water agencies developing 30 full news pages that will appear weekly in the Orange County Register, the largest newspaper in the county, with a Sunday readership of 798,000. The campaign will educate OC residents and business leaders on water infrastructure issues and water efficiency measures, as well as advertise water related events and other pertinent information. Quarterly Water Policy Dinners The Water Policy Dinner events attract 225 to 300 water and civic leaders every quarter. The programs host speakers topical to the OC water industry, with recent addresses from Felicia Marcus of the state water board and Dr. Lucy Jones, a noted expert on earthquakes and their potential impact on infrastructure. Annual Water Summit The annual Water Summit brings together 300 Orange County water and civic leaders with state and national experts on water infrastructure and governance issues. The half -day event has a budget of $80,000 per year. Portions of the cost are covered by attendance and sponsorships, while MWDOC splits a portion with its event partner, OCWD. Water Inspection Trips Water Inspection trips take stakeholders on tours of the CRA, California Delta and other key water infrastructure sites. The public trips are required under Metropolitan's regulations. Metropolitan covers the cost of the trips. In the past years, the City participated in trips, each taking an average of 30 residents. armdis.com MR5dU 4-4 2015 URBAN WATER MANAGEMENT PLAN Organized Community Events The City participates in many organized community events including the farmer's market, neighborhood association meetings and various cultural and holiday celebrations such as the Cinco de Mayo and Independence Day festivals. The City promotes water quality and conservation efforts via the City's Water Conservation Booth. Staff from the City's water resources division interacts with community members and provides educational and promotional materials that both promote the high quality of the City's drinking water and conservation measures. 4.5 Programs to Assess and Manage Distribution System Real Loss Senate Bill 1420 signed into law in September 2014 requires urban water suppliers that submit UWMPs to calculate annual system water losses using the water audit methodology developed by the AWWA. SB 1420 requires the water loss audit be submitted to DWR every five years as part of the urban water supplier's UWMP. Water auditing is the basis for effective water loss control. DWR's UWMP Guidebook include a water audit manual intended to help water utilities complete the AWWA Water Audit on an annual basis. A Water Loss Audit was completed for the City which identified areas for improvement and quantified total loss. Based on the data presented, the three priority areas identified were water imported, billed metered, and unauthorized consumption. Multiple criteria are a part of each validity score and a system wide approach will need to be implemented for the City's improvement. Quantified water loss for the FY 2014-15 was 677 AF which is a significant volume and presents opportunities for improvement. The City completes a system water audit to calculate water losses on an annual basis. The City's leak prevention and repair program includes an annual commitment to replace aging water main infrastructure. Leak detection will be a part of the AMI project. 4.6 Water Conservation Program Coordination and Staffing Support The City's Water Service Quality Coordinator, a position created in 1991, acts as the water conservation coordinator. The conservation coordinator is responsible for conservation program activities and acts as a liaison with MWDOC, Metropolitan, California Urban Water Conservation Council, and others. The City's conservation coordinator's duties include the following: • Administer the contracts that the City has with Metropolitan and MWDOC regarding rebate programs. • Conduct surveys at the request of residential and business customers (or designate a staff member to do so). • Coordinate with other agencies and public groups' displays on conservation information and provide free water conservation materials to the public. • Monitor the recycled water program for the City. • Administer the City's education program using contractors or staff to educate children of City schools or other locations. The City's water conservation programs are funded by the water ratepayers. The conservation program efforts are factored into the City's existing and future water rates as currently adopted. arwdis.com I U 2015 URBAN WATER MANAGEMENT PLAN 5 WATER SHORTAGE CONTINGENCY PLAN 5.1 Overview In connection with recent water supply challenges, the State Water Resources Control Board found that California has been subject to multi -year droughts in the past, and the Southwest is becoming drier, increasing the probability of prolonged droughts in the future. Due to current and potential future water supply shortages, Governor Brown issued a drought emergency proclamation on January 2014 and signed the 2014 Executive Order that directs urban water suppliers to implement drought response plans to limit outdoor irrigation and wasteful water practices if they are not already in place. Pursuant to California Water Code Section 106, it is the declared policy of the state that domestic water use is the highest use of water and the next highest use is irrigation. This section describes the water supply shortage policies Metropolitan and the City have in place to respond to events including catastrophic interruption and reduction in water supply. 5.2 Shortage Actions 5.2.1 Metropolitan Water Surplus and Drought Management Plan Metropolitan evaluates the level of supplies available and existing levels of water in storage to determine the appropriate management stage annually. Each stage is associated with specific resource management actions to avoid extreme shortages to the extent possible and minimize adverse impacts to retail customers should an extreme shortage occur. The sequencing outlined in the Water Surplus and Drought Management (WSDM) Plan reflects anticipated responses towards Metropolitan's existing and expected resource mix. Surplus stages occur when net annual deliveries can be made to water storage programs. Under the WSDM Plan, there are four surplus management stages that provides a framework for actions to take for surplus supplies. Deliveries in DVL and in SW P terminal reservoirs continue through each surplus stage provided there is available storage capacity. Withdrawals from DVL for regulatory purposes or to meet seasonal demands may occur in any stage. The WSDM Plan distinguishes between shortages, severe shortages, and extreme shortages. The differences between each term is listed below. • Shortage: Metropolitan can meet full -service demands and partially meet or fully meet interruptible demands using stored water or water transfers as necessary. • Severe Shortage: Metropolitan can meet full -service demands only by using stored water, transfers, and possibly calling for extraordinary conservation. • Extreme Shortage: Metropolitan must allocate available supply to full -service customers. There are six shortage management stages to guide resource management activities. These stages are defined by shortfalls in imported supply and water balances in Metropolitan's storage programs. When Metropolitan must make net withdrawals from storage to meet demands, it is considered to be in a shortage condition. Figure 5-1 gives a summary of actions under each surplus and shortage stages when arcadis.com }� T� �F1I V 2 5 1 2015 URBAN WATER MANAGEMENT PLAN an allocation plan is necessary to enforce mandatory cutbacks. The goal of the WSDM Plan is to avoid Stage 6, an extreme shortage. Figure 5-1: Resource Stages, Anticipated Actions, and Supply Declarations Metropolitan's Board of Directors adopted a Water Supply Condition Framework in June 2008 in order to communicate the urgency of the region's water supply situation and the need for further water conservation practices. The framework has four conditions, each calling increasing levels of conservation. Descriptions for each of the four conditions are listed below: • Baseline Water Use Efficiency: Ongoing conservation, outreach, and recycling programs to achieve permanent reductions in water use and build storage reserves. • Condition 1 Water Supply Watch: Local agency voluntary dry -year conservation measures and use of regional storage reserves. • Condition 2 Water Supply Alert: Regional call for cities, counties, member agencies, and retail water agencies to implement extraordinary conservation through drought ordinances and other measures to mitigate use of storage reserves. • Condition 3 Water Supply Allocation: Implement Metropolitan's WSAP As noted in Condition 3, should supplies become limited to the point where imported water demands cannot be met, Metropolitan will allocate water through the WSAP (Metropolitan, 2015 UW MP, June 2016). armdis.com 5-2 2015 URBAN WATER MANAGEMENT PLAN 5.2.2 Metropolitan Water Supply Allocation Plan Metropolitan's imported supplies have been impacted by a number of water supply challenges as noted earlier. In case of extreme water shortage within the Metropolitan service area is the implementation of its WSAP. Metropolitan's Board of Directors adopted the WSAP in February 2008 to fairly distribute a limited amount of water supply and applies it through a detailed methodology to reflect a range of local conditions and needs of the region's retail water consumers. The WSAP includes the specific formula for calculating member agency supply allocations and the key implementation elements needed for administering an allocation. Metropolitan's WSAP is the foundation for the urban water shortage contingency analysis required under Water Code Section 10632 and is part of Metropolitan's 2015 UWMP. Metropolitan's WSAP was developed in consideration of the principles and guidelines in Metropolitan's 1999 WSDM Plan with the core objective of creating an equitable "needs -based allocation". The WSAP's formula seeks to balance the impacts of a shortage at the retail level while maintaining equity on the wholesale level for shortages of Metropolitan supplies of up to 50 percent. The formula takes into account a number of factors, such as the impact on retail customers, growth in population, changes in supply conditions, investments in local resources, demand hardening aspects of water conservation savings, recycled water, extraordinary storage and transfer actions, and groundwater imported water needs. The formula is calculated in three steps: 1) based period calculations, 2) allocation year calculations, and 3) supply allocation calculations. The first two steps involve standard computations, while the third step contains specific methodology developed for the WSAP. Step 1: Base Period Calculations — The first step in calculating a member agency's water supply allocation is to estimate their water supply and demand using a historical based period with established water supply and delivery data. The base period for each of the different categories of supply and demand is calculated using data from the two most recent non -shortage fiscal years ending 2013 and 2014. Step 2: Allocation Year Calculations — The next step in calculating the member agency's water supply allocation is estimating water needs in the allocation year. This is done by adjusting the base period estimates of retail demand for population growth and changes in local supplies. Step 3: Supply Allocation Calculations— The final step is calculating the water supply allocation for each member agency based on the allocation year water needs identified in Step 2. In order to implement the WSAP, Metropolitan's Board of Directors makes a determination on the level of the regional shortage, based on specific criteria, typically in April. The criteria used by Metropolitan includes, current levels of storage, estimated water supplies conditions, and projected imported water demands. The allocations, if deemed necessary, go into effect in July of the same year and remain in effect for a 12-month period. The schedule is made at the discretion of the Board of Directors. Although Metropolitan's 2015 UWMP forecasts that Metropolitan will be able to meet projected imported demands throughout the projected period from 2020 to 2040, uncertainty in supply conditions can result arc dis.com j� 9V IV4 5 3 2015 URBAN WATER MANAGEMENT PLAN in Metropolitan needing to implement its WSAP to preserve dry -year storage and curtail demands (Metropolitan, 2015 UWMP, June 2016). 5.2.3 City of Santa Ana The City's Water Conservation Ordinance No. NS-2877 was passed by the City on May 19, 2015. The purpose of the Water Conservation Ordinance is to encourage reduced water consumption within the City through conservation, enable effective water supply planning, assure reasonable and beneficial use of water, prevent waste of water, and maximize the efficient use of water within the City. It provides procedures, rules, and regulations for mandatory water conservation that gain results while minimizing the effect of a water shortage on the City's water customers. The City is fully dependent on Metropolitan and OCWD for its water supply. Confirmation of an extended water shortage emergency would generally be received from one or both of these agencies. An actual shortage does not have to exist; merely the threat of a shortage is sufficient cause to impose sanctions. When a water shortage appears imminent, the City Manager notifies the City Council and recommends holding a public hearing for the purpose of determining whether a water shortage emergency exists. If the City Council determines that a water shortage exists, it then makes the decision as to the appropriate phase of the Ordinance to implement. There are three Water Shortage Stages that the City can implement. A summary of the stages of water shortage is displayed in Table 5-1 (Santa Ana, City Ordinance No. NS-2877, May 2015). The City does not have a set percent supply reduction for each stage but will determine the percent reduction as it enters into each stage. Table 5.1: Stages of Water Shortage Contingency Plan Retail Stages of WaterShortage Contingency Plan Stage Percent Supply Water Supply Condition Reduction A Phase 1 Water Shortage applies during times of regional 1 U to 10% p drought when, in the spirit of cooperation, the City desires to assist in overall water conservation and water consumption reduction A Phase 2 Water Shortage applies during times of regional 2 Up to 20% drought when, in the spirit of cooperation, the City desires to assist in overall water conservation and water consumption reduction A Phase 3 Water Shortage Emergency applies during times 3 U to 50% p of regional drought when, in the spirit of cooperation, the City desires to assist in overall water conservation and water consumption reduction NOTES: arcadis.mm �+ 9mitt 5-4 2015 URBAN WATER MANAGEMENT PLAN 5.3 Three -Year Minimum Water Supply As a matter of practice, Metropolitan does not provide annual estimates of the minimum supplies available to its member agencies. As such, Metropolitan member agencies must develop their own estimates for the purposes of meeting the requirements of the Act. Section 135 of the Metropolitan Water District Act declares that a member agency has the right to invoke its "preferential right" to water, which grants each member agency a preferential right to purchase a percentage of Metropolitan's available supplies based on specified, cumulative financial contributions to Metropolitan. Each year, Metropolitan calculates and distributes each member agency's percentage of preferential rights. However, since Metropolitan's creation in 1927, no member agency has ever invoked these rights as a means of acquiring limited supplies from Metropolitan. As captured in its 2015 UWMP, Metropolitan believes that the water supply and demand management actions it is undertaking will increase its reliability throughout the 25-year period addressed in its plan. Thus for purposes of this estimate, it is assumed that Metropolitan will be able to maintain the identified supply amounts throughout the three-year period. Metropolitan projects reliability for full service demands through the year 2040. Additionally, through a variety of groundwater reliability programs conducted by OCWD and participated in by the City, local supplies are projected to be maintained at demand levels. Based on Metropolitan's WSAP, the City is expected to fully meet demands for the next three years assuming Metropolitan is not in shortage, a BPP of 70 percent for Local Supplies, and zero allocations are imposed for Imported Supplies. The Three Year Estimated Minimum Water Supply is listed in Table 5-2. Table 5-2: Minimum Supply Next Three Years (AF) Retail: Minimum Supply Next Three Years 2016 1 2017 2018 Available Water 38,642 Supply 38,642 38,642 NOTES: 5.4 Catastrophic Supply Interruption Given the great distances that imported supplies travel to reach Orange County, the region is vulnerable to interruptions along hundreds of miles aqueducts, pipelines and other facilities associated with delivering the supplies to the region. Additionally, the infrastructure in place to deliver supplies are susceptible to damage from earthquakes and other disasters. 5.4.1 Metropolitan Metropolitan has comprehensive plans for stages of actions it would undertake to address a catastrophic interruption in water supplies through its WSDM Plan and WSAP. Metropolitan also developed an Emergency Storage Requirement to mitigate against potential interruption in water supplies resulting from catastrophic occurrences within the southern California region, including seismic events along the San Andreas Fault. In addition, Metropolitan is working with the state to implement a comprehensive arcadis.com CEy��I•//tt���� T,,1 JJA falb 5 5 2015 URBAN WATER MANAGEMENT PLAN improvement plan to address catastrophic occurrences outside of the southern California region, such as a maximum probable seismic event in the Delta that would cause levee failure and disruption of SWP deliveries. For greater detail on Metropolitan's planned responses to catastrophic interruption, please refer to Metropolitan's 2015 UWMP. 5.4.2 Water Emergency Response of Orange County In 1983, the Orange County water community identified a need to develop a plan on how agencies would respond effectively to disasters impacting the regional water distribution system. The collective efforts of these agencies resulted in the formation of the Water Emergency Response Organization of Orange County (WEROC) to coordinate emergency response on behalf of all Orange County water and wastewater agencies, develop an emergency plan to respond to disasters, and conduct disaster training exercises for the Orange County water community. WEROC was established with the creation of an indemnification agreement between its member agencies to protect each other against civil liabilities and to facilitate the exchange of resources. WEROC is unique in its ability to provide a single point of contact for representation of all water and wastewater utilities in Orange County during a disaster. This representation is to the county, state, and federal disaster coordination agencies. Within the Orange County Operational Area, WEROC is the recognized contact for emergency response for the water community, including the City. 5.4.3 City of Santa Ana The Water Utility's Emergency Response Plan (ERP) identifies the immediate actions that the City will take to respond, in coordination with the City's Emergency Response Plan, to a declared water shortage. The City will work in close cooperation with Metropolitan and the Metropolitan Area Radio System (MARS) Network, an organization of water utilities within the service area of Metropolitan to immediately contact its customer agencies during an emergency about potential interruption of services. MARS is an emergency communications system to facilitate the flow of information, control, and exchange of materials and mutual aid within Metropolitan's service area. Metropolitan and its member agencies formed MARS to improve emergency response, provide alternate means of communication in emergencies, and expedite mutual aid. In the case that the Metropolitan Emergency Operations Center (MEOC) is activated, the MEOC will direct all coordination with member agencies. The Water Utility's ERP describes the organizational and operational policies and procedures required to meet the needs of sufficient water for firefighting operations and safe drinking water and provide a system for organizing and prioritizing water repairs. It also cites authorities and specifies the public and private organizations responsible for providing water service. The Water Utility will operate under normal operating procedures until a situation is beyond its control. This includes implementation of any allocation plan passed on by Metropolitan, and water shortage contingency plans of OCWD. If the situation is the Water Utility's control, the Water Operations Center (WOC) may be activated to better manage the situation. If the situation warrants, the City Emergency Operations Center (EOC) may be activated at which time a water representative will be sent to the EOC to coordinate water emergency response with all other City department's emergency response. arc disxom 8 !V7 5-6 2015 URBAN WATER MANAGEMENT PLAN 5.5 Prohibitions, Penalties and Consumption Reduction Methods 5.5.1 Prohibitions The City's Water Conservation Ordinance No. NS-2877 lists water conservation requirements that will take effect upon implementation by the City Council. These prohibitions will promote the efficient use of water, reduce or eliminate water waste, and enable implementation of the City's Water Shortage Contingency Measures. Water conservation measures become more restrictive per each progressive stage in order to address the increasing differential between water supply and demand. A list of restrictions and prohibitions that are applicable to each stage is shown in Table 5-3 (Santa Ana, City Ordinance No. NS-2877, May 2015). Table 5-3: Restrictions and Prohibitions on End Uses Retail Only: Restridions and Prohibitions on End Uses Restrictions and Penalty, Stage Prohibitions on Additional Explanation or Reference Charge, or End Users Other Enforcement? This restriction does not apply to situations Other - Prohibit where it is necessary to dispose of Permanent use of potable dangerous liquids or alleviate safety or Year -Round water for washing sanitary hazards. Only then may this be No hard surfaces performed by use of a hand-held bucket or a hand-held hose equipped with a positive self -closing water shut-off device. Watering of lawn, landscape or other turf Landscape - Limit areas except between the hours of 6:00 p.m. Permanent landscape and 9:00 a.m. is prohibited, except by use of Year -Round irrigation to a hand -water shut-off nozzle or device, or No specific times for very short periods of time for the express purpose of adjusting or repairing an irrigation system. Other water The use of water to clean, fill or maintain Permanent feature or levels in decorative fountains, ponds, lakes Year -Round swimming pool or other similar aesthetic structures unless No such water is part of a recirculating system is restriction prohibited. CII - Restaurants Permanent may only serve Year -Round water upon No request arcadis.com }� 8� 13a 5 7 2015 URBAN WATER MANAGEMENT PLAN Only:Retail Penalty , Restrictions and Charge, or Stage Prohibitions on Additional Explanation or Reference Other End Users Enforcement? Other - Prohibit vehicle washing Permanent except at facilities No Year -Round using recycled or recirculating water CII - Lodging Permanent establishment - No Year -Round must offer opt out of linen service CII - Commercial Permanent kitchens required No Year -Round to use pre -rinse spray valves Other - Customers All leaks, breaks, or other malfunctions in must repair leaks, the water user's plumbing or distribution Permanent breaks, and system must be repaired within seventy-two No Year -Round malfunctions in a (72) hours of notification by the City, unless timely manner other arrangements are made with the City. Installation of single pass cooling systems is Permanent Other prohibited in buildings requesting new No Year -Round water service. All commercial conveyor car wash systems Permanent Other must have installed operational recirculating No Year -Round water systems, or must have secured a waiver of this requirement from the City. Landscape - Permanent Restrict or Year -Round Prohibit runoff No from landscape irrigation Installation of non -re- circulating water Permanent Other systems is prohibited in new commercial No Year -Round conveyor car wash and new commercial laundry systems. armdis.com fl 4F Ibb 5_8 2015 URBAN WATER MANAGEMENT PLAN Retail Only: Restrictions and Prohibitions on End Uses Restrictions and Penalty, Stage Prohibitions on Additional Explanation or Reference Charge, or End Users Other Enforcement? Landscape - Other The use of water to irrigate outdoor Permanent landscape Year -Round restriction or landscapes during or within 48 hours after No prohibition measurable rainfall is prohibited. Landscape - Other The irrigation of ornamental turf on public Permanent landscape Year -Round restriction or street medians with potable water is No prohibition prohibited. Irrigation of newly constructed homes and Landscape- Other buildings must be performed in a manner Permanent landscape consistent with regulations or other Year -Round restriction or requirements established by the California No prohibition Building Standards Commission and the Department of Housing and Community Development. Watering of lawn, landscape or other turf Landscape - Limit areas is prohibited except between the 1 landscape hours of 6:00 p.m. and 6:00 a.m. on the days irrigation to of Monday, Thursday and Saturday. This Yes specific days does not apply to commercial nurseries and golf courses. The watering of lawn, landscape or other Landscape - Other turf areas of commercial nurseries or golf 1 landscape courses shall be allowed between the hours restriction or of 6: 00 p. m. and 6: 00 a. m. There shall be Yes prohibition no restriction on watering utilizing reclaimed water. Other - Customers All leaks, breaks, or other malfunctions in must repair leaks, the water user's plumbing or distribution 1 breaks, and system must be repaired within seventy-two Yes malfunctions in a (72) hours of notification by the City, unless timely manner other arrangements are made with the City. Watering of lawn, landscape or other turf Landscape - Limit areas is prohibited except between the 2 landscape hours of 6:00 p.m. and 6:00 a.m. on the days irrigation to of Monday and Thursday. This provision Yes specific days does not apply to commercial nurseries and golf courses. arcadis.com dMb 59 2015 URBAN WATER MANAGEMENT PLAN Retail Only: Restrictions and Prohibitions on End Uses Restrictions and Penalty, Charge, or Stage Prohibitions on Additional Explanation or Reference Other End Users Enforcement? The watering of lawn, landscape or other Landscape- Other turf areas of commercial nurseries or golf 2 landscape courses shall be allowed every other day and Yes restriction or between the hours of 6: 00 p.m. and 6:00 prohibition a.m. There shall be no restriction on watering utilizing reclaimed water. It is prohibited to use water from fire hydrants except for firefighting and related 2 Other activities. Other uses of water for municipal Yes purposes shall be limited to activities necessary to maintain the public health, safety and welfare. Other - Customers All leaks, breaks, or other malfunctions in must repair leaks, the water user's plumbing or distribution 2 breaks, and system must be repaired with forty -eight Yes malfunctions in a (48) hours of notification by the City, unless timely manner other arrangements are made with the City. Other water Refilling of more than one foot and initial 2 feature or filling of residential swimming pools or Yes swimming pool outdoor spas with potable water is restriction prohibited. This does not apply towards the following circumstances: 1) maintenance of vegetation that are watered using a hand- held bucket or similar container or a hand- held hose equipped with a positive self - Landscape - closing water shut-off nozzle or device, 2) 3 Prohibit all maintenance of existing landscape necessary Yes landscape for fire protection, 3) maintenance of irrigation existing landscape for soil erosion, and 4) maintenance of landscape within active public parks, playing fields, day care centers, golf course greens, and school grounds provided irrigation does not exceed two (2) days per week. Other -Customers ' All leaks, breaks, or other malfunctions in 3 must repair leaks, the water user's plumbing or distribution Yes breaks, and system must be repaired with twenty-four arcadis.com gffi�l 5-10 2015 URBAN WATER MANAGEMENT PLAN Retail Only: Restrictions and Prohibitions on End Uses Restrictions and Penalty, Stage Prohibitions on Additional Explanation or Reference Charge, or End Users 7(2�) Other Enforcement? malfunctions in a hours of notification by the City, unless timely manner other arrangements are made with the City. No new potable water service, new temporary meters, and statement of immediate ability to serve or provide water service will be issued except under the following circumstances: 1) a valid, unexpired building permit has been issued 3 Other for the project, 2) the project is necessary to Yes protect the public health, safety, and welfare, or 3) the applicant provides substantial evidence of an enforceable commitment that water demands for the project will be offset prior to the provision of a new water meter(s) to the satisfaction of the City. NOTES: 5.5.2 Penalties Any customer who violates any of the Water Shortage provisions will be subject to written warnings, fine, and possible disconnection of service. The first violation will result in a written notice in the utility bill of the customer in violation. The second and subsequent violations will result in a written notice and a surcharge in an amount set by the City Council on the water use in excess of the water allocation requirements. Customers who have three violations within a 12-month period shall be deemed gross violators and will be subject to the installation of a flow restrictor device by the City. The charge for installing and removing a flow -restricting device and any other penalties and charges due to the City shall be paid before normal service can be restored (Santa Ana, City Ordinance No. NS-2877, May 2015). 5.5.3 Consumption Reduction Methods Table 5-4 lists the consumption reduction methods that will be used to reduce water use in restrictive stages. arcadis.com flI�� 5-11 2015 URBAN WATER MANAGEMENT PLAN Table 5.4: Stages of Water Shortage Contingency Plan - Consumption Reduction Methods , I Only: Stages of Water Shortage Contingency Plan - Consumption ReductionRetail od Stage Consumption Reduction Additional Explanation or Reference Methods by Water Supplier 1 Other Phase 1 Conservation Measures 2 Other Phase 2 Conservation Measures 3 Other Phase 3 Conservation Measures NOTES: 5.6 Impacts to Revenue The actions described above to address a range of water shortage conditions have the potential to impact the City's revenues and expenditures. To assess these impacts, the City calculated the revenue impacts resulting from a 10, 25, and 50 percent reduction in sales as compared to a base year that was based on an estimate of normal year baseline. Other factors incorporated into the analysis included water losses, pricing structure, and avoided costs. The results of this analysis are shown below in Table 5-5. Table 5-5: Revenue Impact Analysis Water Production 16,294,794 14,665,315 12,221,096 9,147,397 Groundwater(OCWD) 10,591,616 9,532,454 7,943,712 5,295,808 Imported vater(MWD) 5,703,178 5,132,960 4,277,383 2,851,589 Water Loss(HCF) 545,599 480,544 382,963 220,326 Water 5ales(HCF) 15,749,195 14,194,770 11,838,133 7,927,071 Residential 10,511,375 9,460,238 7,893,531 5,255,688 Commercial 4,278,478 3,850,630 3,208,859 2,139,239 City, Other 854,395 768,956 640,796 427,198 Recycle Irrigation 304,947 104,947 104,947 104,947 Tier 1(%) 64% 64% 64% 64% Tier 2(%) 35% 35% 35% 35% Recycle Irrigation (%) 1% 1% 1% 1% Tier 1(HCF) 10,079,485 9,078,253 7,576,405 5,073,325 Tier 2(HCF) 5,564,763 5,001,570 4,156,781 2,748,799 Recycled Water(HCF) 104,947 104,947 104,947 104,947 Total 15,749,195 14,184,770 11,838,133 7,927,071 Revenue Residential arcadis.cam I�j J 5-12 2015 URBAN WATER MANAGEMENT PLAN Demand Baseline 10% 2S% SOY. Per 1 Rate ($1 1.14 2.73 2.73 3.73 Tier 2 Rate(5) 3.15 3.15 3.15 3.15 Recycled Water ($) 2.18 2.18 2.18 2.18 Tier Revenue 27,516,994 24,783,630 20,683,586 13,850,178 Ter Revenue 17,529,004 15,754,946 13,093,860 8,658,715 Recycled Water ($) 228,784 228,784 228,784 228,784 Total $45,274,782 $40,767,361 $34,006,230 $22,737,678 Fixed Monthly/Bimonthly Charge Revenue $3,862,450 $3,862,450 $3,862,450 $3,862,450 Total Rate Revenue $49,137,232 $44,629,811 $37,868,680 $26,600,128 Revenue Last ($4,507,421) ($11,268,552) ($22,537,104) Variable Costs Water Producdon(HCF) 16,764,261 14,593,445 12,179,200 8,155,457 Unit Costs ($/HCF) Purchased Water $1.03 $1,03 $1.03 $1.03 Avoided Casts $2,1]0,815 $4,585,061 $8,608,804 Net Revenue Change (2,336,605) (6,683,491) (13,928,300) Rate Revenue Increase Required 4.99% t 15,74% 39.56% The following measures can be implemented by the City to overcome each reduction in water sales scenario outlined above depending on anticipated short-term and long-term financial impacts. The City can draw needed funds from its emergency operation and maintenance fund, which are kept in reserve to provide adequate revenue to allow the water system to function for up to 120 days of normal operations. • The City can defer non -mission critical capital improvement projects and reallocate the funds to cover the cost of operations and critical maintenance. The City Manager can recommend the City Council to declare a water shortage and implement the City's Water Shortage Contingency Plan. Depending on the severity of the shortage and impact on revenue, the City Council may increase water rates, other than Tier 1 Lifeline rates, by an amount necessary as determined by the City Council. The subsequent rate increases enacted will remain in effect until such time the City Council declares a water shortage no longer exists. arcadis.ccm 2015 URBAN WATER MANAGEMENT PLAN 5.7 Reduction Measuring Mechanism Under normal conditions, potable water production figures are recorded daily. Weekly and monthly reports are prepared and monitored. This data will be used to measure the effectiveness of any water shortage contingency stage that may be implemented. arcadis.com I=j 5-14 2015 URBAN WATER MANAGEMENT PLAN 6 RECYCLED WATER Recycled water opportunities have continued to grow in southern California as public acceptance and the need to expand local water resources continues to be a priority. Recycled water also provides a degree of flexibility and added reliability during drought conditions when imported water supplies are restricted. Recycled water is wastewater that is treated through primary, secondary and tertiary processes and is acceptable for most non -potable water purposes such as irrigation, and commercial and industrial process water per Title 22 requirements. 6.1 Agency Coordination The City does not own or operate wastewater treatment facilities and sends all collected wastewater to OCSD for treatment and disposal. OCWD is the manager of the OC Basin and strives to maintain and increase the reliability of the OC Basin through replenishment with imported water, stormwater, and advanced treated wastewater. OCWD and OCSD have jointly constructed and expanded two water recycling projects to meet this goal that include: 1) OCWD GAP and 2) OCWD GWRS. 6.1.1 OCWD Green Acres Project OCWD owns and operates the GAP, a water recycling system that provides up to 8,400 AFY of recycled water for irrigation and industrial uses. GAP provides an alternate source of water that is mainly delivered to parks, golf courses, greenbelts, cemeteries, and nurseries in the Cities of Costa Mesa, Fountain Valley, Newport Beach, and Santa Ana. Approximately 100 sites use GAP water, current recycled water users include Mile Square Park and Golf Courses in Fountain Valley, Costa Mesa Country Club, Chrome Systems carpet dyeing, Kaiser Permanente, and Caltrans. The City maintains an agreement with OCWD to supply GAP water to customers where available. 6.1.2 OCWD Groundwater Replenishment System OCW D's GWRS receives secondary treated wastewater from OCSD and purifies it to levels that meet and exceed all state and federal drinking water standards. The GWRS Phase I plant has been operational since January 2008, and uses a three -step advanced treatment process consisting of microfiltration (MF), reverse osmosis (RO), and ultraviolet (UV) light with hydrogen peroxide. A portion of the treated water is injected into the seawater barrier to prevent seawater intrusion into the groundwater basin. The other portion of the water is pumped to ponds where the water percolates into deep aquifers and becomes part of Orange County's water supply. The treatment process described on OCWD's website is provided below (OCWD, GWRS, 2015). GWRS Treatment Process The first step of the treatment process after receiving the secondary treated wastewater is a separation process called MF that uses hollow polypropylene fibers with 0.2 micron diameter holes in the sides. Suspended solids, protozoa, bacteria and some viruses are filtered out when drawing water through the holes to the center of the fibers. armdis.com 2015 URBAN WATER MANAGEMENT PLAN The second step of the process consists of RO, semi -permeable polyamide polymer (plastic) membranes that water is forced through under high pressure. RO removes dissolved chemicals, viruses and pharmaceuticals in the water resulting in near -distilled -quality water that requires minerals be added back in to stabilize the water. This process was used by OCWD from 1975 to 2004 at their Water Factory 21 (W F-21) to purify treated wastewater from OCSD for injection into the seawater intrusion barrier. The third step of the process involves water being exposed to high -intensity UV light with hydrogen peroxide (H2O2) for disinfection and removal of any trace organic compounds that may have passed through the RO membranes. The trace organic compounds may include NDMA and 1-4 Dioxane, which have been removed to the parts -per trillion level. UV disinfection with H2O2 is an effective disinfection/advanced oxidation process that keeps these compounds from reaching drinking water supplies. OCWD's GWRS has a current production capacity of 112,100 AFY with the expansion that was completed in 2015. Approximately 39,200 AFY of the highly purified water is pumped into the injection wells and 72,900 AFY is pumped to the percolation ponds in the city of Anaheim where the water is naturally filtered through sand and gravel to deep aquifers of the groundwater basin. The OC Basin provides approximately 72 percent of the potable water supply for north and central Orange County. The design and construction of the first phase (78,500 AFY) of the GWRS project was jointly funded by OCWD and OCSD; Phase 2 expansion (33,600 AFY) was funded solely by OCWD. Expansion beyond this is currently in discussion and could provide an additional 33,600 AFY of water, increasing total GWRS production to 145,700 AFY. The GWRS is the world's largest water purification system for indirect potable reuse (IPR). 6.2 Wastewater Description and Disposal The City operates and maintains the local sewer system consisting of over 390 miles of pipeline, 7,630 manholes, and two lift stations that connect to OCSD's trunk system to convey wastewater to OCSD's treatment plants. OCSD has an extensive system of gravity flow sewers, pump stations, and pressurized sewers. Collected wastewater is sent to OCSD's plants located in the Cities of Huntington Beach and Fountain Valley. OCSD's Plant No. 1 in Fountain Valley has a capacity of 320 million gallons per day (MGD) and Plant No. 2 in Huntington Beach has a capacity of 312 MGD. Both plants share a common ocean ouffall, but Plant No. 1 currently provides all of its secondary treated wastewater to OCWD's GWRS for beneficial reuse. The 120-inch diameter ocean outfall extends 4 miles off the coast of Huntington Beach. A 78-inch diameter emergency outfall also extends 1.3 miles off the coast. Table 6-1 summarizes the wastewater collected by the City and transported to OCSD's system in 2015. No wastewater is treated or disposed in the City's service area as OCSD treats and disposes all of the City's wastewater. arcadis.com I'� 66%rj / /�j�j 6-2 r� 5 a o ova m � Y z U J \ N Y N O1 E E z o 6 m Y Z Z a a L « T � A u y Nto N U! Y a o 3�oYu c y O c Y o E m E E, u N ~ O U Z O — N 0 w � O N N Nm G D D E v a 00 00 Y W M n O m u >3v N N 6 u v O a,`w c E Y Y Y d O E v Y U E m Lo m E w 3 u u C W N O O > O C u '— N ` 3 c Y c u 0 co v i a c m a E Z u u Z U N U m 55A-78 2015 URBAN WATER MANAGEMENT PLAN 6.3 Current Recycled Water Uses The City provides OCWD GAP recycled water to the southern part of the City. In FY 2014-15, approximately 352 AF of GAP water was used in the Citys service area. The current users/uses of recycled water are as follows: • Centennial Soccer Fields • Bomo Koral Park • Flower Street Bike Trail • McFadden Intermediate School • Adams Park • Chroma Systems- Carpet Dyeing • Chroma Systems- Landscape • Kaiser Medical Office Landscape • Chick-fil-A Landscape • Santa Ana River Trail Landscape • Godinez High School Landscape • MacArthur Boulevard Median Landscape • Bear Street Median Landscape • Thornton Park • Harbor Boulevard Median Landscape • Santa Ana Valley High School Sports Complex Landscape Current and projected recycled water use through 2040 are shown in Table 6-2 and are expected to remain constant. The projected 2015 recycled water use from the Citys 2010 UWMP are compared to the 2015 actual use in Table 6-3, where the actual use is higher than the projected. arcadis.com d I b 6-4 z J a r z W 2 W ¢ z w W i z m U� N 0 v o o N N M m N M o 0 p m m N O M O o m m N � N O p p N N N m m O N p O O rq N M M i p Ln N M m 0 E o p > aj u u ~ 0 O c O N N m h y Y `! N r d 0O Vr U E U y N Y V Y � EO C a E S u 0 0 o u � o 0 0 0 ¢ o u ° 'E v o o Y a c U c_ to m v u v w 3° 0 m G E 0 ry- U UN D `t v.v L F c m ¢ J (D u C7 V1 C Z 0 u 0 2 m 55A-80 2015 URBAN WATER MANAGEMENT PLAN Table 63: 2010 UWMP Recycled Water Use Projection Compared to 2015 Actual (AF) 2010 UWIMIP Recycled Water Use Projection Use Type C. .. -. 2010 Projection for 2015 to 2015 2015 actual use Agricultural irrigation Landscape irrigation (excludes golf courses) 300 352 Golf course irrigation Commercial use Industrial use Geothermal and other, energy production Seawater intrusion barrier Recreational impoundment Wetlands or wildlife habitat Groundwater recharge (IPR) Surface water augmentation (IPR) Direct potable reuse Other Type of Use Total 300 352 NOTES: 6.4 Potential Recycled Water Uses Potential recycled water users are locations where recycled water could replace potable water use. Since OCWD is limited in GAP plant capacity, additional users do not exist at the time and the City does not expect additional GAP use in the future. 6.4.1 Direct Non -Potable Reuse The City currently uses recycled water from OCWD's GAP for direct non -potable reuse such as landscape irrigation. 6.4.2 Indirect Potable Reuse The City benefits from OCWD's GWRS system that provides indirect potable reuse through replenishment of OC Basin with water that meets state and federal drinking water standards. arcadis.com 88M 1 6-6 2015 URBAN WATER MANAGEMENT PLAN 6.5 Optimization Plan Studies of water recycling opportunities within southern California provide a context for promoting the development of water recycling plans. It is recognized that broad public acceptance of recycled water requires continued education and public involvement. Currently, most of the recycled water available is being directed toward replenishment of the groundwater basin and improvements in groundwater quality. As a groundwater user, the City supports the efforts of OCWD and OCSD to use recycled water as a primary resource for groundwater recharge in Orange County. Public Education The City participates in the MWDOC public education and school education programs that include extensive sections on water recycling. MWDOC's water use efficiency public information programs are a partnership with agencies throughout the county. Through a variety of public information programs, MWDOC reaches the public, including those in the City, with information regarding present and future water supplies, the demands for a suitable quantity and quality of water, including recycled water, and the importance of implementing water efficient techniques and behaviors. Water education programs through MWDOC have reached thousands of students in the City with grade -specific programs that include information on recycled water. Financial Incentives The implementation of recycled water projects involves a substantial upfront capital investment for planning studies, Environmental Impact Reports (EIR), engineering design and construction before there is any recycled water to market. For some water agencies, these capital costs exceed the short-term expense of purchasing additional imported water supplies from Metropolitan. The establishment of new supplemental funding sources through federal, state and regional programs now provides significant financial incentives for water agencies to develop and make use of recycled water locally. Potential sources of funding include federal, state and local funding opportunities. These funding sources include the U.S. Department of Interior Bureau of Reclamation (USBR), California Proposition 13 Water Bond, Proposition 84 and Metropolitan LRP. These funding opportunities may be sought by the City or possibly more appropriately by regional agencies. The City will continue to support seeking funding for regional water recycling projects and programs. Optimization Recycled Water Use In Orange County, recycled water is used for irrigating golf courses, parks, schools, businesses, and communal landscaping, as well as for groundwater recharge. Recycled water users in the City receive their water from OCWD's GAP. Analyses have indicated that present worth costs to expand recycled water within other areas of the City are not cost effective as compared to purchasing imported water from Metropolitan, or using groundwater. The City will continue to conduct feasibility studies for recycled water and seek out creative solutions such as funding, regulatory requirements, institutional arrangement and public acceptance for recycled water use with OCWD, Metropolitan, and other cooperative agencies. arcadis.com WZV2 6-7 2015 URBAN WATER MANAGEMENT PLAN 7 FUTURE WATER SUPPLY PROJECTS AND PROGRAMS 7.1 Water Management Tools Resource optimization such as desalination and IPR minimize the City's and region's reliance on imported water. Optimization efforts are typically led by regional agencies in collaboration with local/retail agencies. 7.2 Transfer or Exchange Opportunities Interconnections with other agencies result in the ability to share water supplies during short term emergency situations or planned shutdowns of major imported systems. The City maintains seven connections to Metropolitan's system and nine emergency connections with surrounding agencies. These connections can provide a total supply of 60,580 gpm into the Citys distribution system. The Metropolitan connections are typically operating as constant flow sources. The City relies on its wholesalers, Metropolitan and OCWD, to be the responsible parties for negotiating water transfers and exchanges. Currently, there are no transfer or exchange opportunities. 7.3 Planned Water Supply Projects and Programs The City continually reviews practices that will provide its customers with adequate and reliable supplies. Trained staff ensures the water is safe and the supply will meet present and future needs in an environmentally and economically responsible manner. The City coordinates its long-term and water shortage planning with Metropolitan and OCWD. Water use efficiency measures described in Section 4 and use of recycled water described in Section 6 have the potential to reduce overall demand. Any new water sources developed will primarily be to better manage the groundwater basin and replace or upgrade inefficient wells, rather than support population growth and new development. The City's Fiscal Year 2015/2016 Capital Improvement Program identifies planned design and construction projects as described below. Advanced Meter Infrastructure — replace existing aging meters with new, more accurate meters and incorporate technological advances in metering technology that allows City personnel and customers to access real time water consumption data preventing future O&M involved with manual meter readings. 7.4 Desalination Opportunities In 2001, Metropolitan developed a Seawater Desalination Program (SDP) to provide incentives for developing new seawater desalination projects in Metropolitan's service area. In 2014, Metropolitan modified the provisions of their Local Resources Program (LRP) to include incentives for locally produced seawater desalination projects that reduce the need for imported supplies. To qualify for the incentive, proposed projects must replace an existing demand or prevent new demand on Metropolitan's imported water supplies. In return, Metropolitan offers two incentive formulas under the program: ar dis.mm 8W43 7-1 2015 URBAN WATER MANAGEMENT PLAN • Up to $340 per AF for 25 years, depending on the unit cost of seawater produced compared to the cost of Metropolitan supplies • Up to $475 per AF for 15 years, depending on the unit cost of seawater produced compared to the cost of Metropolitan supplies Developing local supplies within Metropolitan's service area is part of their IRP goal of improving water supply reliability in the region. Creating new local supplies reduce pressure on imported supplies from the SWP and Colorado River. On May 6th, 2015, the SWRCB approved an amendment to the state's Water Quality Control Plan for the Ocean Waters of California (California Ocean Plan) to address effects associated with the construction and operation of seawater desalination facilities (Desalination Amendment). The amendment supports the use of ocean water as a reliable supplement to traditional water supplies while protecting marine life and water quality. The California Ocean Plan now formally acknowledges seawater desalination as a beneficial use of the Pacific Ocean and the Desalination Amendment provides a uniform, consistent process for permitting seawater desalination facilities statewide. If the following projects are developed, Metropolitan's imported water deliveries to Orange County could be reduced. These projects include the Huntington Beach Seawater Desalination Project, the Doheny Desalination Project, and the Camp Pendleton Seawater Desalination Project. The City has not investigated seawater desalination as a result of economic and physical impediments. Brackish groundwater is groundwater with a salinity higher than freshwater, but lower than seawater. Brackish groundwater typically requires treatment using desalters. 7.4.1 Groundwater There are currently no brackish groundwater opportunities within the City's service area. 7.4.2 Ocean Water Huntington Beach Seawater Desalination Project— Poseidon Resources LLC (Poseidon), a private company, is developing the Huntington Beach Seawater Desalination Project to be co -located at the AES Power Plant in the City of Huntington Beach along Pacific Coast Highway and Newland Street. The proposed project would produce up to 50 MGD (56,000 AFY) of drinking water to provide approximately 10 percent of Orange County's water supply needs. Over the past several years, Poseidon has been working with OCWD on the general terms and conditions for selling the water to OCWD. OCWD and MWDOC have proposed a few distribution options to agencies in Orange County. The northern option proposes the water be distributed to the northern agencies closer to the plant within OCWD's service area with the possibility of recharging/injecting a portion of the product water into the OC Basin. The southern option builds on the northern option by delivering a portion of the product water through the existing OC-44 pipeline for conveyance to the south Orange County water agencies. A third option is also being explored that includes all of the product water to be recharged into the OC Basin. Currently, a combination of these options could be pursued. arcadis.com WALV 7-2 2015 URBAN WATER MANAGEMENT PLAN OCWD's current Long -Term Facilities Plan (LTFP) identifies the Huntington Beach Seawater Desalination project as a priority project and determined the plant capacity of 56,000 AFY as the single largest source of new, local drinking water available to the region. In addition to offsetting imported demand, water from this project could provide OCWD with management flexibility in the OC Basin by augmenting supplies into the Talbert Seawater Barrier to prevent seawater intrusion. In May 2015, OCWD and Poseidon entered into a Term Sheet that provided the overall partner structure in order to advance the project. Based on the initial Term Sheet, Poseidon would be responsible for permitting, financing, design, construction, and operations of the treatment plant while OCWD would purchase the production volume, assuming the product water quality and quantity meet specific contract parameters and criteria. Furthermore, OCWD would then distribute the water in Orange County using one of the proposed distribution options described above. Currently, the project is in the late -stages of the regulatory permit approval process and Poseidon hopes to obtain the last discretionary permit necessary to construct the plant from the California Coastal Commission (CCC) in 2016. If the CCC permit is obtained, the plant could be operational as early as 2019. Doheny Desalination Project— In 2013, after five years and $6.2 million to investigate use of a slant well intake for the Doheny Desalination Project, it was concluded the project was feasible and could produce 15 MGD (16,800 AFY) of new potable water supplies to five participating agencies. These agencies consist of: South Coast Water District (SCWD), City of San Clemente, City of San Juan Capistrano, Laguna Beach County Water District (LBCWD) and Moulton Niguel Water District. Only SCWD and LBCWD expressed interest in moving forward after work was completed, with the other agencies electing to monitor the work and consider options to subsequently come back into the project while considering other water supply investments. More recently, LBCWD has had success in using previously held water rights in the OC Basin and may elect to move forward with that project instead of ocean desalination. A final decision is pending based on securing the necessary approvals on the groundwater agreement. SCWD has taken the lead on the desalination project and has hired a consulting team to proceed with project development for the Doheny Desalination Project. Major items scheduled over the next year include: • Preliminary Design Report and Cost Estimate • Brine Outfall Analysis • EIR Process • Environmental Permitting Approvals • Public Outreach • Project Funding • Project Delivery Method • Economic Analysis arcadis.com dibt 7-3 2015 URBAN WATER MANAGEMENT PLAN The schedule for this project includes start-up and operation of up to a 5 MGD (5,600 AFY) facility by the end of 2019. SCWD anticipates leaving the option open for other agencies to participate in a larger, 15 MGD facility, with subsequent permitting and construction of additional slant wells and treatment capacity. Camp Pendleton Seawater Desalination Project— San Diego County Water Authority (SDCWA) is studying a desalination project to be located at the southwest corner of Camp Pendleton Marine Corps Base adjacent to the Santa Margarita River. The initial project would be a 50 (56,000 AFY) or 100 (112,100 AFY) MGD plant with expansions in 50 MGD increments to a maximum capacity of 150 MGD (168,100 AFY), making this the largest proposed desalination plant in the US. The project is currently in the feasibility study stage and SDCWA is conducting geological surveys, analyzing intake options, and studying the effect on ocean life and routes to bring desalinated water to SDCWA's delivery system. MWDOC and south Orange County agencies are maintaining an interest in the project. armdis.mm MU 7-4 2015 URBAN WATER MANAGEMENT PLAN 8 UWIVIP ADOPTION PROCESS Recognizing that close coordination among other relevant public agencies is key to the success of its UWMP, the City worked closely with entities such as Metropolitan to develop and update this planning document. The City also encouraged public involvement by holding a public hearing for residents to learn and ask questions about their water supply. This section provides the information required in Article 3 of the Water Code related to adoption and implementation of the UWMP. Table 8-1 summarizes external coordination and outreach activities carried out by the City and their corresponding dates. The UWMP checklist to confirm compliance with the Water Code is provided in Appendix A. Table 8-1: External Coordination and Outreach CoordinationExternal Date Reference 5/20/16 &5/27/16 Encouraged public involvement (Public Hearing) Appendix E Notified city or county within supplier's service area that water supplier is preparing an updated UWMP (at least 60 days prior to 3/3/16 Appendix E public hearing) Held public hearing 6/7/16 Appendix E Adopted UWMP 6/7/16 Appendix F Submitted UWMP to DWR 7/1/16 Submitted UWMP to the California State Library and city or 8/1/16 county within the supplier's service area Made UWMP available for public review 8/1/16 This UWMP was adopted by the City Council on June 7, 2016. A copy of the adopted resolution is provided in Appendix F. A change from the 2004 legislative session to the 2009 legislative session required the City to notify any city or county within its service area at least 60 days prior to the public hearing. As indicated in Table 8-2, the City sent a Letter of Notification to the County of Orange on March 3, 2016 to state that it was in the process of preparing an updated UWMP (Appendix E). arcadisxom d i$fi 8-1 2015 URBAN WATER MANAGEMENT PLAN Table 8-2: Notification to Cities and Counties Retail: Notification to Cities and Counties City Name 60 Day Notice Notice of Public Hearing Orange R County Name 60 Day Notice Notice of Public Hearing Orange County 0 NOTES: 8.1 Public Participation The City encouraged community and public interest involvement in the plan update through a public hearing and inspection of the draft document on June 7, 2016. Public hearing notifications were published in local newspapers. A copy of the published Notice of Public Hearing is included in Appendix E. The hearing provided an opportunity for all residents and employees in the service area to learn and ask questions about their water supply in addition to the City's plans for providing a reliable, safe, high -quality water supply. Copies of the draft plan were made available for public inspection at the City Clerk's and Utilities Department offices. 8.2 Agency Coordination The City's water supply planning relates to the policies, rules, and regulations of its regional and local water providers. The City is dependent on imported water from Metropolitan, its regional wholesaler. The City is also dependent on groundwater from OCWD, the agency that manages the OC Basin as well as provides recycled water in partnership with OCSD. While the City is not a member agency of MWDOC, it contracts and joins with it in conducting water education, conservation programs, and other activities as discussed elsewhere in the Plan. MWDOC provided assistance to the Citys 2015 UWMP by providing data and analysis such as population projections, demand projections, and SBx7-7 modeling. I -Mall J1711a6mOTI9fm 8.3.1 Review of 2010 UWMP Implementation As required by California Water Code, the City summarized Water Conservation Programs implemented to date, and compared them to those planned in its 2010 UWMP. arcadis.com Mitt 8-2 2015 URBAN WATER MANAGEMENT PLAN 8.3.2 Comparison of 2010 Planned Water Conservation Programs with 2015 Actual Programs As a signatory to the Memorandum of Understanding Regarding Urban Water Conservation in California, the City's commitment to implement Best Management Practice (BMP)-based water use efficiency program continues today. For the City's specific achievements in the area of conservation, please see Section 4 of this Plan. Comparison of 2010 Projected Recycled Water Use with 2015 Actual Use Recycled water use for the City in 2015 was about 17 percent higher than previously forecasted for 2015 in the 2010 UWMP, as illustrated in Table 6-3. 8.3.3 Filing of 2015 UWMP The City Council reviewed the Final Draft Plan on June 7, 2016. The seven -member City Council approved the 2015 UWMP on June 7, 2016. See Appendix F for the resolution approving the Plan. By July 1, 2016, the City's Adopted 2015 UWMP was filed with DWR. By August 1, 2016, the City's Adopted 2015 UWMP was filed with California State Library, County of Orange, and cities within its service area, if applicable. arcadis.com Mbb 8-3 2015 URBAN WATER MANAGEMENT PLAN REFERENCES California Department of Water Resources, 2015. Urban Water Management Plans, Guidebook for Urban Water Suppliers. CDM Smith, 2016. Final Technical Memorandum #1 of Orange County Reliability Study. Department of Water Resources, 2015. State Water Project Final Delivery Capability Report 2015. Metropolitan Water District of Southern California, 2016. Metropolitan Urban Water Management Plan 2015. Municipal Water District of Orange County, 2015. Orange County Reliability Study. Orange County Water District, 2014. OCWD Engineer's Report. Orange County Water District, 2015. OCW D Groundwater Management Plan 2015 Update. Orange County Water District. (2015). Groundwater Replenishment Study [Brochure]. San Diego County Water Authority, 2003. Quantification Settlement Agreement. Santa Ana, 2003. City of Santa Ana Sewer Master Plan. Santa Ana, 2015. City of Santa Ana Capital Improvement Program Fiscal Year 2015/2016. Santa Ana, California, Municipal Code Ordinance No. NS-2877, (2015). Southern California Association of Governments, 2012. 51h Cycle Regional Housing Needs Assessment Final Allocation Plan. U.S. Department of the Interior Bureau of Reclamation, 2012. Colorado River Basin Study. Urban Water Management Planning Act, California Water Code § 10610-10656 (2010). Water Conservation Act of 2009, California Senate SB x7-7, 7 h California Congress (2009). Water Systems Optimization, 2016. California Department of Water Resources: Water Audit Manual. arcadis.com WZY0 84 L„ �; ■;�r/m- UWMP Checklist Standardized Tables Groundwater Management Plan /_\,`a A11I-91!/ City Ordinance Notification of Public and Service area Suppliers Adopted UWMP Resolution ..:4 Bump Methodology AWWA Water Loss Audit Worksheet ,., Water Use Efficiency Implementation Report Arcadis U.S., Inc. 445 South Figueroa Street Suite 3650 Los Angeles, California 90071 Tel 213 486 9884 Fax 213 486 9894 www.arcadis.com AARCAD IS I °�9°g��°fancy fmnaturaland huiltassets 9 bo jmf 6110119 RESOLUTION NO.2019-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE WATER SUPPLYASSESSMENT FOR THE PROPOSED ELAN MIXED -USE PROJECT LOCATED AT 1660 EAST FIRST STREET WHEREAS, in accordance with Califomia Water Code Sections 10912(a)(1) and 10912(a)(6), any development that is proposing a mixed -use project that includes a proposed residential development of more than 500 dwelling units requires the preparation and approval of a water supply assessment; and WHEREAS, the proposed Elan Mixed -Use Project located at 1660 East First Street is proposing development of a mixed -use project including 603 residential dwelling units; and WHEREAS, the proposed Elan Mixed -Use Project therefore requires the preparation and approval of a water supply assessment pursuant to California Water Code Sections 10910 and 10912; and WHEREAS, the City of Santa Ana is the publicwater system that currently supplies and will supply water to the proposed Elan Mixed -Use Project; and WHEREAS, the projected water demand associated with the proposed Elan Mixed -Use Project was accounted for in the City of Santa Ana 2015 Urban Water Management Plan; and WHEREAS, the Water Supply Assessment for the Elan Mixed -Use Project has been prepared; and WHEREAS, the findings from the Water Supply Assessment prepared for the Elan Mixed -Use Project show that there is sufficient water supply available for the proposed Elan Mixed -Used Project during normal, single -dry, and multiple dry years within a 20- year projection to meet the projected water demand of the Project in addition to the demand of existing and other planned future uses, including, but not limited to, agricultural and manufacturing uses. NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Santa Ana as follows: Section 1. The Water Supply Assessment for the Elan Mixed -Use Project is hereby approved, a copy of which is attached as Exhibit A and will be on file at the offices of the Public Works Agency of the City for public inspection. Resolution No. 2019-XXX Page 1 of 3 Z'ZM6 l,1 jmf 6/10/19 Section 2. Approval of the Water Supply Assessment by the City does not constitute a "will -serve" or in any way entitles the Elan Mixed -Use Project to water service or to any right, priority or allocation in any supply, capacity or facility. Section 3. Approval of the Water Supply Assessment shall not affect the City of Santa Ana's obligation to provide service to its existing customers or any potential future customers, including this Elan Mixed -Use Project. Section 4. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this day of APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: John M. Funk Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers 2019. Miguel A. Pulido Mayor Resolution No. 2019-XXX Page 2 of 3 55A-102 !mf 6/10/19 CERTIFICATION OF ATTESTATION AND ORIGINALITY I, NORMA MITRE, Acting Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2019-XXX to be the original resolution adopted by the City Council of the City of Santa Ana on Date: Acting Clerk of the Council City of Santa Ana Resolution No. 2019-XXX Page 3 of 3 55A-103 EXHIBIT A �IPh� a,„.FUSCOE E N G I N r E R I N G ELAN FURIOJECT3 WATER SUPPLY ASSESSMENT City of Santa Ana County of Orange, California Prepared For Santa Anna First Street, LLC 5120 Shoreham Place, #150 San Diego, CA 92122 858.535.1475 Prepared By Fuscoe Engineering, Inc. 16795 Von Korman, Suite 100 Irvine, California 92606 949.474.1960 www.fuscoe.com Project Manager: Josh Ruiz Date Prepared: November 2, 2017 f u 1! C I r c I a P h i 13 ?' r Ir 55A-104 CITY OF SANTA ANA Elan P WATER PLY ASSESSMENT ORANGE COUNTY, CALIFORNIA PREPARED FOR: SANTA ANNA FIRST STREET, LLC 5120 Shoreham Place, #150 San Diego, CA 92122 858.535.1475 PREPARED BY: FUSCOE ENGINEERING, INC. 16795 Von Korman, Suite 100 Irvine, CA 92606 949.474.1960 www.fuscoe.com DATE PREPARED: NOVEMBER 2, 2017 55A-105 ELAN PROJECT WATER SUPPLY A55ESSMENT TABLE OF CONTENTS 2a17 1. WSA PURPOSE AND BACKGROUND ............................................ 4 2. INTRODUCTION............................................................ I........ 6 2.1 Project Description.............................................................................................6 2.1.1 Existing Water Use......................................................................................8 2.1.2 Proposed Water Use.................................................................................10 3. REGIONAL WATER SUPPLIES AND DEMANDS 12 .............................. 3.1 City Water Supplies.........................................................................................12 3.2 City Water Demands.......................................................................................18 4. REGIONAL WATER SUPPLY RELIABILITY ...................................... 20 4.1 Metropolitan Water District regional water supply reliability.................................20 4.2 OCWD and City of Santa Ana Local Water supply reliability................................21 5. CONCLUSION..................................................................... 27 6. REFERENCES........................................................................28 7. TECHNICAL APPENDICES........................................................ 29 LIST OF FIGURES Figure1 Vicinity Map.......................................................................................................7 Figure 2 Existing Land Use Aerial......................................................................................9 Figure 3 Proposed Elan Site Plan....................................................................................I I FuscOE ENGINEERING, INC. I 55A-106 ELAN PROJECT WATER SUPPLY ASSESSMENT LIST OF TABLES NOVEMBER 2, 2017 Table 1 Project Home Type Details...................................................................................6 Table2 Existing Water Demands......................................................................................8 Table 3 Proposed Water Demands.................................................................................10 Table 4 City of Santa Ana Connections to Metropolitan Facilities.......................................12 Table 5 2015 Projected and Actual Water Supply and Demand (Acre-feet).........................13 Table 6 City of Santa Ana Groundwater Production Data 2015-16...................................15 Table 7 City of Santa Ana Projected Total Water Demands...............................................19 Table 8 Metropolitan Multiple Climate Scenario Water Supply Capability and Projected Demands Comparison from 2020-2040 (AF)..................................................................21 Table 9 City of Santa Ana Multiple Climate Scenario Water Supply and Demand Comparison from2020-2040(AF)....................................................................................................23 Table 10 City of Santa Ana Ability to Supply the Elan Project.............................................25 LIST OF APPENDICES Appendix A— Proposed Project Water Demand Calculations Appendix B — City of Santa Ana Landscape Guidelines Appendix C—SGMA Basin 8-1 Alternative Plan FUSCOE ENGINEERING, 55A-107 ELAN PROJECT WATER SUPPLY ASSESSMENT NOVEMBER 2, 2017 ACRONYMS & ABBREVIATIONS AF Acre -Feet AFY Acre -Feet per Year BEA Basin Equity Assessment BPP Basin Production Percentage CDR Center for Demographic Research CEQA California Environmental Quality Act Cfs cubic feet per second CRA Colorado River Aqueduct DU Dwelling Unit DWR Department of Water Resources GPCD Gallons per Capita per Day gpd gallons per day GWRS Groundwater Replenishment System LTFP Long Term Facilities Plan M&I Municipal and Industrial MG Million Gallons OCWD Orange County Water District QSA Quantification Settlement Agreement RA Replenishment Assessment SANDAG San Diego Association of Governments SAR Santa Ana River SB Senate Bill SCAG Southern California Association of Governments SF Square Feet SWP State Water Project UWMP Urban Water Management Plan WSA Water Supply Assessment FUsCOE ENGINEERING, INC. 55A-108 ELAN PROJECT WATER SUPPLY ASSESSMENT NOVEMBER 2. 2017 1. WSA PURPOSE AND BACKGROUND This Water Supply Assessment (WSA) was prepared for Santa Anna First Street, LLC as the project sponsor/applicant, and the City of Santa Ana ("City" or 'Santa Ana`) as the lead agency under the California Environmental Quality Act (CEQA), by Fuscoe Engineering, Inc. (Fuscoe), as the consultant, regarding the Elan Project ('Elan' or 'Project'). This study is a requirement of California law, specifically Senate Bill 610 (referred to as SB 610). SB 610 is an act that amended Section 21151.9 of the Public Resources Code, and Sections 10631,10656, 10910, 10911, 10912, and 10915 of the Water Code. SB 610 repealed Section 10913, and added and repealed Section 10657 of the Water Code. SB 610 was approved by the Governor and filed with the Secretary of State on October 9, 2001, and became effective January 1, 2002. Under SB 610, WSAs must be furnished to local governments for inclusion in environmental documentation for certain projects (as defined in Water Code 10912 [a]) subject to CEQA. Due to increased population, land use changes and water demands, this water bill seeks to improve the link between information on water availability and certain land use decisions made by cities and counties. SB 610 takes a significant step toward managing the demand of California's water supply as it provides regulations and incentives to preserve and protectfuture water needs. The intent of this bill is to coordinate local water supply and land use decisions to help provide California's cities, farms, and industrial developments with adequate water supplies. With the introduction of SB 610, any project under CEQA shall provide a WSA if the project meets the definition of the Water Code Section 10912. 'Project" means any of the following: • A proposed residential development of more than 500 dwelling units. • A proposed shopping center or business establishment employing more than 1,000 persons or having more than 500,000 square feet of floor space. • A proposed commercial office building employing more than 1,000 persons or having more than 250,000 square feet of floor space. • A proposed hotel or motel, or both, having more than 500 rooms. • A proposed industrial, manufacturing, or processing plant, or industrial park planned to house more than 1,000 persons, occupying more than 40 acres of land, or having more than 650,000 square feet of floor area. • A mixed -use project that includes one or more of the projects specified in this subdivision. • A project that would demand an amount of water equivalent to, or greater than, the amount of water required by a 500 dwelling unit project. • If a public water system has fewer than 5,000 service connections, then "project" means any proposed residential, business, commercial, hotel or motel, or industrial development that would account for an increase of 10 percent or more in the number of the public water system's existing service connections, or a mixed -use project that would demand an amount of water equivalent to, or greater than, the amount of water required by residential development that would represent an increase of 10 percent or more in the number of the public water system's existing service connections. After review of Water Code Section 10912, the Elan Project is deemed a'Project' because it proposes a residential development of more than 500 dwelling units. In addition, it is also necessary to include the recent passing (September 24, 2016) of Senate Bill 1262 (Chapter 594) which acts to amend Section 66473.7 of the Government Code, and FUSCOE ENGINEERING, INC. 55A-109 ELAN PROJECT WATER SUPPLY ASSESSMENT NOVEMBER 2 2017 to amend Section 10910 of the Water Code, relating to land use' and the Sustainable Groundwater Management Act (SGMA) that was passed by California's Governor on September 16, 2014. Pursuant to SB 1262, as of January 1, 2017, WSAS are now required to include certain SGMA-related information if water supply for a proposed project includes groundwater. Specifically, if a water supply for a proposed project includes groundwater, the following additional information shall be included in the water supply assessment: • A description of any groundwater basin or basins from which the proposed project will be supplied. • For those basins for which a court or the board has adjudicated the rights to pump groundwater, a copy of the order or decree adopted by the court or the board and a description of the amount of groundwater the public water system, or the city or county if either is required to comply with this part pursuant to subdivision (b), has the legal right to pump under the order or decree. • For a basin that has not been adjudicated that is a basin designated as high- or medium - priority pursuant to Section 10722.4, information regarding the following: o Whether the department has identified the basin as being subject to critical conditions of overdraft pursuant to Section 12924. o If a groundwater sustoinability agency has adopted a groundwater sustainability plan or has an approved alternative, a copy of that alternative or plan. • For a basin that has not been adjudicated that is a basin designated as low- or very low priority pursuant to Section 10722.4, information as to whether the department has identified the basin or basins as overdrafted or has projected that the basin will become overdrafted if present management conditions continue, in the most current bulletin of the department that characterizes the condition of the groundwater basin, and a detailed description by the public water system, or the city or county if either is required to comply with this part pursuant to subdivision (b), of the efforts being undertaken in the basin or basins to eliminate the long-term overdraft condition. As described in more detail throughout this WSA, the proposed Project will utilize water from the Orange County Groundwater Basin that is designated as a medium priority basin. Therefore, additional information regarding groundwater supply and management will be included in this WSA to satisfy the requirements of SB 1262. Senate Bill No. 1262, CHAPTER 594, found here: http://Ieginfo.legislature.ca.gov/faces/biliTextOient.xhtmlEbill id=201520160SB1262 FUSCOE ENGINEERING, INC. 55A-110 ELAN PROJECT WATER SUPPLY ASSESSMENT NOVEMBER 2, 2017 2. INTRODUCTION 2.1 PROJECT DESCRIPTION The Elan Project is a 6.4-acre residential and commercial project located in the City of Santa Ana. The Project address is 1660 E. First Street, Santa Ana which is located north of E. Chestnut Avenue, south of E. First St, east of S. Lyon St and west of Elk Ln next to the Santa Ana Zoo, See Figure 1 fora vicinity map of the proposed Project. The proposed Project will replace an existing hotel (Elks Lodge) and associated surface parking lot. The northern portion of the Project is currently vacant. The Project includes the development of two buildings with 601 residential units comprised of 21 studios, 280 one -bedroom apartments, 256 two -bedroom apartments and 43 three - bedroom apartments. In addition, 9,519 sf of commercial space will be included that will provide a live/work opportunity for some of the one -bedroom apartments. The majority of the parking for the Project will be located within two (2) levels of subterranean parking structures located below the two residential structures. Amenities of the Project include fitness/yoga areas, an artist's gallery, a pet spa, courtyards and other lounging areas. Approximately 56,730 SF of publicly accessible open space is provided through common areas and courtyards. See Table 1 below for additional specifications related to the proposed Project. Table i Project Home Type Details +Home Type Unit Count Average Square Footage Percentage of Total VnIt Count Peddnp, Studios 21 576 4% Parking Garage One -bedrooms 280 776 47% Parking Garage Two -bedrooms 256 1,078 43% Parking Garage Three -bedrooms 43 1,303 7% Parking Garage Total 601 935 100% Parking Garage Notes: As mentioned, the purpose of this WSA is to provide information to confirm that the City of Santa Ana has sufficient water supply to provide for the proposed Project in addition to other service area demands now and into the future. This WSA compares the existing water demand of the Project site to the proposed water demand of the Project and to the City of Santa Ana regional water supplies and demands through 2040. FusCOE ENGINEERING, 55A-111 E- I CIO WE 55A-1 12 ELAN PROJECT WATER SUPPLY ASSESSMENT NOVEMBER 2, 2017 2.1.1 6ddii g Water Use As mentioned, the existing land use of the Project is vacant at the northern portion of the Project with an existing hotel and parking at the middle and southern portions. The Elks Lodge area in the center of the site covers a footprint of approximately 86,000 sf. The Elks Lodge structures cover approximately 50,000 SF and has approximately 20,000 SF of existing landscaping. See Figure 2 for an aerial image of the existing land uses at the proposed Project site. The water demand factors from the City of Santa Ana Design Guidelines for Water and Sewer Facilities (March 2017)' were utilized to establish an estimate of existing water demands at the Project site. A commercial water demand factor of 2,500 gallons per day (gpd) per acre was employed to account for Elks Lodge at the existing Project site. In addition, a landscape water demand factor of 3,000 gpd/acre was employed for the scattered landscaping at the Project site. See Table 2 below for estimated existing water demands and the Project site. Table 2 Existing Water Demands bMng Land Land Use Land Use Water Demand Factor Eid Watx 0 We1erSquare Use Footage .:, Aawp { Wacre) .. . Downd t" ' Elks Lodge 50,000 1.15 2,500 2,875 3.22 Landscaped Area 20,000 0.46 3,000 635 0.71 TOW 7OA00 1.61 -- 3,610 3.93 Nolen: d gallons Per day AFY aoa-feet per year As shown above, the estimated existing water use at the Project site is approximately 3,510 gallons per day (gpd) or 3.9 acre-feet per year (AFY). An estimated annual difference between existing water demands and proposed water demands resulting from the proposed Project are calculated and shown in Section 2.1.2 below. 3 City of Santa Ana Design Guidelines for Water and Sewer Facilities (March 2017). Found here: http://www.sonta-ano,org/pm/documents/DesignGuidelinw.pdf FuscOE ENGINEERING, INC. 55A-113 4 . ii�`':. r !"�✓fir/ � 'Y.g. � � - / tw ~/ . ELAN PROJECT WATER SUPPLY ASSESSMENT NOVEMBER 2, 2017 !'l _•.a _• 1 •, As mentioned, the proposed Project includes a total of 601 residential units comprised of 22 studios, 280 one -bedroom apartments, 256 two -bedroom apartments and 43 three -bedroom apartments. Amenities include fitness/yoga areas, an artist's gallery, a pet spa, courtyards and other lounging areas. In addition, 9,519 sf of commercial space will be included that will provide a live/work opportunity for some of the one -bedroom apartments. Approximately 56,730 SF of open space is provided through common areas and the court yards. See Figure 3 below for the proposed site plan for the Project. Total Project residential water demands include estimates of both indoor and outdoor water demands. Indoor water demands include toilet -flushing, showers, baths, dishwashers, washing machines, faucets, and leakage. Outdoor water demands include landscape irrigation estimates. The estimates for residential water demands were developed by following the City of Santa Ana Design Guidelines for Water and Sewer Facilities (March 2017). Table 3 Proposed Water Demands LOW Use "Walx Persons per DU Project DU Daily Water Usage Annual' Wahr.LUW Type Demarldl Assumptions or acreage (GPCQ Studios g�� Pita 1.27 22 DU 3,353 3.8 One bedrooms 120 ca gpd/capita 1.72 280 DU 57,792 64.7 Two- bedrooms 120 gpd/capita 2.89 256 DU 88,781 99.5 Three- bedrooms 120 m gpd/capita 3.80 43 DU 19,608 21.0 Commercial 2,500 gpd/acre 9,519 sf (0.22 acres) 546 0.6 Landscaped 3,000 56,730 sf 3,900 4.4 Areas gpd/acre (1.30 oc) TOTAL PROJECT WATER DE"D 601. RESIDEMPIL UWRS 173,94apd 194.9 AN Notes r City of Santa Ana Design Guidelines for Water and Sewer Facilities (March 2017). ] Modified US Census Assumptions — Utilised from HerBa a Mlzed Use Project in Santa Ana Ouly 2015 As shown, the proposed Project will have an annual water demand of approximately 195 AFY. This is an increase of approximately 191 AFY as compared to the existing water demands at the Project site. The following sections evaluates the ability for the City to meet the proposed increase in water demands. FusCOE ENGINEERING, INC. 10 55A-115 s a 0 0 0 0 4 z �l -117 r n N z Q O m ELAN PROJECT WATER SUPPLY ASSESSMENT NOVEMBER 2, 2017 3. REGIONAL WATER SUPPLIES AND DEMANDS 3.1 CITY WATER SUPPLIES The City's water supply comes from a combination of imported water, local groundwater and recycled water to satisfy water demands. The City purchases these water supplies from Metropolitan Water District of Southern California (Metropolitan) and the Orange County Water District (OCWD). The City is a member agency of Metropolitan and receives imported water from the State Water Project and the Colorado River under agreements with Metropolitan. OCWD manages the Orange County Groundwater Basin ("OC Basin" or "Basin") and provides groundwater resources to the City. The City maintains 444 miles of transmission and distribution mains, nine reservoirs with a storage capacity of 49.3 million gallons, seven pumping stations, 20 wells, and seven imported water connections. The seven imported water connections to the Metropolitan System ore described in Table 4 below. Table 4 Clly of Santa Ana ConnO&Ons to Metropolitan Facilities MWD Conned' on Ndnie of i onnecNon Normal Qperating Ca' (MGD) 1) 1&. Capacity SA-1 Bristol 5.17 6.46 SA-2 First 5.17 9.69 SA-3 McFadden 5.17 6.46 SA-4 Warner 4.85 6.46 SA-5 Alton 4.85 12.93 SA-6 Santa Clara 1 7.76 12.93 SA-7 Red Hill 1 4.85 32.31 From 2005-2015, Metropolitan delivered between 3,000 AF or 2.6 MGD (2015, lowest delivery) to 13,000 AF or 11.6 MGD (2005, highest delivery) to the City.' The design capacity of the Metropolitan connections is more than adequate to deliver imported to the City as shown in the table above. The City's Water Utility provides water service within a 27-square mile service area. The service area includes the City of Santa Ana and a small neighborhood in the City of Orange, near Tustin Avenue and Fairhaven by the northeast comer of Santa Ana. See Table 5 which shows the City's recent water supply to satisfy demands from 2015. 12075 Metropolitan UWMP, FUSCOE ENGINEERING, INC. 12 55A-119 ELAN PROJECT WATER SUPPLY NOVEMBER 2. 201 Table 5 2015 Projected andActual Water Supply and Demand (Acre-feet) Land Use Type: : yp 2010 UWMP Projected 2015 . Demand. Actua12015 Demand Single Family 18,368 14,084 Multi -Family 13,563 10,399 Other CII 15,684 12,025 Landscape 185 147 Total 47 800 36,666 Notes: Source: 2010 and 2015 City of Santa Ana UWMPs As shown in Table 5 above, there was a decrease in water supplied to the City in 2015 as to what was predicted to be delivered in the 2010 UWMP (47,800 AF) by approximately 23%. This is likely due to Senate Bill (SB) x7-7 which requires the State of California to reduce urban water use by 20% by the year 2020 as described in more detail below. Similarly, the Executive Order mandated by Califomia Governor Edmund Brown in April 2015 in response to the recent drought further required a collective reduction in statewide urban water use of 25%which would also reduce Citywide demands. In addition, UWMPs are typically developed in a conservative manner and tend to overestimate future water demands. Currently, 71% of the City's water supply is from OC Basin groundwater, 28% is from Metropolitan imported water and 1 % is from recycled water. The City's water supply portfolio is expected to change slightly to 70% from OC Basin groundwater, 29% from Metropolitan imported water, and 0.7% recycled water by the year 2040 as discussed in more detail throughout this WSA. Additional details on the strategic management of these resources is explained below. OCWD Groundwater The primary source of water for the City is the Orange County Groundwater Basin ("OC Basin") which is managed by the Orange County Water District (OCWD). The OC Basin underlies the north half of Orange County beneath broad lowlands. The OC Basin covers an area of approximately 350 square miles, bordered by the Coyote and Chino Hills to the north, the Santa Ana Mountains to the northeast, the Pacific Ocean to the southwest, and terminates at the Orange County line to the northwest, where its aquifer systems continue into the Central Basin of Los Angeles County. The OC Basin storage capacity is estimated to be 66 million AF", of which only a fraction is available for use to prevent against physical damage to the Basin such as seawater intrusion or land subsidence. To ensure the Basin is not overdrawn, OCWD recharges the Basin with local and imported water. The Basin is recharged primarily by four sources including local rainfall, storm and base flows from the Santa Ana River (SAR), purchased Metropolitan imported water; and highly treated recycled wastewater. Basin recharge occurs largely in the following recharge basins that are located in or adjacent to the City of Anaheim: Warner Basin: A 50-foot-deep recharge basin located next to the SAR at the intersection of the 55 and 91 freeways; ^ OCWD Groundwater Management Plan 2015 Update. June 17, 2015. FuscoE ENGINEERING, INC. 13 55A-120 ELAN PROJECT WATER SUPPLY ASSESSMENT NOVEMBER 2, 2017 • Burris Basin: Located between Lincoln Avenue and Ball Road in the City of Anaheim; • Kraemer Basin: Located adjacent to Burris Pit; • Santiago Creek: Located in the City of Orange between Villa Park Road and E. Bond Avenue. As mentioned above, SB 1262 amended Section 10910 of the Water Code and requires the inclusion of SGMA-related information in WSAs. Specifically, following the SGMA basin prioritization and designations', for a non -adjudicated basin that is designated as high- or medium -priority pursuant to Section 10722.4, information regarding the following must be included: • Whether the department has identified the basin as being subject to critical conditions of overdraft pursuant to Section 12924. • If a groundwater sustainability agency has adopted a groundwater sustainability plan or has an approved alternative, a copy of that alternative or plan. The OC Basin (also referred to as Basin 8-1) has been designated as a medium -priority basin which requires this WSA to address or include information regarding the bullets above. As mentioned, SGMA provides authority for agencies like OCWD to develop and implement Groundwater Sustainability Plans or alternative plans ("Alternatives') that demonstrate the basin has operated within its sustainable yield over a period of at least 10 years. OCWD decided to submit an Alternative for evaluation by the California Department of Water Resources (DWR). An Alternative is required to be submitted to DWR for review no later than January 1, 2017, and every 5 years thereafter. In general, Alternatives must be consistent with one of the following (Water Code §10733.6(b)): • A plan developed,pursuant to Part 2.75 (commencing with Section 10750) or other law authorizing groundwater management. • Management pursuant to an adjudication action. • An analysis of basin conditions that demonstrates that the basin has operated within its sustainable yield over, a period of at least 10 years. The submission of an alternative described by this paragraph shall include a report prepared by a registered professional engineer or geologist who is licensed by the state and submitted under that engineer's or geologist's seal. OCWD prepared an Alternative that satisfies the third bullet point above to prove the OC Basin has operated within its sustainable yield over a period of at least 10 years. The Basin 8-1 Alternative is included in Appendix C of this WSA. The Alternative states that Basin 8-1 has operated within its sustainable yield for more than 10 years without experiencing significant and unreasonable (1) lowering of groundwater levels, (2) reduction in storage, (3) water quality degradation, (4) seawater intrusion, (5) inelastic land subsidence, or (6) depletions of interconnected surface water that have significant and unreasonable adverse impacts on beneficial uses of the surface water. In addition, Basin 8-1 has not been in conditions of critical overdraft. DWR has one year to evaluate the Basin 8-1 Alterative. The paragraphs below will ' SGMA Groundwater Information Center Interactive Map Application, found here: https://gis.water.ca.gov/app/gicima/ FUSCOE ENGINEERING, INC. 14 55A-121 ELAN PROJECT WATER SUPPLY ASSESSMENT NOVEMBER 2, 2017 further explain how OCWD successfully manages the OC Basin to meet these new groundwater monitoring and management requirements. OCWD manages the Basin through the Basin Production Percentage (BPP) which is determined each water year. The BPP is set based on groundwater conditions, availability of imported water supplies, water year precipitation, SAR runoff, and basin management objectives. The BPP represents an established percentage identifying the amount of groundwater all pumpers in the Basin can pump without paying a "pumping tax" or Basin Equity Assessment (BEA) to OCWD. For example, if the BPP is set to 75%, all pumpers within the Basin, including the City, can supply 75% of their water needs from groundwater supplies at a cost significantly less than the cost of imported water. If groundwater production is equal to or less than the BPP (i.e. less than 75% in the example above), all producers within the Basin pay a replenishment assessment (RA) fee which is used to fund groundwater replenishment and recharge programs aimed at ensuring the long-term viability and stability of the Basin. If groundwater production is greater than the established BPP for that water year (i.e. greater than 75% in the example above), the BEA is determined for the producer of that amount of groundwater provided in excess of the BPP. The BEA is an additional fee paid on each AF of water pumped above the BPP, making the total cost of that additional water equal to the higher cost of imparted water from Metropolitan. According to OCWD's Engineers Report for fiscal year 2015/16, the actual BPP was 75% as shown in Table 6 below. Total water demands within OCWD were 367,402 AF for the water year (July 1, 2015 to June 30, 2016). This is the lowest figure for total water demands since 1982 which was caused by the State of California's emergency drought regulations. Groundwater production for the water year totaled 277,090 AF including any available In -Lieu Program water and excluding Metropolitan Groundwater Storage Program extractions. A total of 47,524 AF of supplemental water was used for the purpose of groundwater replenishment and barrier maintenance. For the water year, the "annual overdraft" (annual basin storage decrease without supplemental replenishment water) was 141,000 AF. The accumulated overdraft decreased from 381,000 AF on June 30, 2015 to 379,000 AF on June 30, 2016. Precipitation within the Basin was 62% of normal rainfall during the water year, totaling 8.40 inches .6 The table below shows the water production data from 2015/16 for the City of Santa Ana. Table 6 0y al Santo Ana Groundwater Produdlon Data 2015.16 Groundwatifr, . 5upplemeidal Watar (AF) ": (/�.. Attu cl. Oroundwater ... . PP . Pnic(ueor Non- Mt Irrigation etropolitan Toal Conservation Total Delivery Grand Non- Irrigation CUP Purnin Credit Total Only City of Santa Ana 29,629 4,524 24,745 8,183 83 8,266 33,012 75.0% Source: OCWD 2015-16 Engineer's Report Over the recent past, production capability of the Basin has increased as a result of increased wastewater reclamation at the Groundwater Replenishment System (GWRS) located in Fountain Valley. The GWRS, which is designed to turn wastewater into drinking water, is one of the most 6 OCWD. Engineer's Report, 2015/16, February 2017. FusCOE ENGINEERING, INC. 15 55A-122 ELAN PROJECT WATER SUPPLY ASSESSMENT NOVEMBER 2, 2017 technologically advanced wastewater treatment plants in the world. Atreatment plant expansion of 30 million gallons per day was recently put on line by OCWD increasing the recharge capacity of the GWRS to 100 million gallons per day. This equates to the recycling of over 110,000 AFY of wastewater back into the Basin for future extraction and potable use. A final expansion of the treatment system is being designed to have a capacity of 130 million gallons par day. Expansion projects to the GWRS increase local water supply reliability and ensure low- cost water supplies throughout northern Orange County, including the City of Santa Ana. Metropolitan Imported Water The City of Santa Ana is one of only three retail member agencies of Metropolitan in Orange County. As a member agency, pursuant to the Metropolitan Act, the City has preferential rights to a certain percentage of water delivered to Metropolitan each year primarily from the State Water Project and/or the Colorado River Aqueduct as well as other Metropolitan storage programs. Being a member agency of Metropolitan puts the City in a better position relative to receiving water directly from Metropolitan, as opposed to other agencies in Orange County which obtain their imported Metropolitan water through Municipal Water District of Orange County (MWDOC). The main sources of water Metropolitan provides to the City include water from northern California delivered via the State Water Project (SWP) and water from the Colorado River Basin delivered via the Colorado RiverAqueduct. More details on these sources of imported water are explained below. Colorado River The Colorado River was Metropolitan's original source of water after Metropolitan's establishment in 1928. Lake Mead and Lake Powell, the two largest reservoirs in the United States, can store 4 times the annual flow of the Colorado River. River flows are primarily generated from snowpack in the Rocky Mountains. Colorado River water is allocated and delivered to seven states in the US including Colorado, Utah, Wyoming, New Mexico, Arizona, Nevada and California. Mexico also has an allocation of 1.5 million acre-feet (MAF) along the Colorado River each year. California's urban water allocation is managed by Metropolitan and imported from the Colorado River via the Colorado River Aqueduct (CRA) which is stored at Diamond Valley Lake and Lake Mathews in Riverside County. The CRA includes supplies from the implementation of the Quantification Settlement Agreement (QSA) and related agreements to transfer water from agricultural agencies in Imperial County to urban uses throughout Southern California including Los Angeles, Orange County and San Diego. The 2003 QSA enabled California to implement major Colorado River water conservation and transfer programs, stabilizing water supplies for 75 years and reducing the state's demand on the river to its 4.4 MAF entitlement. Colorado River transactions are potentially available to supply additional water up to the CRA capacity of 1.25 MAF on an as -needed basis. California is apportioned the largest allocation on the River of 4.4 MAF of water from the Colorado River each year plus one-half of any surplus that may be available for use collectively in Arizona, California, and Nevada. In addition, California has historically been allowed to use Colorado River water apportioned to but not used by Arizona or Nevada. Metropolitan has a basic entitlement of 550,000 AFY of Colorado River water, plus surplus water up to an additional 662,000 AFY if certain conditions exist. The remainder of California's allocation FuscOE ENGINEERING, INC. 55A-123 ELAN PROJECT WATER SUPPLY AssEssMENT NOVEMBER2 2017 goes to Imperial County, primarily to the Imperial Irrigation District, and is used mainly for agriculture production. Over the past 16 years (2000-2015), there have only been three years when the Colorado River flow has been above average.' The long-term imbalance in future supply and demand is projected to be approximately 3.2 MAF by the year 2060. Actions are currently being taken and planned in the future to resolve the imbalance between water supply and demand in areas that use Colorado River water. Such actions include the resolution of uncertainties related to water conservation, reuse, water banking, and weather modification concepts.' State Water Project The State Wafer Project (SWP) collects water from rivers in Northern California and redistributes it to the water -scarce but populous central and southern portions of California through a network of aqueducts, pumping stations and power plants. Approximately 70% of the water provided by the SWP is used for urban areas and industry in Southern California and the San Francisco Bay Area, and 30% is used for irrigation in the Central Valley. The availability of water supplies from the SWP can be highly variable. A wet water year may be followed by a dry water year which restricts the amount of water that can be delivered throughout California. Metropolitan's SWP imported water is stored at Castaic Lake on the western side of Metropolitan's service area and at Silverwood Lake near San Bernardino, as well as in Diamond Valley Lake. The Sacramento -San Joaquin River Delta (Delta) is key to the SWP's ability to deliver water to its agricultural and urban contractors. The Delta faces many challenges concerning its long- term sustainability such as climate change posing a threat of increased variability in floods and droughts. Sea level rise complicates efforts in managing salinity levels and preserving water quality in the Delta to ensure a suitable water supply for urban and agricultural use. Furthermore, other challenges include continued subsidence of Delta islands, many of which are below sea level, and the related threat of a catastrophic levee failure as the water pressure increases, or as a result of a major seismic event. Metropolitan's Board approved a Delta Action Plan in June 2007 that provides a framework for staff to pursue actions with other agencies and stakeholders to build a sustainable Delta and reduce conflicts between wafer supply conveyance and the environment. The Delta action plan aims to prioritize immediate short-term actions to stabilize the Delta while an ultimate solution is selected, and mid-term steps to maintain the Delta while a long-term solution is implemented. Currently, Metropolitan is working towards addressing three basic elements: Delta ecosystem restoration, water supply conveyance, and flood control protection and storage development. In April 2015, the Brown Administration announced California WaterFix, as well as a separate ecosystem restoration effort called California EcoRestore. Together, the California WaterFix and California EcoRestore will make significant contributions toward achieving the coequal goals of providing a more reliable water supply for California and protecting, restoring, and enhancing the Delta ecosystem. The WaterFix is aimed at making physical and operational improvements to the SWP system in the Delta necessary to restore and protect ecosystem health, r 2015 Metropolitan UWMP. ' 2012 USBR Colorado River Basin Water Supply and Demand Study. FUSCOE ENGINEERING, TA 55A-124 ELAN PROJECT WATER SUPPLY ASSESSMENT NOVEMBER 2, 2017 south -of -Delta SWP water supplies, and water quality. The WaterFix includes the construction of two tunnels up to 150 feet below ground and three new intakes, each with 3,000 cubic -feet per second (cfs) capacity and an average annual yield of 4.9 million acre-feet designed to protect California's water supplies. These proposed upgrades would provide protection against water supply disruption from failure of aging levees due to sea -level rise, earthquakes and flood events. Recycled Water The City depends on OCWD for its recycled water supply for non -potable uses such as irrigation. OCWD provided 352 AF of recycled water to the City of Santa Ana in 2015 as part of the Green Acres Project (GAP). OCWD owns and operates the GAP, a water recycling system that provides up to 8,400 AFY of recycled water as an alternate source of water that is mainly delivered to parks, golf courses, greenbelts, cemeteries, and nurseries in the cities of Costa Mesa, Fountain Valley, Newport Beach, in addition to Santa Ana. The City maintains an agreement with OCWD to supply GAP water to customers where available. It is anticipated that recycled water supplied to the City will maintain around 300 AFY through 2040, 3.2 CITY WATER DEMANDS The City's Water Utility provides water service within a 27-square mile service area to a population of approximately 335,299 as of 2015.9 . The City is almost completely built -out and its population is projected to increase only 0.9% by 2040. Approximately 67% of the City's water demand is residential including single family and multi -family residential units. Commercial land uses, including dedicated landscape, accounts for the remaining 33% of the total demand. The 2015 UWMP highlighted that water demands throughout the City were 36,656 AF from July 2014 to June 2015. The 2010 UWMP anticipated water demands in 2015 to be much larger at 47,800 AF, As mentioned, the difference -is likely because of the mandatory water restrictions from the Governor's Executive Order and the fact that UWMPs are typically developed in a conservative manner and tend to overestimate future water demands. In April 2015 Governor Brown issued an Executive Order as a result of one of the most severe droughts in California's history, requiring a collective reduction in statewide urban water use of 25% by February 2016, with each agency in the state given a specific reduction target by DWR. In response to the Governors mandate, the City began to track its water wasting prohibition enforcement activities. On June 2, 2015, the City declared a Phase 2 water supply shortage in Resolution No. 2015-025 by formally requiring all water consumers to reduce use by 12% relative to their 2013 consumption. Additionally, on August 4, 2015, a water wasting penalty rate was established by Resolution No. 2015-047. This new penalty rate permits City staff to penalize those users not meeting their water use reduction targets of 12%. The City of Santa Ana as a whole met its State mandated target; as a result the City did not have to impose any monetary penalties on any of its users. As of April 7, 2017, Governor Brown ended the drought State of Emergency in most of California, while maintaining water reporting requirements and prohibitions on wasteful 9 Center of Demographics Research (CDR) at California State University, Fullerton FUSCOE ENGINEERING, INC. 18 55A-125 ELAN PROJECT WATER SUPPLY ASSESSMENT NOVEMBER 2, 201 practices such as watering during or right after rainfoll.10 The City continues to promote water use efficiency and currently has a goal to continue to reduce water demands by 3% compared to 2013 consumption. In addition, the City only allows outdoor watering to every other day or Monday, Thursday, and Saturday and only between the hours of 6 PM and 6 AM.ii Such restrictions have significantly reduced water demands throughout California. In addition to these mandated restrictions, cities must follow the Water Conservation Act of 2009, also known as 5enote Bill (SB) x7-7. This law required the State of California to reduce urban water use by 20% by the year 2020. The City must determine baseline water use during their baseline period and water use targets for the years 2015 and 2020 to meet the state's water reduction goal. The City's 2015 target was 123 gallons per capita per day (GPCD) and the 2020 target is 116 GPCD. The 2015 UWMP reported that the City has already met both the 2015 and 2020 water use targets with an actual use in 2015 of 83 GPCD. This is likely due to increased conservation as required by the Governors Executive Order during severe drought conditions throughout California. The City's water demand has been decreasing in recent years due to the combination of the Governors Executive Order and SBx7.7 goals. The City's water demands are then expected to increase by approximately 8%from 2015 to 2040 as shown in the table below. Table 7 Ofy of Santa Ana Projected Total Water Demands D dnd T e ?Ol s, . `::: 2020 .. ' 2025. 2030 2035 2040 Potable and Raw Water 36,656 36,678 39,397 39,669 39,658 39,716 Recycled Water 352 320 320 320 320 320 Total Water Demand 37,008 36,998 39,717 39,989 39,978 40,036 Source: 2015 City of Santa Ana UWMP As shown above, it is projected that water demands will increase from 37,008 AF in 2015 to 40,036 AF in year 2040. These estimates are approximately 10,000 AF less than what was predicted in the 2010 UWMP further highlighting the conservative nature of UWMP preparation. The 2015 Metropolitan UWMP stated that Metropolitan would be able to meet the demands of its member agencies, including the City of Santa Ana, through 2040. Therefore, imported water demands for the City are projected to be met through the 20-year requirements of SB 610 and beyond. The City of Santa Ana 2015 UWMP also confirmed the ability of the local supplies and the OC Basin to meet the growing demands of the City. The ability for the City to meet these growing demands in multiple climate scenarios is explained in the sections below. 10 SWRCB Water Conservation Portal — Emergency Conservation Regulation, accessed on 09/06/2017. Found here: hap://www.woterboards.w.gov/water issues/programs/conseNution_poriel/emergency_mgulation.shtmi 11 City of Santa Ana — Water Conservation Websife, accessed 09/06/2017. Found here: hitp://www.ci.santa- ana.ca.us/waterconservation/ FUSCOE ENGINEERING, INC. m 55A-126 ELAN PROJECT WATER SUPPLY ASSESSMENT NOVEMBER 2, 2017 4. REGIONAL WATER SUPPLY RELIABILITY The City of Santa Ana currently depends on Metropolitan and OCWD to provide the majority of its water supply. This section provides a description of the ability of Metropolitan, OCWD and the City to ensure that adequate water supplies will be available to satisfy the City's growing water demands including the proposed Project through 2040 during normal, single dry year and multiply dry year scenarios. 4.1 METROPOLITAN WATER DISTRICT REGIONAL WATER SUPPLY RELIABILITY Metropolitan's 2015 Urban Water Management Plan (UWMP) was finalized in June 2016 and has been prepared in compliance with Water Code Sections 10608.36 of SB X7-7 and Sections 10610 through 10656 of the Urban Water Management Planning Act (Act). The information included in the 2015 UWMP represents the most current and available planning projections of supply capability and demand developed through a collaborative process with the member agencies, including the City of Sana Ana. The Act requires reporting agencies to describe their water reliability under a single dry -year, multiple dry -year, and average year conditions, with projected information in five-year increments for 20 years. Metropolitan updates its retail municipal and industrial (M&I) projection periodically based on the release of official regional demographic and economic projections. The projections of retail M&I water demands used in the 2015 UWMP are based on data from the Southern California Association of Governments (SCAG) 2012 Regional Transportation Plan/Sustainable Community Strategy (April 2012) and the San Diego Association of Governments (SANDAG) — Series 13: 2050 Regional Growth Forecast (October 2013). The projected regional water demand is adjusted to account for water conserved by Best Management Practices from active, code -based, and price -effect conservation. Supply analysis includes Colorado River supplies, SWP supplies and existing and proposed storage programs through Metropolitan's service area. Colorado River Aqueduct (CRA) supplies include supplies that would result from existing and committed programs and from implementation of the Quantification Settlement Agreement (QSA) and related agreements. State Water Project (SWP) supplies are estimated using the 2015 SWP Delivery Capability Report distributed by DWR in July 2015. In regards to storage, Metropolitan assumed 2015 storage levels at the start of simulation and used the median storage levels going into each of the five- year increments based on the balances of supplies and demands. See Table 8 below showing Metropolitan's ability to meet growing demands in normal, single -dry and multiple -dry year climate scenarios. FUSCOE ENGINEERING, 20 55A-127 ELAN PROJECT WATER SUPPLY ASSESSMENT NOVEMBER2 2017 Table 8 Metropolitan Multiple Climate Scenario Water Supply Capability and Projected Demands Comparison from 2020 2040 (A17 Fareeasf:Year 3g20, 2025 20,30p35 2040 Noratal: Year Capability of Current Supply 3,448,000 3,550,000 3,658,000 3,788,000 3,824,000 Total Demands 1,860,000 1,918,000 1,959,000 2,008,000 2,047,000 Supply Programs Under Development 63,000 100,000 316,000 428,000 468,000 Total Potential Surplus 1,651,000 1,732,000 2,085,000 2,208,000 2,245,000 Singld :DryYear' ... . Capability of Current Supply 2,584,000 2,686,000 2,775,000 2,905,000 2,941,000 Total Demands 2,005,000 2,066,000 2,108,000 2,160,000 2,201,000 Supply Programs Under Develo men 63,000 100,000 316,000 358,000 398,000 Total Potential Surplus 642,000 720,000 983,000 1,1D3,000 1,138,000 ::Multiple;, D Year.. ' ry. Capability of Current Supply 2,103,000 1 2,154,000 1 2,190,000 2,242,000 2,260,000 Total Demands 2,001,000 2,118,000 2,171,000 2,216,000 2,258,000 Supply Programs Under Development 43,000 80,000 204,000 245,000 286,000 Total Potential Surplus 1 55,000 116,000 223,000 271,000 288,600 Source: 2015 Metropolitan UWMP The findings of the 2015 Metropolitan UWMP highlight that Metropolitan has supply capabilities that would be sufficient to meet expected demands from 2020 through 2040 under the normal, single dry -year and multiple dry -year conditions. Metropolitan also has proposed programs in place to ensure against water shortages in the future. These programs include projects along the California Aqueduct and the Colorado River Aqueduct in addition to demand reduction projects. In all climate scenarios, Metropolitan estimates potential surpluses in water supply through 2040. The Metropolitan 2015 UWMP was made public in early 2016 and shared with Metropolitan's member agencies. Once these findings were finalized, the Metropolitan member agencies could conclude their own 2015 UWMP findings. The City of Santa Ana published their 2015 UWMP in April 2016 after determining Metropolitan would be able to meet the City's imported water demands through 2040. The City of Santa Ana and OCWD local water supply reliability is summarized below. 4.2 OCWD AND CITY OF SANTA ANA LOCAL WATER SUPPLY RELIABILITY Like Metropolitan, the City of Santa Ana is also required to assess the reliability of their water service to its customers under normal, single -dry and multiple -dry water years. As mentioned the City depends on a combination of imported water from Metropolitan and local groundwater supplies from OCWD to meet its water demands. The City has taken numerous steps to ensure it has adequate supplies to provide for growing demands. FuscOE ENGINEERING, INC. N 55A-128 ELAN PROJECT WATER SUPPLY ASSESSMENT NOVEMBER 2, 2017 The City has several water demand reduction requirements and resources on their website that informs its customers on how to save water. Some of the main requirements are summarized below: Residential o Mandatory 3% reduction in water use compared to usage during the same billing period in 2013. a Outdoor watering is restricted to no more than every other day or Mondays, Thursdays and Saturdays, and only between the hours of 6 p.m. and 6 a.m.' o Leaks must be repaired within 48 hours of notification by the City. a No washing down sidewalks or driveways. o No excessive water flow or runoff that causes water to flow onto an adjoining sidewalk, driveway, street, alley, gutter or ditch. o No washing vehicles with a hose, unless the hose is fitted with a shut-off nozzle. o No operating a fountain or decorative water feature, unless the water is part of a recirculating system. o No outdoor watering during and 48 hours following measurable rainfall. Businesses o Restaurants, cafes and bars can only serve water to customers on request. o Hotels and motels must prominently display a notice providing guests with the option of choosing not to have towels and linens laundered daily. In addition, landscape policies have also been modified to allow drought tolerate landscape throughout the City (see Appendix B). These programs have been successful in reducing water demands throughout the City's service area. OCWD is also taking strides to ensure local water supplies will meet growing demands now and into the future. As mentioned, OCWD manages the City's groundwater supply and the entire OC Basin utilizing the BPP approach. In 2013, OCWD's Board of Directors adopted a policy to establish a stable BPP with the intention to work toward achieving and maintaining a 75 percent BPP by tY 2015-16. Although BPP is set at 75 percent, based on discussions with OCWD a conservative BPP of 70 percent is assumed through 2040 for supply projection analysis in the City's 2015 UWMP. Principles of this policy include: OCWD's goal is to achieve a stable 75 percent BPP, while maintaining the some process of setting the BPP on an annual basis (BPP will be set in April of each year after a public hearing has been held and based upon the public hearing testimony, presented data, and reports provided at that time). OCWD's transition to the 75 percent BPP was due to construction of the GWRS Initial Expansion Project, which was completed in 2015. This expansion provided an additional 31,000 AFY of water for recharging the groundwater basin. OCWD must manage the OC Basin in a sustainable manner for future generations. The BPP will be reduced if future conditions warrant the change. FUSCOE ENGINEERING, INC. 22 55A-129 ELAN PROJECT WATER SUPPLY ASSESSMENT NOVEMBER 2, 2017 • Each project and program to achieve the 75 percent BPP goal will be reviewed individually and assessed for their economic viability. The BPP goals mentioned above coincide with other management strategies as shown in OCWD's Long Term Facilities Plan (LTFP), the 2015 Groundwater Management Plan and the 2020 Water Master Plan Report. These documents highlight OCWD's plans to ensure groundwater supply will be available into the future to support growing demands of its service area. As shown in Table 9 below, the City's available supply, including OCWD groundwater and Metropolitan imported water, will meet projected demand during normal, single dry and multiple dry years. For the City's 2015 UWMP, the normal dry year was selected as the City's 2015 demand. A single -dry year is defined as a single year of no to minimal rainfall within a period that average precipitation is expected to occur. The City has documented that it is 100% reliable for single dry year demands from 2020 through 2040 with a demand increase of 6% using FY 2013-14 as the single dry -year. Multiple -dry years are defined as three or more years with minimal rainfall within a period of average precipitation. The City is capable of meeting all customers' demands with significant reserves held by Metropolitan, local groundwater supplies, and conservation in multiple dry years from 2020 through 2040 with a demand increase of 6% using FY 201 1-12 through FY 2013-14 as the driest years. Table 9 City of Santa Ana Multiple Climate Scenario Water Supply and Demand Comparison from 2020-2040 (AF) ForecoshYear- 2020 ,; .2025 _ 2030; 1:-2035'-_' _. 2040 Normal Year Supply totals 36,998 39,717 39,989 39,978 40,036 Demand totals 36,998 39,717 39,989 39,978 40,036 Single -Dry Year Supply totals 39,218 42,100 42,388 42,377 42,438 Demand totals 1 39,218 142,100 1 42,388 42,377 42,438 Multiple -Dry Year Firstyear Supply totals 39,218 42,100 42,388 42,377 42,438 Demand totals 39,218 142,100 42,388 42,377 42,438 Second year Supply totals 39,218 42,100 42,388 42,377 42,438 Demand totals 39,218 42,100 42,388 42,377 42,438 Third year Supply totals 39,218 42,100 42,388 42,377 42,438 Demand totals 39,218 42,100 42,388 42,377 42,438 Source: 2015 City of Santa Ana UWMP FUSCOE ENGINEERING, 23 55A-130 ELAN PROJECT WATER SUPPLY ASSESSMENT NOVEMBER 2, 2017 As shown in Table 9 above, in all climate scenarios analyzed in the 2015 UWMP, available water supplies are projected to meet demands. Reliability of local water supplies will be ensured through continued implementation of the OCWD Groundwater Management Plan, OCWD's LTFP, and the combined efforts and programs among member agencies of Metropolitan. The City closely monitors development throughout the City to ensure water supplies will meet growing demand. The City has a log of all developments that have required a WSA and track the increases in water demands from these projects. As shown in Table 10 below, the City is able to provide water supply to satisfy growing City demands including the Elan Project. FuscOE ENGINEERING, INC. 24 55A-131 0 N a .. N N O P N M rq n N cl cli f7 N N N O O N m `NO N h W N O O V1 M N P O NN^ c") P m P ci n CY cV n ni (V Q < P P^ < cn Q N P^ ci N Q c N Ln m n N m h N .. 6= Ct o n P cv , .� m CI C-. N a O o Q O n Q P n �O P n m � Q�p m N O N Q try N p n m P N NP O (V 'ILI N y m n F w � a m o Q E c � a mE T c o ° cl O E E -' S. 4 o y ' Q =! E o m aEr o❑ vo CL -> U° v o LEE o¢ o e g 42 g of u_ LLo U a. v c LL v v o o o o o E 2 �-0 3R�Po.a.o•ov.o 8 Tj m y y Q O_ E O O E O 4 c U O u O u �oe O O tvi O u C a O N N N Q u E u E vy u u ��DD u TK u o o G c 0 o sq ❑ ❑ > > > 7 !c- Q Qu ¢ Q Ll V U m m ll W m 55A-132 ELAN PROJECT WATER SUPPLY ASSESSMENT NOVEMBER 2, 2017 As shown above, a small deficit of 329 AF (less than 1 % of total demands) is projected for the year 2020. These demand/supply numbers come from projections calculated within the City's UWMP. As mentioned throughout this WSA, UWMPs are conservative in nature and tend to overpredict demand. For example, there was a 23% decrease in water use in the City in 2015 as to what was predicted to be used in the 2010 UWMP for the year 2015. Therefore, the deficits shown in Table 10 above durjng the year 2020 will likely not occur due to the significant decreases in demand as seen over the past several years. From 2025-2040, surplus supply of approximately 2,000 AF is anticipated as well. As confirmed by the City's Water Utility department, the deficit Is not anticipated to be an issue for the Project or the City.12 The findings of the Metropolitan 2015 UWMP and the City of Santa Ana 2015 UWMP confirm that the City of Santa Ana will be able to supply water to growing demands within its service area including the proposed Project through 2040 which satisfies the requirements of SB 610. rs Personal communication with City's Water Utility department on 10/02/2017. FUSCOE ENGINEERING, INC. 26 55A-133 ELAN PROJECT WATER SUPPLY ASSESSMENT NOVEMBER 2, 2017 5. CONCLUSION The City of Santa Ana depends on local and regional water supplies from OCWD and Metropolitan to satisfy growing demands. OCWD has managed the OC Basin for over 75 years and has plans to sustainably manage the groundwater system through 2040 under the new California SIGMA policies and guidelines. Metropolitan has stated in its 2015 UWMP that its water supply portfolio will be able to satisfy regional growth and water demands through 2040. The same findings were concluded in the City of Santa Ana 2015 UWMP as both Metropolitan and OCWD supplies are projected to meet future water demands. The 2015 City UWMP projected that water demands would grow from 37,008 AF in 2015 to 40,036 AF in 2040. Over the past several years, actual demands decreased substantially to due to local conservation and regional drought management regulations. Therefore, like most UWMPs, the 2015 City UWMP is conservative with projections of water supplies needed to satisfy demands through 2040. The 2015 UWMP incorporates regional growth projections from CDR in order to determine future water demands. Projects like Elan are included in these regional projections of future population growth and are tracked by the City. The proposed Project will demand approximately 195 AF per year (an increase of approximately 191 AF per year as compared to existing water demands) which is well within the planned water supplies needed in the future in the City of Santa Ana. Therefore, this WSA is able to conclude adequate supplies are available to provide for the demands of the proposed Project as well as other service area demands within the City of Santa Ana. ENGINEERING, INC. 27 55A-134 ELAN PROJECT WATER SUPPLY ASSESSMENT 6. REFERENCES 2012 USBR Colorado River Basin Water Supply and Demand Study 2015 Metropolitan of Southern California Urban Water Management Plan Center of Demographics Research (CDR) at California State University, Fullerton City of Santa Ana — Water Conservation Website, accessed 09/06/2017. Found here: http://www.ci.sonto-ono.ca.us/waterconservation/ City of Santa Ana Design Guidelines for Water and Sewer Facilities (March 2017). Found here: http://www.sonto-ona.org/pwa/documents/DesignGuidelines.pdf OCWD Groundwater Management Plan 2015 Update. June 17, 2015 OCWD. Engineer's Report, 2015/16, February 2017 Senate Bill No. 1262, CHAPTER'594, found here: http://Ieginfo.legislature.ca.gov/faces/bil lTextClient.xhtml? bill—id--201520160SB 126 2 SGMA Groundwater Information Center Interactive Map Application, found here: https://gis.water.co.gov/app/gicima/ SWRCB Water Conservation Portal — Emergency Conservation Regulation, accessed on 09/06/2017. Found here: http://www.wate rboards. ca. gov/water—issues/programs/conservation—porta I/em ergen cy_regulation.shtml FusCOE ENGINEERING, INC. 28 55A-135 ELAN PROJECT WATER SUPPLY ASSESSMENT 7. TECHNICAL APPENDICES AppendixA— Proposed Project Water Demand Calculations Appendix B — Landscape Water Efficiency Ordinance No. 6355 Appendix C—SGMA Basin 8-1 Altemative Plan PUSCOE ENGINEERING, INC. NOVEMBER 2. 2017 29 55A-136 ELAN PROJECT WATER SUPPLY ASSESSMENT NOVEMBER 2, 2017 APPENDIX A PROPOSED PROJECT WATER DEMAND CALCULATIONS FUSCOE ENGINEERING, INC. 30 55A-137 / k cq IT (31 C� 'o -q- C� 10 a, C%4 -1: ol 00 CL C14 0, co 00 0 0 CY) 10 LO ci LO co CN 0 10 CY) C14 CY) CN co 04 LO C4 -.;r cl 0 7 2 0 E r� ol O� 00 E CIT cyi 8 o o CD C) 0 0 CD CN N CN C14 to C� I CIJ C�) 0 u 0 2 0 o 0 0 -0 D -0 _0 (D CL 0 �o 0 E u a 0 E 0 0 0 .E 1 0 �;-5 u I lz �TN I 55A-1 38 ELAN PROJECT WATER SUPPLY ASSESSMENT APPENDIX B CITY OF SANTA ANA LANDSCAPE GUIDELINES FUSCOE ENGINEERING, INC. NOVEMBER 2, 2017 31 55A-139 Planning and Building Agency Planning Division 20 Civic Center Plaza P.O. Box 1988 (M-20) Santa Ana, CA 92702 CALIFORNIA FRIENDLY (714)647-5804 LANDSCAPE GUIDELINES www.santa-ana.org In response to the extreme drought conditions throughout California, and the drought State of Emergency declared by the Governor in 2014, landscape policies have been modified to allow drought tolerant landscape throughout the city. The following are the Planning Division policy guidelines for required landscape planting and "ground cover" on private property: 1. 100% of the required landscape for private property MUST be covered with materials such as plants, compost and mulch, and permeable "hardscape" — with the exception of approved driveways and walkways. Refer to property zoning district for minimum of trees and shrubs. hftp://www.cl.santa-ana.ca.us/pba/planninq/ZoningDocuments.asp 2. Plant material must cover at least 65% of the required landscape area. a. The Landscape Plan MUST be designed such that it can reasonably be assumed that at least 65% of the site will be covered with Plant material by the time the plants are mature, or within two years, whichever is sooner. This determination will be made at the sole discretion of Planning and Building Agency staff. Synthetic turf may be installed, provided it does not exceed 50% of the area designated as plant material for the yard. For more details on synthetic turf landscape plan requirement see http://www.santa-ana.org/pba/planninq/documents/SVnthetic turf standards.Ddf b. Plant material is to be dispersed throughout the landscape area. 3. Permeable hardscape may cover no more than 35% of the required landscape area. a. Permeable hardscape may include pavers and brick set on a bed of sand, where no mortar or grout has been used. b. If not covered by permeable hardscape or plant material, landscape must be completely covered by at least a two-inch layer of mulch. Acceptable mulch includes compost, bark and other organic material. There can be no bare soil or Installation of non -permeable (material water cannot easily penetrate) hardscape such as a concrete patio or walkway. c. Permeable hardscape adjacent to approve driveways shall not be used for parking of vehicles. Permeable hardscape is to no greater than two percent slope to allow for draining of water Into the soil. 4. All plant materials selected from these two websites (LA Coastal Gardens and www.bewaterwise.com) are acceptable drought tolerant plants. 5. Irrigation systems should also be adjusted to be water efficient through best practices (drip irrigation, bubblers, etc.) Additional information and a variety of resources for creating and maintaining a California Friendly garden are available at htto://www.santa-ana.or_q/SAwatersmarU. For more Information about landscaping your parkway, is please see the "Quick Links" for the Parkway Improvement Guidelines. hl;Tand eapeCA Fnendl,V landscape Guideline \Iay27201iItE\Cdeti 55A-140 Sample of landscape planting and permeable hardscape i, 1�"` FLiJoSfOrl C: 1 T: _ 20 Feet 0 Landscape Plants Permeable Hardscape (65% minimum) (35% maximum) Single Family Residences (111 zoning district) requires: 20 feet landscape setback for front yard; to include one 24-inch box canopy tree, six 5-gallon shrubs, ten 1-gallon shrubs (SAMC 41-240) and "ground cover" (per 2014 City California Friendly Landscape Guideline). A five feet landscape setback is also required for side yards, with the exception of approved walkway or driveway. NFLan(L caln'k A I liendly Landscape Guideline lday?7201 iRE V.doc 55A-141 ELAN PROJECT WATER SUPPLY ASSESSMENT NOVEMBER 2, 2017 APPENDIX C SIGMA BASIN 8-1 ALTERNATIVE PLAN FUSCOE ENGINEERING, INC. 32 55A-142 -kqs . NS SINCE 1933 CITY OF LA HABRA r--, 1*7'r Irvine Ranch WATER DISTRICT Basin 8-1 Alternative "Reduced Version. Full document found here: https://www.ocwd.com/media/4918/basin-8.1-olternotive-final-report-1 .pdf Submitted by: Orange County Water District City of La Habra Irvine Ranch Water District Submitted to: California Department of Water Resources January 1, 2017 55A-143 55A-144 55A-145 Table of Contents Overview II. Hydrogeology of Basin 8-1 III. La Habra -Brea Management Area IV. OCWD Management Area V. South East Management Area VI. Santa Ana Canyon Management Area Attachment One: Documentation of Public Participation and Agency Approvals 2017 BASIN 8-1 ALTERNATIVE Table of Contents i 55A-146 Basin 8-1 Overview BASIN 8-1 ALTERNATIVE OVERVIEW The Sustainable Groundwater Management Act (SGMA) requires all high- and medium -priority basins, as designated by the Department of Water Resources (DWR), be sustainably managed. DWR designated the Coastal Plain of Orange County Groundwater Basin ("Basin 8-1" or "Basin") as a medium -priority basin, primarily due to heavy reliance on the Basin's groundwater as a source of water supply. Compliance with SGMA can be achieved in one of two ways: 1) A Groundwater Sustainability, Agency (GSA) is formed and a Groundwater Sustainability Plan (GSP) is adopted, or 2) Special Act Districts created by statute, such as OCWD, and other agencies may prepare and submit an Alternative to a GSP. The agencies within Basin 8-1 have agreed to collaborate together in order to submit an Alternative to a GSP. Within this document, this Alternative to a GSP will be referred to herein as the "Basin 8-1 Alternative" or "Alternative". In accordance with Water Code §10733.6(b)(3), this Alternative presents an analysis of basin conditions that demonstrates that the Basin has operated within its sustainable yield over a period of at least 10 years. In addition, the Alternative establishes objectives and criteria for management that would be addressed in a GSP and is designed to be "functionally equivalent" to a GSP. As will be shown in the Basin 8-1 Alternative, Basin 8-1 has been operated within its sustainable yield for more than 10 years without experiencing significant and unreasonable (1) lowering of groundwater levels, (2) reduction in storage, (3) water quality degradation, (4) seawater intrusion, (5) Inelastic land subsidence, or (6) depletions of Interconnected surface water that have significant and unreasonable adverse impacts on beneficial uses of the surface water. Please note that the boundaries of Basin 8-1 described in this document are based on the scientific boundary modifications as accepted by DWR in 2016 as part of the Basin Boundary Modification Process. The Basin 8-1 Alternative has been jointly prepared by the Orange County Water District (OCWD), Irvine Ranch Water District (IRWD); and the City of La Habra (collectively the "Submitting Agencies"); pursuant to this Alternative, the Submitting Agencies will ensure the entire Basin 8-1 continues to be sustainably managed and data reported as required by SGMA. Other agencies within Basin 8-1 and at least partially outside of OCWD's boundaries support submission of the Basin 8-1 Alternative and either have participated in preparing the Alternative and/or reviewed the Alternative. These agencies include the cities of Brea, Corona, and Chino Hills; the Counties of Orange. Riverside, and San Bernardino; Yorba Linda Water District; and El Toro Water District. Pursuant to Water Code §10733.6(b)(3), the Basin 8-1 Alternative has been prepared by or under the direction of a professional geologist or professional engineer. 2017 BASIN 8-1 ALTERNATIVE Overview 1 55A-147 Basin 8-1 Overview For the purpose of compliance with the SGMA requirement that the entire basin be covered by this Basin 8-1 Alternative, Submitting Agencies have divided Basin 8-1 Into four management areas: La Habra -Brea, OCWD, South East, and Santa Ana Canyon Management Areas, shown In Figure 1-1. Historically, the majority of Basin 8-1 (90% of the land area) has been managed by OCWD, which includes the land area within the OCWD Management Area and a small portion of the land area within the Santa Ana Canyon Management Area. The percentage of the land area within Basin 8-1 in each of the management areas is shown in Figure 1-2. Although the land areas outside of OCWD's jurisdiction in the Santa Ana Canyon and South East Management Areas have not been formally "managed" by OCWD, the hydrogeological conditions in these areas are essentially an extension of the managed basin. OCWD has Incorporated data, when available, from these areas into the OCWD data base. For example, precipitation runoff from the mountains along the eastern border (in the South East Management Area) Is estimated and incorporated into OCWD's basin water budget. The Santa Ana Canyon Management Area, created in this report in order to include land within and outside of OCWD's service area, is upstream of OCWD recharge operations. While OCWD does not have jurisdiction over all the land in this area, OCWD does have the rights to all the water in the Santa Ana River released from Prado Dam. In this respect, OCWD Is actively engaged in managing the flow of surface water within the Santa Ana Canyon Irrespective of land ownership. While the four management areas are described separately in this report, it is important to understand that actual "management" is not as distinct, and existing collaborative efforts between agencies in managing groundwater resources will continue. In the case of the La Habra -Brea Management Area, the City of La Habra has already been deemed the exclusive GSA for the La Habra/Brea area and intends to prepare a Groundwater Sustainability Plan (GSP). When La Habra submits a GSP, this Basin 8-1 Alternative will no longer include the La Habra/Brea area within the area designated by the GSP. As authorized by 23 CCR § 354.20, this Basin 8-1 Alternative describes four management areas as shown in Figure 1. The rationale for designating these management areas within Basin 8-1 is explained as follows: La Habra -Brea Management Area includes the northern portion of Basin 8-1 that is located outside of the OCWD service area and is within the cities of La Habra and Brea. The City of La Habra currently manages this portion of Basin 8-1. Although this management area is hydrologically distinct from the OCWD Management Area there is an estimated 1,000 afy of subsurface groundwater flow from the La Habra -Brea Management Area to the OCWD Management Area. Surface water that recharges the OCWD portion of Basin 8-1 does not replenish the La Habra -Brea Management Area. • The OCWD Management Area includes approximately 89 percent of the land area of Basin 8-1. Ninety-eight percent of all groundwater production within 8-1 occurs in this management area. This area includes the portion of Basin 8-1 that is within OCWD's service area, except for an approximately 7-square mile portion of OCWD's service area 2017 BASIN 8-1 ALTERNATIVE Overview 2 55A-148 Basin 8-1 Overview that is in the Santa Ana Canyon Management Area. OCWD has been managing the majority of Basin 8-1 since its formation in 1933. The South East Management Area includes the southern and southeastern portion of Basin 8-1 that is hydrogeologically connected to the OCWD Management Area but Is outside of OCWD's service area. This area consists of several, disconnected, small fringe areas that are within the DWR designated boundary of Basin 8-1. This management area includes areas under the jurisdiction of the IRWD, the El Toro Water District and the City of Orange. The groundwater basin In this area is thin and contains more clay and silt deposits than aquifers in the OCWD Management Area. Groundwater historically has flowed out of this area into the OCWD Management Area. Production has been minimal in this area due to hydrogeological conditions with little potential for significant future increases. The Santa Ana Canyon Management Area includes the easternmost section of Basin 8- 1. This area includes land under the jurisdiction of several cities, two counties, and two water districts, Including a portion that is within the OCWD service area. Groundwater production is relatively minor compared to groundwater production in the OCWD Management Area, The western boundary of this management area is located at Imperial Highway in the city of Anaheim where the basin thickness begins to increase. Imperial Highway crosses the Santa Ana River where OCWD begins to divert river water into the recharge facilities for percolation into the groundwater basin. The Basin 8-1 Alternative is organized as follows: • Overview: Provides a map and description of Basin 8-1 and a brief description of the basin management areas. • Hydrogeology of Basin 8-1: Provides a description of the hydrogeology of Basin 8-1 including a description of the basin, the aquifer systems, fault zones, total basin volume, basin cross -sections, basin characteristics, and general groundwater quality. • La Habra -Brea Management Area: Provides a description of sustainable management of the La Habra -Brea Management Area • OCWD Management Area: Provides a description of sustainable management of the OCWD Management Area • South East Management Area: Provides a description of sustainable management of the South East Management Area • Santa Ana Canyon Management Area: Provides a description of sustainable management of the Santa Ana Canyon Management Area 2017 BASIN 8-1 ALTERNATIVE Overview 3 55A-149 Basin 8-1 Overview � �� �+�.QPU�NE! �I �a2 SAN BERNARDINO� i/ Fg, 0.�. I ILOSANGELES -r 1OU LLS-� {j I COUNTY (( OP�-,Q$ CO2'' �unw� f,t'�HILLS4�f IV M r _7 e u" mnnkl •_ �, ® 1 yYi�1+�r7r y-'3\2. P L SIDE t)i sa.�f12Ay�t°l}fIII��ulrrrxJJJn� i rr..Re,,,,.s.l°`�. IORIINO�.'j i ruha �r �r+ilr`�.d -dr�i�_ l` RRL � �i �\. ®5 �ao-t.'-.vl°` ii-�tff jLrii •�y'&��.�Yf� R /,f N" I— orav i p a c y ®eouxasl q .0 n �``, a1 I Sp/ate I i 'r�CAunry BwnADry H ,� / y;� ` y/I� la Habra. Bream..gememk. EAHMAOUIN Y f OGNO ManasarcMArna 0 7x000 2a 00p TY�• yL,MLL'Sf $f-f� SSIRa Ana Lanycn MawBf+R`nl Ar 'r FeM Saud En .1.3er nl Area Figure 1-1: Basin 8-1 Management Area Boundaries 2017 BASIN 8-1 ALTERNATIVE Overview 4 55A-150 Basin 8-1 Overview ® South East ®La Habra U SAR Canyon ® OCWD Figure 1-2: Percentage of Land Area in Basin 8-1 within Management Areas •1. LA HABRA-BREA MANAGEMENT AREA The La Habra -Brea Management area covers the northern portion of Basin 8-1. The City of La Habra has been deemed the exclusive GSA under SGMA for this management area. This management area is part of Basin 8-1, but is hydrogeologically distinct from the OCWD Management Area and is not under the jurisdiction of OCWD. The City adopted a resolution to establish the La Habra Basin as a separate basin from Basin 8-1. OCWD adopted a resolution to support the City's request to DWR for an internal jurisdictional boundary modification in the OC Basin that follows the city limits of La Habra and Brea as is outside of the Orange County Water District's jurisdictional boundary. The La Habra -Brea Management Area is Included with this Alternative to facilitate collaboration among groundwater agencies within Basin 8-1 as required by SGMA. The City of La Habra and portions of the City of Brea comprise the La Habra -Brea Management Area. This area overlies the extents of the proposed La Habra Groundwater Basin, referenced herein. The La Habra -Brea Management Area is currently monitored for groundwater elevations and for groundwater quality through productions wells and historical data from monitoring wells within the La Habra -Brea Management Area and surrounding area. 2017 BASIN 8-1 ALTERNATIVE Overview 5 55A-151 Basin 8-1 Overview As the City of La Habra currently depends on local groundwater to meet approximately 40 percent of its water consumption; preserving the sustainability of the La Habra -Brea Management Area is essential. Currently (and historically), the City of La Habra manages (and has managed) the La Habra -Brea Management Area through management plans and programs for groundwater levels, basin storage, and water quality. By January 2020, the City will manage the La Habra -Brea Management Area through a Groundwater Sustainability Plan under SGMA, which will describe the monitoring program and ensure that no undesirable results occur in the future. 2. OCWD MANAGEMENT AREA The OCWD Management Area covers an area of approximately 260 square miles within Basin 8-1, which represents approximately 89 percent of the land area of Basin 8-1. Ninety-eight percent of the groundwater production within Basin 8-1 occurs in the OCWD Management Area. Groundwater produced within the OCWD Management Area provides approximately 70 percent of the total water supply for a population of around 2.4 million residents. Since its formation by the California Legislature in 1933, OCWD has been the managing agency for the majority of Basin 8-1, also referred to as the Coastal Plain of Orange County Groundwater Basin. As a special act district listed in Water Code § 1072(c)(1), OCWD is the exclusive local agency within Its jurisdictional boundaries with powers to comply with SGMA. Water demands within the OCWD Management Area have grown from approximately 150,000 acre-feet per year (afy) in the mid-1950s to a high of approximately 366,000 afy in water year 2007-08. OCWD-operates an -extensive -network of -recharge -basins to increase recharge of - surface water into the groundwater basin to support groundwater production. OCWD monitors the basin by collecting groundwater elevation and quality data from nearly 700 wells, including over 400 OCWD-owned monitoring wells, manages an electronic database that stores water elevation, water quality, production, recharge and other data on over 2,000 wells and facilities within and outside OCWD boundaries. An OCWD-operated water recycling plant provides up to 100 million gallons per day of advanced tertiary -treated wastewater that supplies recharge operations and a seawater intrusion barrier operated to protect the basin's water quality. OCWD manages groundwater storage and water levels within an established operating range which has resulted in sustainable conditions with no unreasonable and significant undesirable results. The Sustainability Goal for the OCWD Management Area is to continue to sustainably manage the groundwater basin to prevent conditions that would lead to significant and unreasonable (1) lowering of groundwater levels, (2) reduction in storage, (3) water quality degradation, (4) seawater intrusion, (5) Inelastic land subsidence and (6) adverse impacts on hydrologically connected surface water. 2017 BASIN 8-1 ALTERNATIVE Overview 6 55A-152 Basin 8-1 Overview 3. SOUTH EAST MANAGEMENT AREA The South East Management Area contains portions of Irvine Ranch Water District (IRWD), El Toro Water District (ETWD), and the City of Orange. The area covered this management area is essentially an extension of the main basin and was formed to comply with the requirement that the entirety of Basin 8-1 be covered by a responsible agency. There is relatively little existing, or potential, groundwater development within the South East Management Area. What pumping does occur is less than 200 acre -feet -per -year (afy), which is much less than the total recharge to the area. Water levels and storage levels are steady. The Sustainability Goal for the South East Management Area is to recognize it is a small part of the larger groundwater basin that is managed by OCWD. Nevertheless, groundwater levels and water quality will be monitored to assure that conditions do not lead to significant and unreasonable (1) lowering of groundwater levels, (2) reduction in storage, (3) water quality degradation, (4) inelastic land subsidence, (5) unreasonable adverse effect on surface water resources, and (6) adverse impacts on hydrologically connected surface water. 4. SANTA ANA CANYON MANAGEMENT AREA The Santa Ana Canyon Management Area covers the easternmost extent of Basin 8-1. The water resources in the Santa Ana Canyon Management Area include the Santa Ana River and groundwater. Groundwater is primarily located in a thin alluvial aquifer that is 90 to 100 feet thick and is a combination of infiltrated surface water and groundwater inflow from the adjacent foothills. Groundwater pumping in this management area is primarily used for irrigation with a minimal amount used for potable purposes. The amount of groundwater pumping is small relative to the large volumes of flow in the canyon provided by the Santa Ana River and monitoring indicates there are no depletions of interconnected surface water that have significant and unreasonable adverse impacts on beneficial uses of the surface water. There are no groundwater withdrawals within the areas covered by the Cities of Anaheim, Chino Hills, and Yorba Linda; Riverside County; and Yorba Linda Water District. OCWD has water rights to all Santa Ana River flows released through Prado Dam. For the area within its boundary, OCWD has the legal authority through the OCWD Act to require reporting of groundwater production and to charge groundwater pumping assessments for groundwater production. OCWD also monitors surface water flow and quality as well as groundwater levels and quality throughout the Santa Ana Canyon Management Area. The Sustainability Goal for the Santa Ana Canyon Management Area is to continue monitoring sustainable conditions and monitor to ensure that no significant and unreasonable results occur in the future. 2017 BASIN 8-1 ALTERNATIVE Overview 7 55A-153 55A-154 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 2, 2019 TITLE: APPROVE APPROPRIATION ADJUSTMENT AND ADOPT RESOLUTION ACCEPTING DEPARTMENT OF ALCOHOLIC BEVERAGE CONTROL FUNDS {STRATEGIC PLAN NO. 1, 313} RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on Is' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution authorizing the City Manager and Chief of Police to enter into a one-year agreement with the Department of Alcoholic Beverage Control (ABC), and execute any assurances and/or documents required to fund the ABC Grant program, for the period of July 1, 2019 through June 30, 2020, for an amount not exceed $100,000. 2. Approve an appropriation adjustment recognize $100,000 in Department of Alcoholic Beverage Control Grant funds in revenue account (no. 12814002 52025), and appropriate same to expenditure accounts(nos. 12814415 - various) for FY 2019-2020. DISCUSSION The Santa Ana Police Department was successful in obtaining a Fiscal Year (FY) 2019-20 Department of Alcoholic Beverage Control (ABC) Grant Assistance Program (GAP) grant to mitigate alcohol related crime and provide a safer environment in the areas around licensed establishments. Santa Ana has 427 active retail licenses issued by the Department of Alcoholic Beverage Control (ABC). The funds provided by the grant will allow the Santa Ana Police Department to accomplish the following goals: 1. Reduce the number of alcohol related crimes within the City 2. Identify and successfully prosecute ABC licensed establishments that violate the law 3. Provide a safer environment in the areas around licensed establishments for residents and visitors 4. Reduce the demand on limited resources caused by alcohol related incidents throughout the City 55B-1 Resolution and Appropration Adjustment for Alcoholic Beverage Control Grant July 2, 2019 Page 2 These goals will be attained by working in conjunction with our local ABC office and conducting programs that have proven successful in cities throughout California in deterring alcohol related offenses. These programs include working with ABC licensed establishments to educate them on how to reduce alcohol related crimes at their place of business. The grant will also provide funds for Police Department problem oriented policing officers to hold meetings with different neighborhood communities in order to uncover possible problems related to ABC licensed establishments and discuss enforcement strategies. The services funded by this grant will be completed primarily by the Police Department Special Enforcement Team and will not affect normal patrol functions. The one-year agreement will commence on July 1, 2019 and end June 30, 2020. The $100,000 will be used for officer overtime ($94,000), training ($2,500), and operating materials and supplies ($3,500). [1111:L•ItIII x][a»_1.I_1IIt] Z h414.III Approval of these items assists the City in meeting Goal #1 Community Safety, Objective #3 (promote fiscal accountability to ensure financial responsibility at all levels of the organization), Strategy B (promote ongoing efforts to obtain grant funding for activities that will assist in preventing, enforcing and reducing criminal activity and traffic collisions). FISCAL IMPACT The appropriation adjustment approved in the resolution will recognize $100,000 in Department of Alcoholic Beverage Control Grant funds in revenue account (no. 12814002 52025), and appropriating the same amount to expenditure accounts(nos. 12814415-- various) for FY 2019- 2020. APPROVED AS TO FUNDS AND ACCOUNT: David Valentin Kathryn Downs, CPA Chie Ice Executive Director Wa(SVS_> Santa Ana Police Department Finance and Management Services Agency Exhibits 1. Agreement with the Department of Alcoholic Beverage Control 2. Resolution 55B-2 Exhibit 1 STATE OF CALIFORNIA-DEPARTMENT OF GENERAL SERVICES STANDARD AGREEMENT AGREEMENT NUMBER PURCHASING AUTHORIYNUMBER OfApplicable) sto 2n (Rev. 03120 19) 19G-LA39 1. This Agreement is entered into between the Contracting Agency and the Contractor named below: CONTRACTING AGENCY NAME DEPARTMENT OF ALCOHOLIC BEVERAGE CONTROL CONTRACTOR NAME City of Santa Ana through the Santa Ana Police Department 2. The term of this Agreement is: START DATE July 1, 2019 THROUGH ENO DATE June30,2020 3. The maximum amount of this Agreementis: $100,000 4. The parties agree to comply with the terms and conditions of the following exhibits, which are by this reference made a part of the Agreement. EXHIBITS TITLE PAGES ExhibitA Scopeof Work 4 Exhibit B Budget Detail and Payment Provisions 3 Exhibit C • General Terms and Conditions GTC 04/2017 04/2017 Exhibit D Special Terms and Conditions 1 items shown with an astensit 17, arenereoy (ncorporareaoyrcremxeonamaaepan or rnis ogmemenr as n arracneanerero. These documents can be viewedot hrfDsY1www--dgis.caQoy10L0aouNa IN WITNESS WHEREOF, THIS AGREEMENTHAS BEEN EXECUTED BY THE PAR TIES HERETO. CONTRACTOR CONTRACTOR NAME Of other than an Individual state whether a corporation, partnership, etcJ City of Santa Ana through the Santa Ana Police Department CONTRACTOR BUSINESS ADDRESS CITY STATE ZIP 60 Civic Center Plaza Santa Ana CA 92702 PRINTED NAME OF PERSON SIGNING David Valentin CONTRACTOR AUTHORIZED SIGNATURE See attached page CONTRACTING AGENCY NAME Department of Alcoholic Beverage Control SIGNED CONTRACTING AGENCYADDRESS 3927 Lennane Drive, Suite 100 CITY Sacramento STATE CA ZIP 95834 PRINTED NAME OF PERSON SIGNING Pattye Nelson TITLE Chief, Business Management Branch CONTRACTING AGENCY AUTHORIZED SIGNATURE DATE SIGNED CALIFORNIA DEPARTMENT OF GENERAL SERVICES APPROVAL EXEMPTION (if Applicable) 55B-3 Page 1 of 1 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: NORMA MITRE Acting Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO Cit)TamaWrao mey By: ian Assistant City Attorney CITY OF SANTA ANA KRISTINE RIDGE City Manager RECOMMENDED FOR APPROVAL: David Valentin Chief of Police 55B-4 Exhibit A SCOPE OF WORK The Santa Ana Police Department (SAPD) serves the City of Santa Ana, which has a population of approximately 334,136. The Department serves a very populated community with a median age of 31.5 years old according to Data USA. The larger group in Santa Ana is the 25-44 age group, making up over 3 1 % of the population. We are budgeted for 370 sworn officers, but currently our agency consists of 319 swom officers, led by the Chief of Police, David Valentin, and three Deputy Chiefs, 13 commanders, 44 sergeants, 50 corporals and 208 officers. We also operate our own 503-bed jail, staffed by 77 non -sworn frill and eight part-time Correctional Officers. The Department has four bureaus (Administration, Investigations, Field Operations, and Jail) and the Office of the Chief of Police. We have a Directed Patrol Team comprised of 19 officers that focuses on quality of life issues which includes dealing with alcohol related crimes as well as narcotics, gang, and vice offenses. The City of Santa Ana is 27.3 square miles located in an urban setting. According to the world population review, data USA and the Demographic statistical atlas of the United States 2019, our population of 334,236 is approximately 77.6% Hispanic, 9.2% White, 1.0% Black, 10.4% Asian and 1.2% other or mix. Approximately 27.5% of our population is under 18 years of age and approximately 64.4% of the population is between 18 and 65 years of age according to the US Census. Santa Ana is the County seat and second most populous city in Orange County. The core of the city is the downtown area, which contains retail stores, restaurants, bars and housing. This is also home to the Santa Ana Civic Center, which is a dense campus of administrative buildings for the city, county, state, and federal agencies. There are a total of 427 active retail licenses issued in Santa Ana by the California Department of Alcoholic Beverage and Control (12 were surrendered and I -suspended). There are 171 off -sale licenses and 256 on -sale licenses issued to establishments in our city by ABC. SAPD and local ABC Office has a relationship, which facilitates cooperation with both entities. Furthermore, The Santa Ana Police Department was assured by the Deputy District Attomcy's Office, Deputy District Attorney Beth Castello misdemeanor filing attorney, that ABC related cases will be prosecuted to the fullest extent of the law as they have been in the past. Decoys arc advised that they must be available for court testimony. In order to accomplish our goals and objectives, we arc requesting S 100,000 in grant funding. Thefunds provided by the grant will allow the Santa Ana Police Department to accomplish the following goals: 1) Reduce the number of alcohol related crimes within our City. 2) Train officers and educate ABC licensee owners and employees regarding alcohol related problems. 3) Identify and successfully prosecute ABC licensed establishments who violate the law. 3) Protect the community around licensed establishments. 4) Reduce the drain on limited resources caused by alcohol related incidents throughout our city. 5) Educate licensees to reduce the number of violations on decoy operations by 5-10 % These goals will be attained by completing the following objectives: • Conduct at least 10 MINOR DECOY programs at ABC licensed establishments. • Conduct at least six roll call trainings regarding ABC laws and how to enforce them. • Coordinate and conduct 15 IMPACT/ROSTF operations to educate licensees on how to reduce alcohol related crimes in their establishments. 55B-5 Exhibit A • Organize at least five community meetings; hold an ask/answer session regarding possible problems related to ABC licensed establishments. • Coordinate and conduct six "Trap Door' operations. Will provide training on how to check ID cards. • Conduct eight "Shoulder Tap" operations at ABC establishments identified as problematic. • Schedule and coordinate two LEAD classes and continue to refer businesses to TIPS. • Conduct 20 discretionary/undcrcover operations while working alongside ABC agents to enforce alcohol related violations and successfully prosecute those ABC licensed establishments who operate outside the legal parameters. • Utilize media/press releases to educate the public. Problem Statement: Funding of this project will allow the Santa Ana Police Department to continue to address alcohol related concems throughout our city. There are 427 active retail licenses issued in Santa Ana by the California Department of Alcoholic Beverage and Control (ABC). There are 171 off -sale licenses and 256 on -sale licenses issued to establishments in our city by ABC. With the ABC Grant received in 2017/2018, we identified 24 on -sale and 23 off -sale problem establishments. These establishments generated multiple calls for service for alcohol related violations, such as selling alcohol to minors, serving the intoxicated, allowing customers to drink in front of the business and serving after hours. We identified five establishments that serve alcohol after hours, three locations that serve to minors and one location that allows drinking of an alcoholic beverage without an ABC license. We also have several ABC license locations that generated over 100 calls for service or officer initiated contacts from January 1, 2018 to December 31, 2018. We have received over 1,000 calls for service throughout our city for drinking in public and related alcohol incidents. The larger calls for service were related to ABC license locations. The new grant will provide funds to continue to reduce the calls for service and provide a better quality of life for our community. There are several liquor stores throughout our city, which allows individuals to congregate outside their business, and commit alcohol related violations. Residents continue to complain about their quality of life suffering due to these ongoing problems. Even though we have conducted IMPACT inspections and enforcement operations to combat the problem, more work is necessary. We will also continue to work in cooperation with our local ABC agents to determine the problem locations and address the issue as a team. For the past several years, SAPD Directed Patrol Team has participated in the statewide "shoulder -tap" operation in collaboration with ABC agents in our city. The Santa Ana Police Department regularly receives complaints from concerned citizens, business owners, and others of alcohol related problems such as loitering, public intoxication, assaults, property crimes, driving under the influence and alcohol related traffic collisions. Our intent is to use the ABC funding to fight these types of alcohol related crimes that drain our resources and adversely affect our residents. The ABC Grant will also allow the SAPD to continue to provide training to our law enforcement officers and ABC licensed establishments to reduce alcohol related violations. The number of calls for service in which the consumption of alcohol is often a contributing factor is significant. Most ABC licensed establishments in our city are responsible and adhere to the laws; however, there are some, which strain our limited resources due to excessive calls for service. There have been and continue to be numerous complaints of minors both buying and getting adults to buy them alcoholic beverages from many of our liquor stores. During the 201712018 ABC Grant we were able to address some of these issues and as a result of general enforcement, undercover, shoulder tap, decoy and trap door operations, approximately 206 persons were arrested for various alcohol and narcotic related violations. Utilizing the 2017/2018 grant, SAPD conducted 44 IMPACT inspections at locations identified as problem establishments and used the opportunity to inform retailers about pertinent regulations. 55B-6 Exhibit A With the new ABC Grant, we will continue to address these issues starting with two LEAD training sessions at the beginning of the project period to educate as many ABC licensees to reduce violations under their control. SAPD recognizes that some of our ABC licensed establishments have Spanish-speaking employees and because of this reason, we will provide a translator at both of the LEAD classes. An emphasis will be placed on Minor Decoy programs to reduce the number of licensees who sell alcohol to minors and long-term undercover operations in ABC licensed establishments with a proven record of violations. The continuing enforcement of ABC and alcohol related laws at and near ABC, licensed establishments will ensure our efforts to keep Santa Ana residents and visitors safer will succeed. Project Description: If successful in obtaining the ABC grant, SAPD would implement the following plan: Conduct at least 10 MINOR DECOY programs at ABC licensed establishments. Funding will also be utilized to conduct minor decoy operations at off -sale and on -sale establishments. These establishments will be identified by Directed Patrol Officers who routinely have contact with community members, and can gather intelligence regarding illegal sales of alcohol to minors. The Minor Decoy Operations will be conducted within SAPD policy and procedure as well as ABC guidelines pursuant to the California Code of Regulations, Title 4, Division I, Section 141 (Minor Decoy Requirements). The need to continue monitoring our licensees was demonstrated by 2017/2018 decoy operations which resulted in an on sale unsuccessful rate of 66.7% and an off sale unsuccessful rate of 16.9%. 2. Conduct sic roll call training sessions to our Patrol officers regarding ABC laws and how to enforce them. Directed Patrol Officers will present information to SAPD patrol officers during various roll call sessions. The information will instruct officers regarding pertinent ABC laws, and effective report writing to establish and prosecute ABC violations. With the last ABC Grant we received, at least 93 patrol ofiiccrs attended roll call training while assisting our detail with related operations. Coordinate and conduct 15 IMPACT/ROSTF (Informed Merchants Preventing Alcohol Related Crime Tendencies and Retail Operating Standards Task Force) operations to educate licensees on how to reduce alcohol related crimes in their establishments and to verify compliancc. After receiving pertinent training, contact and inform ABC licensed establishments of their responsibilities regarding the sale of alcohol. During these inspections, Code Enforcement, Employment Development Department and Department of Industrial Relations will be invited to gain the maximum effect and compliance. 4. Organize at least five community meetings: hold an ask/answer session regarding possible Problems related to ABC licensed establishments. This will be done in conjunction with our regular neighborhood meetings attended by our Police Service Officers. Directed Patrol Officers commonly attend neighborhood meetings pertaining to neighborhood watch, gang issues, and school functions. Officers will take the opportunity to speak with residents regarding problematic ABC licensed establishments, accessibility of alcohol to minors, drinking in public and other alcohol related issues. 5. Coordinate and conduct six "Trap Door' operations. There are 256 active on -sale retail licensed establishments in our city. A few of these establishments attract minors who enter the club or bar illegally with false ID's and consume alcohol. Directed Patrol Officers will work directly with employees of these establishments and cite the person trying to use the false ID and if possible the person who provided it. 55B-7 Exhibit A 6. Conduct 8 "Shoulder Tan" operations at ABC establishments identified as Problematic In conjunction with local ABC agents, SAPD Directed Patrol Officers will coordinate undercover operations in an attempt to have a minor solicit adults to buy alcohol beverages for them at ABC licensed establishments. The undercover operation will be within the politics and procedures of SAPD as well as ABC guidelines. Schedule and coordinate 2 LEAD nroerams throughout the city Directed Patrol Officers will organize and with the assistance of local ABC agents, provide a preventive and educational program pertaining to alcohol responsibility and the law. Our state of the art police facility building has a community room which could hold the attendees of the LEAD program we host. A Spanish translator will be available for both of the classes to ensure the many Spanish-speaking employees of our ABC licensed establishments have the opportunity to receive the proper training. 8. Conduct 20 discretionary/undercover onerations and work alongside ABC agents to enforce alcohol related violations and successfully rosecute those ABC licensed establishments who operate outside the legal Parameters. The undercover operations we undertook in 2017/2018 year yielded numerous arrests for CPC 647(f), BP 25658(a), BP 25602(a), BP 25661, BP 25662(a) and various alcohol related municipal codes and narcotic violations. These arrests occurred inside and in the vicinity of on -sale and off -sale establishments. During the project period, SAPD will evaluate our progress on a continuous basis and ask for local ABC input so that we attain the desired results. Directed Patrol Officers will maintain all reports and data related to the ABC grant and will share the information with ABC on a continuous basis. Protect Personnel: The services funded by this grant will be completed primarily by the SAPD Directed Patrol Officers. Directed Patrol is a unit staffed by sworn officers who concentrate their efforts on solving community quality of life issues. Officers from this detail regularly attend community meetings and address the public's contents. Officers on the detail have been chosen to be a member of the Directed Patrol based on their expertise, work ethic, and demonstrated high level of professionalism. The Directed Patrol Officers will also work closely with our Vice Unit to assist us in meeting our objectives set for this plan. The Santa Ana Police Department has long enjoyed an excellent working relationship with ABC agents. Through our established partnership, we will accomplish our goals as set forth in this grant. For each operation under this grant, we will utilize 3-8 officers from Directed Patrol or Vice and we will be working in uniform as well as in an undercover capacity in 4-8 (tour increments. Utilizing undercover personnel will give us the advantage and we will be able to gather evidence on possible ABC or narcotic violations. The Santa Ana Police Department will work collaboratively with ABC agents to assist in our operations. The following members of the SAPD Directed Patrol will be involved with this project: Sergeant Jay Miller #1637 Police Officer Isaac lbarra #3178 Police Officer Trevor Stanaland #3438 Police Officer Leonardo Gonzalez #3450 Corporal Alex Lopez #2344 Police Officer Michael Smith #3456 Police Officer Joe Castellanos #3080 Police Officer Axle Calles #3388 Police Officer Gary Ayala #3294 Police Officer Jonathan Kien #3440 Police Officer Blake Duarte #3492 Police Officer Matthew Matherly #3390 55B-8 BUDGET DETAIL Exhibit B BUDGET CATEGORY AND LINE -ITEM DETAIL COST (Round budget amounts to nearest dollar) A. Personnel Services (Straight Time Salaries, Overtime, and Benefits) A.I Straight Time N/A A.2 Overtime Corporal : Overtime Rate S94 X 425 hours Officer: Overtime Rate S79 X 683 hours A.3 Benefits all personnel combined N/A S40,000 S54,000 TOTAL PERSONNEL SERVICES S94,000 B. Operating Expenses (maximum $2,500) S 1,000 Decoy Operation, Shoulder Tap Operation, and money for undercover purchases of alcohol and narcotics. TOTAL OPERATING EXPENSES S1,000 C. Equipment (maximum $2,500) S2,500 (Attach receipts for all equipment purchases to monthly billing invoice) Flash lights with UV, jewelers loupes (counterfeit identification detector), 2 digital cameras with cases, USB thumb drives and binoculars. TOTAL EQUIPMENT $2,500 D. Travel Expense/Registration Fees (maximum $2,500) S650 S1,850 (Registration fee for July 2019 APP Conference attendee is $325 each) Travel, per diem, and lodging for the July 2019 ARC conference TOTAL TRAVEL EXPENSE S2,500 TOTAL BUDGET DETAIL COST, ALL CATEGORIES S100,000 55B-9 PAYMENT PROVISION Page 1 of 2 Exhibit B INVOICING AND PAYMENT: Payments of approved reimbursable costs (per Budget Detail attached) shall be in arrears and made via the State Controller's Office. Invoices shall be submitted in duplicate on a monthly basis in a format specified by the State. failure to submit invoices and reports in the required format shall relieve the State from obligation of payment. Payments will be in arrears, within 30 days of Department acceptance of Contractor performance, pursuant to this agreement or receipt of an undisputed invoice, whichever occurs last. Nothing contained herein shall prohibit advance payments as authorized by Item 2100- 101-3036, Budget Act, Statutes of 2019. 2. Revisions to the "Scope of Work" and the "Budget Detail" may be requested by a change request letter submitted by the Contractor. If approved by the State, the revised Grant Assistance Scope of Work and/or Budget Detail supersede and replace the previous documents bearing those names. No revision can exceed allotted amount as shown on Budget Detail. The total amount of the contract must remain unchanged. 3. Contractor agrees to refund to the State any amounts claimed for reimbursement and paid to Contractor which are later disallowed by the State alter audit or inspection of records maintained by the Contractor. 4. Only the costs displayed in the "Budget Detail" are authorized for reimbursement by the State to Contractor under this agreement. Any other costs incurred by Contractor in the performance of this agreement are the sole responsibility of Contractor. Title shall be reserved to the State for any State -furnished or State -financed property authorized by the State which is not fully consumed in the performance of this agreement. Contractor is responsible for the care, maintenance, repair, and protection of any such property. Inventory records shall be maintained by Contractor and submitted to the State upon request. All such property shall be returned to the State upon the expiration of this contract unless the State otherwise directs. 6. If travel is a reimbursable item, the reimbursement for necessary traveling expenses and per diem shall be at rates set in accordance with Department of Personnel Administration rates set for comparable classes of State employees. No travel outside of the State of California shall be authorized. No travel shall be authorized outside of the legal jurisdiction of Contractor without prior authorization by the State. 55B-10 PAYMENT PROVISION Page 2 of 2 Exhibit B 7. Prior authorization by the State in writing is required before Contractor will be reimbursed for any purchase order or subcontract exceeding $2,500 for any articles, supplies, equipment, or services to be purchased by Contractor and claimed for reimbursement. Contractor must justify the necessity for the purchase and the reasonableness of the price or cost by submitting three competitive quotations or justifying the absence of bidding. 8. Prior approval by the Slate in writing is required for the location, costs, dates, agenda, instructors, instructional materials, and attendees at any reimbursable training seminar, workshop or conference, and over any reimbursable publicity or educational materials to be made available for distribution. Contractor is required to acknowledge the support of the State whenever publicizing the work under the contract in any media. 9. It is understood between the parties that this contract may have been written before ascertaining the availability of appropriation of funds, for the mutual benefit of both parties, in order to avoid program and fiscal delays that would occur if the contracts were executed after that determination was made. 10. BUDGET CONTINGENCY CLAUSE - It is mutually agreed that if the Budget Act of the current year and/or any subsequent years covered under this Agreement does not appropriate sufficient funds for the program, this Agreement shall be of no further force and effect. In this event, the State shall have no liability to pay any funds whatsoever to Contractor or to furnish any other considerations under this Agreement and Contractor shall not be obligated to perform any provisions of this Agreement. If funding for any fiscal year is reduced or deleted by the Budget Act for purposes of this program, the State shall have the option to either cancel this Agreement with no liability occurring to the State, or offer an agreement amendment to Contractor to reflect the reduced amount. Updated 1/17/I9 55B-11 Exhibit D Special Terms and Conditions Disputes: Any dispute concerning a question of fact arising under this contract which is not disposed of by agreement shall be decided by the Director, Department of Alcoholic Beverage Control, or designee, who shall reduce his decision to writing and mail or otherwise furnish a copy thereof to the Contractor. The decision of the Department shall be Final and conclusive unless, within 30 days from the date of receipt of such copy, the Contractor mails or otherwise furnishes to the State a written appeal addressed to the Director, Department of Alcoholic Beverage Control. The decision of the Director of Alcoholic Beverage Control or his duly authorized representative for the determination of such appeals shall be final and conclusive unless determined by a court of competent jurisdiction to have been fraudulent, capricious, arbitrary, or so grossly erroneous as necessarily to imply bad faith, or not supported by substantial evidence. In connection with any appeal proceeding under this clause, the contractor shall be afforded an opportunity to be heard and to offer evidence in support of its appeal. Pending final decision of a dispute hereunder, Contractor shall proceed diligently with the performance of the contract and in accordance with the decision of the State. 2. Termination Without Cause: Either party may terminate this agreement at any time for any reason upon ten (10) days written notice. No penalty shall accrue to either party because of contract termination. 3. Contract Validity: This contract is valid and enforceable only if adequate funds are appropriated in item 2100-101-3036, Budget Act of 2019, for the purposes of this program. 4. Contractor Certifications: By signing this agreement, Contractor certilics compliance with the provisions of CCC 04/2017, Standard Contractor Certification Clauses. This document may be viewed at httos://www.dgs.ca.gov/OLS/Resources/Pave-Content/Office-of-Legal-Services- Resources-List-Folder/Standard-Contract-Language . 5. If the State determines that the grant project is not achieving its goals and objectives on schedule, funding may be reduced by the State to reflect this lower level of project activity. Updated 2I20/19 55B-12 Exhibit 2 TB 7/2/2019 RESOLUTION NO. 2019-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITYOF SANTA ANA AUTHORIZING THE CITY MANAGER, AND THE CHIEF OF POLICE OR HIS DESIGNEE TO OBTAIN CALIFORNIA DEPARTMENT OF ALCOHOLIC BEVERAGE CONTROL GRANT FUNDS IN THE AMOUNT OF $100,000 AND TO EXECUTE AN AGREEMENT WITH THE DEPARTMENT OF ALCOHOLIC BEVERAGE CONTROL FOR USE OF THOSE FUNDS AND EXECUTE ANY DOCUMENTS OR ASSURANCES NECESSARY FOR OBTAINING GRANTFUNDS. BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. The State of California Department of Alcoholic Beverage Control ("ABC") has a Grant Assistant Program ("GAP") for 2019-2020. As part of the GAP, local law enforcement agencies can submit enforcement plans and request funding allocations under the GAP to assist with the enforcement in priority considerations, including but not limited to, service areas where there is a high crime rate and/or an identifiable alcohol -related problems associated with ABC licensed establishments and for agencies interested in obtaining training on ABC education, prevention and enforcement measures which can be carried out after the grant cycle has been completed. B. The Santa Ana Police Department submitted a grant application for funding to reduce the number of alcohol related crimes within the City of Santa Ana, identify and successfully prosecute ABC licensed establishments that violate the law, provide a safer environment in the areas around licensed establishments for residents and visitors, and reduce the strain on limited resources caused by alcohol related incidents throughout the City. C. The City of Santa Ana has been allocated $100,000 in funds under the ABC Grant Assistance Program for 2019-20. Section 2. The City Council of the City of Santa Ana hereby authorizes and directs the City Manager and Chief of Police or his designee, on terms acceptable to the City Attorney, to execute an Agreement with ABC for use of the 2019/2020 GAP funds in an amount not to exceed $100,000 and execute any other documents or assurances that are necessary for obtaining the grant funds. Resolution 2019-xxx Page 1 of 3 55B-13 TB 7/2/2019 Section 3. The City Council of the City of Santa Ana hereby authorizes and directs the City Manager and/or the Chief of Police or his designee, to prepare invoices to ABC to recoup costs pursuant to the guidelines set forth in the Agreement, grant conditions and terms. Section 4. The City Council of the City of Santa Ana hereby approves an Appropriation Adjustment recognizing the 2019/2020 Alcoholic Beverage Control Department Grant Assistance Program funds in the amount of $100,000 and appropriates the same in the Alcoholic Beverage Control Department Grant Assistance Program expenditure accounts. Section 5. The City Council of the City of Santa Ana hereby agrees that any liability arising out of the performance of the Agreement for ABC 2019/2020 GAP funds shall be the responsibility of the grant recipient and the authorizing agency. The City Council recognizes that the State of California and ABC disclaim responsibility for such liability. Section 6. The City Council of the City of Santa Ana hereby agrees that the grant funds under this Agreement shall not be used to supplant expenditures controlled by this body. Section 7. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this _ day of July, 2019. APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney BY: —� Ta ar*Bogo n Assistant City Attorney Miguel A. Pulido Mayor Resolution 2019-xxx Page 2 of 3 55B-14 TB 7/2/2019 AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, NORMA MITRE-RAMIREZ, Acting Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2019-XXX to be the original resolution adopted by the City Council of the City of Santa Ana on Date: Acting Clerk of the Council City of Santa Ana Resolution 2019-xxx Page 3 of 3 55B-15 55B-16 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 2, 2019 TITLE; ADOPT A RESOLUTION AND APPROVE AGREEMENT ACCEPTING FY18 HOMELAND SECURITY GRANT PROGRAM FUNDS IN THE AMOUNT OF $1,819,025 (STRATEGIC PLAN NO.1,2&6) CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s' Reading ❑ Ordinance on 2n' Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO S4, FILE NUMBER r CITY MANAGER RECOMMENDED ACTION Adopt a resolution authorizing the City Manager and the Chief of Police, or their designee(s), to enter into an agreement with the City of Anaheim for the FY2018 Urban Areas Security Initiative (UASI) Funding Program. Authorize the City Manager and the Chief of Police to enter into the attached Sub -Recipient agreement with the City of Anaheim for reimbursement of funds expended for the purchase of equipment, services, personnel, training and exercises authorized under the FY 2018 Urban Areas Security Initiative in an amount not to exceed $1,819,025. DISCUSSION The United States Department of Homeland Security developed the Urban Areas Security Initiative (UASI) funding program to address the unique planning, equipment, training, and exercise needs of high -threat, high -density Urban Areas and provides funds to local emergency first responders that assist in building an enhanced and sustainable capacity to prevent, protect, respond to, mitigate and recover from acts of terrorism. The grant specifically provides funding for anti -terrorism equipment, planning, training, exercises and technical assistance. In Fiscal Year (FY) 2006 the United States Department of Homeland Security combined the Anaheim UASI and the Santa Ana UASI into a single Urban Area. The City of Santa Ana now shares grant administrative responsibilities with the City of Anaheim, annually alternating the function of lead administrative agency. The City of Anaheim is the lead agency for FY 2018 funding and is therefore the UASI Sub -Grantee, with the City of Santa Ana designated as a sub -recipient through Anaheim. The City of Santa Ana Police Department has worked with the City of Anaheim, the County of Orange, and cities within the Anaheim/Santa Ana Urban Area to determine current capabilities and needs and have established goals and objectives for the Anaheim/Santa Ana Urban Area. The City of Santa Ana will continue to work in collaboration with the City of Anaheim to implement complimentary strategies for responding to acts of terrorism through the term of the agreement. 55C-1 FY 2018 UASI Transfer Agreement July 2, , 2019 Page 2 Funds will be used in support of the Homeland Security Training & Exercise Program to enhance regional training and exercise capabilities across multiple disciplines and jurisdictions in areas such as active shooter, mass gathering and civil disturbances, emergency management, and advanced life-saving techniques. The funding will also be used to sustain and maintain the ReadyOC Emergency Preparedness Campaign, the "If You See Something, Say Something" Public Awareness Campaign, and the Orange County Civic Center Video Surveillance System. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #1 Community Safety, Objective #2 and #6; (Broaden communications, information sharing and community awareness of public safety activities, and Enhance public safety integration, communications, and community outreach.) FISCAL IMPACT Funds for this program are included in the FY 2019-20 proposed budget in the FY2018 UASI Grant expenditure accounts (nos. 12514491-various) for the following fiscal years: FY 2019-20 FY 2020-21 Total D Chief of Police Santa Ana Police Department $1,289,600 529 425 $1,819,025 APPROVED AS TO FUNDS AND ACCOUNTS: Kathryn Downs, CPA (55e� Executive Director Finance and Management Services Agency Exhibits: 1. Award Letter 2. FY 2018 UASI Transfer Agreement 3. Resolution 4. Notification of Sub -Recipient Award 55C-2 Exhibit 1 EDMUND G. BROWN JR. GOVERNOR Z: October 1, 2018 Cal ®ES GOVERNOR'S OFFICE OF EMERGENCY SERVICES Richard LaRochelle Lieutenant/Emergency Management Director Anaheim/Santa Ana UASI 425 South Harbor Boulevard Santa Ana, CA 92805-3704 MARK S. GHILARDUCCI DIRECTOR SUBJECT: NOTIFICATION OF SUBRECIPIENT AWARD APPROVAL Fiscal Year (FY) 2018 Homeland Security Grant Program (HSGP) Grant Subaward #2018-0054, Cal OES ID# 059-95050 Grant Subaward Performance Period: September 1, 2018, to May 31, 2021' Dear Lieutenant LaRochelle: The California Governor's Office of Emergency Services (Cal OES) approved your FY 2018 HSGP award in the amount of $4,135,000. Once your completed application is received and approved, you may request reimbursement of eligible Grant Subaward expenditures using the Cal OES Financial Management Forms Workbook available at https://www.caloes.ca.gov/. During the review process, a Cal OES Program Representative will examine and evaluate your FY 2018 HSGP Grant Subaward application. Throughout the Grant Subaward cycle, Cal IDES will use performance milestones set in the Department of Homeland Security/Federal Emergency Management Agency Grants Reporting Tool (GRT) as indicators of performance and grant management capacity and this information may be used in assessing future competitive Grant Subaward applications. All activities funded with this Grant Subaward must be completed within the Subrecipient performance period. You are required to comply with all applicable federal, state, and local Environmental Planning and Historic Preservation (EHP) requirements. Additionally, Aviation/ Watercraft requests, Establish/Enhance Emergency Operations Center projects, projects requiring EHP review, and noncompetitive procurement requests require additional approvals from Cal OES. Subrecipients must obtain written approval for these activities prior to incurring any costs, in order to be reimbursed for any related costs under this Grant Subaward. Subrecipients are also required to obtain a performance bond prior to the purchase of any equipment item over $250,000, including any aviation EM.... 3650 SCHRIEVER AVENUE, MATHER, CA 95655 I fA d (916) 845-8506 TELEPHONE (916) 845-8511 FAx www.CaIOES.ca. ov Lieutenant Richard LaRochelle October 1, 2018 Page 2 of 2 or watercraft financed with homeland security dollars. Performance bonds must be submitted to your Program Representative no later than the time of reimbursement. Following acceptance of this Grant Subaward, you must enter your Grant Subaward information into the GRT for the Biannual Strategy Implementation Report (BSIR) ' _ . period. The GIRT can be accessed online at https://w.ww.reporting.odp.dhs.ggv/. Your agency must prepare'and submit the BSIR to Cal OES-via the GIRT semi-annually for the duration of the Grant Subaward performance period or until you complete all activities and the Grant Subaward is formally closed. Failure to submit required reports could result in Grant Subaward reduction, suspension, or termination. This Grant Subaward is subject to all provisions of 2 CFR Part 200, Subpart F —Audit Requirements. Any funds received in excess of current needs, approved amounts, or those found owed as a result of a final review or audit, must be refunded to the State within 30 days upon receipt of an invoice from Cal OES. Your dated signature is required on this letter. New FY 2018 HSGP requirements include Urban Area Working Group (UAWG) concurrence regarding how the Grant Subaward is allocated. Your signature verifies that your UAWG has reached consensus regarding this award allocation. Please sign and return the original to your Cal OES Program Representative within 20 days of receipt and keep a copy for your files. For ' further assistance,.please feel free to contact your Cal OES Program Representative._ Sincerely, MARK S. GHILARDUCCI Director Lieutenant Richard LaRochelle Date Anaheim/Santa Ana UASi 55C-4 GAVIN NEWSOM GOVERNOR C: May 7, 2019 MARK S. GHILARDUCCI Cal C"N C DIRECTOR GOVERNOR'S OFFICE OF E14ERGENCY SERVICES Christopher Pena Lieutenant / Emergency Management Director Anaheim / Santa Ana UASI 425 South Harbor Blvd Anaheim, CA 92805 SUBJECT: NOTIFICATION OF SUBRECIPIENT APPLICATION APPROVAL FY 2018 Homeland Security Grant Program (HSGP) Subaward #: 2018-0054, Cal IDES ID: 059-95010 Dear Lt. Pena: The California Governor's Office of Emergency Services (Cal OES) has approved your FY 2018 Homeland Security Grant Program (HSGP) application in the amount of $4,435,000. As of the date of this letter, you may request reimbursement of eligible grant expenditures using the Cal IDES Financial Management Forms Workbook (FMFW) available at www.caloes.ca.gov. A copy of your approved subaward is enclosed for your records. Any activities requiring additional review (e.g., Environmental Planning and Historic Preservation, Allowability Requests, procurement of Aviation or Controlled Equipment, etc.) shall not incur costs until you receive written approval for those activities. This subaward is subject to all provisions of 2 CFR Part 200, Subpart F - Audit Requirements. Any funds received in excess of current needs, approved amounts, or those found owed as a result of a final review or audit, must be refunded to the State within 30 days upon receipt of an invoice from Cal OES. Homeland Security & Emergency Management Grants Processing Enclosure cc: Subrecipient file 3650 SCHRIEVER AVENUE, MATHER, CA 95655 TELEPHONE (916) 845-8186 1 FAX (916) 636-3880 55C-5 55C-6 Exhibit 2 AGREEMENT SUB -RECIPIENT: CITY OF SANTA ANA City Contract Number 55C-7 TABLE OF CONTENTS Section Description page I INTRODUCTION §101. Parties to the Agreement 3 §102. Representatives of the Parties and Service of Notices 3 §103. Independent Party 4 §104. Conditions Precedent to Execution of this Agreement 4 11 TERM AND SERVICES TO BE PROVIDED §201. Time of Performance §202. Use of Grant Funds 5 5 III PAYMENT §301. Payment of Grant Funds and Method of Payment 8 IV STANDARD PROVISIONS §401. Construction of Provisions and Titles Herein 9 §402. Applicable Law, Interpretation and Enforcement 9 §403. Integrated Agreement 9 §404. Excusable Delays 9 §405. Breach 10 §406. Prohibition Against Assignment or Delegation 10 §407. Permits 10 §408. Non Discrimination and Affirmative Action 10 §409. Bonds 11 55C-8 TABLE OF CONTENTS Section Description Paqe §410. Indemnification 11 §411. Conflict of Interest 11 §412. Restriction on Disclosures 13 §413. Statutes and Regulations Applicable to All Grant Contracts 13 §414. Federal, State, and Local Taxes 20 §415. Inventions, Patents and Copyrights 20 §416. MBEM/BE 22 V DEFAULTS, SUSPENSION, TERMINATION, AND AMENDMENTS §501. Defaults 23 §502. Amendments 23 V ENTIRE AGREEMENT §601. Complete Agreement 24 §602. Number of Pages and Attachments 24 Execution (Signature) Page 25 EXHIBITS Exhibit A Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions Exhibit B Certification Regarding Lobbying Exhibit C Grant Assurances ii 55C-9 Agreement Number: AGREEMENT FOR TRANSFER OR PURCHASE OF EQUIPMENT/SERVICES OR FOR REIMBURSEMENT OF TRAINING COSTS FOR FY2018 URBAN AREAS SECURITY INITIATIVE (UASI) BETWEEN THE CITY OF ANAHEIM AND CITY OF SANTA ANA THIS AGREEMENT is made and entered into this 8th day of May 2019, by and between the CITY OF ANAHEIM, a municipal corporation (the "CITY"), and CITY OF SANTA ANA (the "SUB -RECIPIENT" or "Contractor"). WITNESSETH WHEREAS, CITY, acting through the Anaheim Police Department in its capacity as a Core City for the Anaheim/Santa Ana Urban Area under the FY18 Urban Areas Security Initiative, has applied for, received and accepted a grant entitled "FY 2018 Urban Areas Security Initiative' from the federal Department Of Homeland Security(DHS), Federal Emergency Management Agency (FEMA), through the State of California Governor's Office of Emergency Services (CalOES), to enhance countywide emergency preparedness (the "grant'), as set forth in the grant guidelines and assurances that are incorporated to this Agreement by reference and located at: "U.S. Department of Homeland Security "Fiscal Year 2018 Homeland Security Grant Program (HSGP) Notice of Funding Opportunity (NOFO)" https://www.fema.gov/media- I i b ra ry-data/1526578809767- 7fO8f471f36d22b2cOd8afb848048c96/FY 2018 HSGP NOFO FINAL 508.pdf California Office of Emergency Services "FY2018 Homeland Security Grant Program: California Supplement to Federal Program Guidance and Application Kit" hftos://www. ca loes.ca.gov/GrantsManagementSite/Documents/FY%202018%20 HS G P%20State%2OGuidance.pdf Copies of the grant guidelines shall be retained in the Anaheim/Santa Ana Grant Office. WHEREAS, this financial assistance is administered by the CITY OF ANAHEIM ("CITY") and is overseen by the California Governor's Office of Emergency Services ("CalOES"); and WHEREAS, this financial assistance is being provided to address the unique equipment, training, planning, and exercise needs of large urban areas, and to assist them in building an enhanced and sustainable capacity to prevent, respond to, and recover from threats or acts of terrorism; and 55C-10 WHEREAS, the Anaheim/Santa Ana Urban Area ("ASAUA") consists of 34 cities in Orange County, including the City of Anaheim and the City of Santa Ana, the County of Orange, Santa Ana Unified School District Police, California State University, Fullerton, University of California, Irvine, Municipal Water District of Orange County, and the Orange County Fire Authority; and WHEREAS, the Office of Grants Management ("OGM") awarded a FY18 UASI Grant of $4,135,000 ("Grant Funds") to the CITY OF ANAHEIM, as a Core City, for use in the ASAUA; and WHEREAS, the CITY has designated the Chief of Police, or his designee and the Anaheim Police Department, Emergency Management Director ("UASI Grant Office") to provide for terrorism prevention and emergency preparedness; and WHEREAS, the UASI Grant Office now wishes to distribute FY18 UASI Grant Funds throughout the ASAUA, as further detailed in this Agreement ("Agreement') to CITY OF SANTA ANA ("SUB -RECIPIENT") and others; WHEREAS, the CITY and SUB -RECIPIENT are desirous of executing this Agreement as authorized by the City Council and the Chief of Police which authorizes the CITY to prepare and execute the Agreement. NOW, THEREFORE, IT IS MUTUALLY AGREED AS FOLLOWS: 55C-11 INTRODUCTION §101. Parties to the Agreement The parties to this Agreement are: A. The CITY, a municipal corporation, having its principal office at 425 South Harbor Boulevard, Anaheim, CA 92805; and B. CITY OF SANTA ANA, a municipal corporation, , §102. Representatives of the Parties and Service of Notices A. The representatives of the respective parties who are authorized to administer this Agreement and to whom formal notices, demands and communications shall be given are as follows: 1. The representative of the City of Anaheim shall be, unless otherwise stated in the Agreement: Richard LaRochelle, Lieutenant Anaheim Police Department 425 South Harbor Boulevard Anaheim, CA. 92805 Phone: (714) 765-3833 Fax: (714) 765-1616 rlarochelle@anaheim.net 2. The representative of CITY OF SANTA ANA shall be: Name: Michael Claborn Title: Police Comman Sub Recipient Name: i Sub Recipient Address: City: Santa Ana State: ( Phone: 714-245-8274 E-mail: mclaborn(o)sa 55C-12 B. Formal notices, demands and communications to be given hereunder by either party shall be made in writing and may be effected by personal delivery or by registered or certified mail, postage prepaid, return receipt requested and shall be deemed communicated as of the date of mailing. C. If the name of the person designated to receive the notices, demands or communications or the address of such person is changed, written notice shall be given, in accord with this section, within five (5) business days of said change. §103. Independent Party SUB -RECIPIENT is acting hereunder as an independent party, and not as an agent or employee of the CITY OF ANAHEIM. No employee of SUB -RECIPIENT is, or shall be an employee of the CITY OF ANAHEIM by virtue of this Agreement, and SUB -RECIPIENT shall so inform each employee organization and each employee who is hired or retained under this Agreement. SUB -RECIPIENT shall not represent or otherwise hold out itself or any of its directors, officers, partners, employees, or agents to be an agent or employee of the CITY OF ANAHEIM. §104. Conditions Precedent to Execution of This Agreement SUB -RECIPIENT shall provide copies of the following documents to the CITY OF ANAHEIM, unless otherwise exempted. A. Grant Assurances in accordance with section 413C of this Agreement attached hereto as Exhibit C and made part hereof. B. Certifications Regarding Ineligibility, Suspension and Debarment as required by Executive Order 12549 in accordance with Section 413Al2 of this Agreement and attached hereto as Exhibit A and made a part hereof. C. Certifications and Disclosures Regarding Lobbying in accordance with Section 413A4 of this Agreement and attached hereto as Exhibit B and made a part hereof. SUB -RECIPIENT shall also file a Disclosure Form at the end of each calendar quarter in which there occurs any event requiring disclosure or which materially affects the accuracy of the information contained in any Disclosure Form previously filed by SUB -RECIPIENT. n 55C-13 u TERM AND SERVICES TO BE PROVIDED §201. Time of Performance The term of this Agreement shall commence on May 8, 2019 and end on March 31, 2021 or upon the final disbursement of all of the Grant Amount (as defined in Section 301) and any additional period of time as is required to complete any necessary close out activities. Said term is subject to the provisions herein. §202. Use of Grant Funds A. CITY may, a) transfer to SUB -RECIPIENT, equipment or services purchased with grant funds and in accordance with grant guidelines set forth above; or, b) reimburse SUB -RECIPIENT for purchase of authorized equipment, exercises, services or training upon receiving prior written approval from CITY or its designee and in accordance with grant guidelines and in full compliance with all of the SUB -RECIPIENT'S purchasing and bidding procedures. SUB -RECIPIENT shall specify the equipment, services, exercises and training to be purchased using the Application for Project Funding. A paper copy of this document will be provided to SUB - RECIPIENT by CITY. In addition, a compact disc with a copy of the document will be provided to SUB -RECIPIENT by CITY. If additional copies of the document are needed, SUB -RECIPIENT may contact the Anaheim Grant Coordinator and it will be provided. B. SUB -RECIPIENT shall provide any reports requested by the CITY regarding the performance of the Agreement. Reports shall be in the form requested by the CITY, and shall be provided in a timely manner. C. SUB -RECIPIENT shall provide the CITY a copy of its most current procurement guidelines and follow its own procurement requirements as long as they meet the minimum federal requirements. Federal procurement requirements for the FY 18 UASI Grant can be found at 2 Code of Federal Regulations (CFR) Part 200 "Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards." D. The Authorized Equipment List (AEL) is a list of the allowable equipment which may be purchased pursuant to this Agreement and is located at https://www.fema.gov/authorized-equipment-list, and incorporated to this Agreement by reference. A copy of the AEL shall be retained in the Anaheim/Santa Ana Grant Office. Unless otherwise stated in program guidance any equipment acquired pursuant to this Agreement shall meet all mandatory regulations and/or DHS-adopted standards to be eligible for purchase using grant funds. 55C-14 Any equipment acquired or obtained with Grant Funds: 1. Shall be made available under the California Disaster and Civil Defense Master Mutual Aid Agreement in consultation with representatives of the various fire, emergency medical, hazardous materials response services, and law enforcement agencies within the jurisdiction of the applicant; 2. Shall be consistent with needs as identified in the National Priorities and Core Capabilities, the State Homeland Security Strategy and the Anaheim/Santa Ana Urban Area and Orange County Operational Area Homeland Security Grants Strategy, the Threat Hazard Identification and Risk Assessment (THIRA), the State Preparedness Report; and deployed in conformance with those plans; 3. Shall be made available pursuant to applicable terms of the California Disaster and Civil Defense Master Mutual Aid Agreement and deployed with personnel trained in the use of such equipment in a manner consistent with the California Law Enforcement Mutual Aid Plan or the California Fire Services and Rescue Mutual Aid Plan; 4. Shall be subject to the requirements of Title 2 CFR Part 200.313 and 200.314. For the purposes of this subsection, "Equipment' is defined as nonexpendable property that is not consumed or does not lose its identity by being incorporated into another item of equipment, which costs $5,000 or more per unit, or is expected to have a useful life of one (1) year or more. 5. Shall be used by SUB -RECIPIENT in the program or project for which it was acquired as long as needed, whether or not the project or program continues to be supported by Federal funds. When no longer useful for the original program or project, the Equipment may be used in other activities currently or previously supported by a Federal agency. 6. Shall be made available for use on other projects or programs currently or previously supported by the Federal Government, providing such use will not interfere with the work on the projects or program for which it was originally acquired. First preference for other use shall be given to other programs or projects supported by the awarding agency. 7. Shall be recorded on a ledger. The record shall include: (a) description of the item of Equipment, (b) serial number or other identification number, (c) the source of funding for the property 55C-15 (including FAIN); (d) who holds the title, (e) date of acquisition; (f) the per unit acquisition cost of the Equipment, (g) percentage of federal participation in the project costs for the Federal award under which the property was acquired, (h) location, and (i)use and condition of Equipment, and 0) ultimate disposition data including the date of disposal and sale price of the property. Records must be retained pursuant to 2 CFR Part 200.313. 8. All equipment obtained under this Agreement shall have an ASAUA identification decal affixed to it, and, when practical, shall be affixed where it is readily visible. 9. A physical inventory of the Equipment shall be taken and the results reconciled with the Equipment records at least once every two years. Inventory shall also be taken prior to any UASI, State or Federal monitor visits. 10. SUB -RECIPIENT shall exercise due care to preserve and safeguard equipment acquired with grant funds from damage or destruction and shall provide regular maintenance and such repairs for said equipment as necessary, in order to keep said equipment continually in good working order. Such maintenance and servicing shall be the sole responsibility of SUB -RECIPIENT, who shall assume full responsibility for maintenance and repair of the equipment throughout the life of said equipment. 11. SUB -RECIPIENT shall contact the ASAUA Grant Office prior to initiating the disposition process. Disposal of equipment shall be conducted pursuant to 2 CFR Part 200.313. The ASAUA will contact the awarding agency for disposition instructions, if necessary, prior to any action being taken. D. Any training paid pursuant to this Agreement shall conform to the guidelines as listed in FY 2018 Homeland Security Grant Program, as set forth above. All training expenses must be pre -authorized by CalOES at https://w3.calema.ca.govMebPage/trainreq.nsf/TrainRequest?OpenForm. A catalogue of Grantor approved and sponsored training courses is available at https://cdp.dhs.gov/. E. Any exercise paid pursuant to this Agreement shall conform to the guidelines as listed in FY 2018 Homeland Security Grant Program, as set forth above. Detailed Homeland Security Exercise and Evaluation Program Guidance is available at https://www.fema.gov/media-library/assets/documents/32326. F. Any planning paid pursuant to this Agreement shall conform to the guidelines as listed in FY 2018 Homeland Security Grant Program, as set forth above. G. Any organizational activities paid pursuant to this Agreement shall conform to the guidelines as listed in FY 2018 Homeland Security Grant Program, as set 7 55C-16 forth above. III PAYMENT §301. Payment of Grant Funds and Method of Payment A. CITY may, a) transfer to SUB -RECIPIENT, equipment or services purchased with grant funds; or, b) reimburse SUB -RECIPIENT for the purchase of authorized equipment, exercises, services or training upon receiving prior written approval from CITY or its designee and in accordance with grant guidelines and in full compliance with all of the SUB -RECIPIENT'S purchasing and bidding procedures. SUB -RECIPIENT shall specify the equipment, exercises, services or training to be purchased using the Application for Project Funding. A copy of this document will be provided to SUB -RECIPIENT by CITY. If additional copies of the document are needed, SUB -RECIPIENT may contact the Anaheim Grant Coordinator and it will be provided. Funds may be used for planning, exercises, organizational and training activities, and the purchase of equipment as described in Section 202 above. B. SUB -RECIPIENT shall provide invoices to the CITY requesting payment and all supporting documentation. Each reimbursement request shall be accompanied by the Reimbursement Request for Grant Expenditures detailing the expenditures made by SUB -RECIPIENT as authorized by Section 202 above. Each reimbursement request shall be submitted to the Anaheim UASI Grant Office. For equipment for which SUB -RECIPIENT is requesting reimbursement, all appropriate back-up documentation must be attached to the reimbursement form, including invoices, proof of payment, packing slips, and Equipment Reimbursement Worksheet. For training reimbursements, SUB - RECIPIENT must include a copy of any certificates issued or a copy of the class roster verifying training attendees, proof that a CalOES tracking number has been assigned to the course, timesheets and payroll registers for all training attendees, receipts for travel expenses related to the training, and Training Reimbursement Worksheet. For regional project reimbursements, SUB -RECIPIENT must include approval from the lead agency for all submitted invoices. C. Payment of final invoice shall be withheld by the CITY until the SUB - RECIPIENT has turned in all supporting documentation and completed the requirements of this Agreement. D. It is understood that the CITY makes no commitment to fund this Agreement beyond the terms set forth herein. E. Funding for all periods of this Agreement is subject to the continuing availability to the CITY of federal funds for this program. The Agreement may be terminated immediately upon written notice to SUB -RECIPIENT of a loss or reduction of federal grant funds. 55C-17 IV STANDARD PROVISIONS §401. Construction of Provisions and Titles Herein All titles or subtitles appearing herein have been inserted for convenience and shall not be deemed to affect the meaning or construction of any of the terms or provisions hereof. The language of this Agreement shall be construed according to its fair meaning and not strictly for or against either party. The word "Sub -recipient" herein and in any amendments hereto includes the party or parties identified in this Agreement. The singular shall include the plural. If there is more than one Sub -recipient as identified herein, unless expressly stated otherwise, their obligations and liabilities hereunder shall be joint and several. Use of the feminine, masculine, or neuter genders shall be deemed to include the genders not used. §402. Applicable Law, Interpretation and Enforcement Each party's performance hereunder shall comply with all applicable laws of the United States of America, the State of California, and the CITY. This Agreement shall be enforced and interpreted under the laws of the State of California and the CITY. If any part, term or provision of this Agreement shall be held void, illegal, unenforceable, or in conflict with any law of a federal, state or local government having jurisdiction over this Agreement, the validity of the remaining portions of provisions shall not be affected thereby. §403. Integrated Agreement This Agreement sets forth all of the rights and duties of the parties with respect to the subject matter hereof, and replaces any and all previous agreements or understandings, whether written or oral, relating thereto. This Agreement may be amended only by a written instrument executed by both parties hereto. §404. Excusable Delays In the event that performance on the part of any party hereto shall be delayed or suspended as a result of circumstances beyond the reasonable control and without the fault and negligence of said party, none of the parties shall incur any liability to the other parties as a result of such delay or suspension. Circumstances deemed to be beyond the control of the parties hereunder shall include, but not be limited to, acts of God or of the public enemy; insurrection; acts of the Federal Government or any unit of State or Local Government in either sovereign or contractual capacity; fires; floods; epidemics; quarantine 55C-18 restrictions; strikes, freight embargoes or delays in transportation; to the extent that they are not caused by the party's willful or negligent acts or omissions and to the extent that they are beyond the party's reasonable control. §405. Breach Except for excusable delays, if any party fails to perform, in whole or in part, any promise, covenant, or agreement set forth herein, or should any representation made by it be untrue, any aggrieved party may avail itself of all rights and remedies, at law or equity, in the courts of law. Said rights and remedies are cumulative of those provided for herein except that in no event shall any party recover more than once, suffer a penalty or forfeiture, or be unjustly compensated. §406. Prohibition Against Assignment or Delegation SUB -RECIPIENT may not, unless it has first obtained the written permission of the CITY: A. Assign or otherwise alienate any of its rights hereunder, including the right to payment; or B. Delegate, subcontract, or otherwise transfer any of its duties hereunder. §407. Permits SUB -RECIPIENT and its officers, agents and employees shall obtain and maintain all permits and licenses necessary for SUB -RECIPIENT performance hereunder and shall pay any fees required therefore. SUB -RECIPIENT further certifies to immediately notify the CITY of any suspension, termination, lapses, non renewals or restrictions of licenses, certificates, or other documents. §408. Nondiscrimination and Affirmative Action SUB -RECIPIENT shall comply with the applicable nondiscrimination and affirmative action provisions of the laws of the United States of America, the State of California, and the CITY. In performing this Agreement, SUB - RECIPIENT shall not discriminate in its employment practices against any employee or applicant for employment because of such person's ancestry, familial status, race, color, religious creed (including religious dress and grooming practices), sex (which includes pregnancy, childbirth, breastfeeding, and medical conditions related to pregnancy, childbirth, or breastfeeding), gender, gender identity, gender expression, sexual orientation, marital status, national origin, ancestry, mental or physical disability, genetic information, medical condition, age, pregnancy, denial of medical and family care leave, or pregnancy disability (California Government Code §§ 12490, 12945, 12945.2), military or veteran status, and/or retaliation for protesting illegal discrimination related to one of these categories, or for reporting patient abuse in tax supported institutions. SUB- 10 55C-19 RECIPIENT shall comply with Executive Order 11246, entitled "Equal Employment Opportunity," as amended by Executive Order 11375, and as supplemented in Department of Labor regulations (41 CFR Part 60). SUB -RECIPIENT shall comply with California Public Contract Code §10295.3, which addresses discrimination based on domestic partnerships. If required, SUB - RECIPIENT shall submit an Equal Employment Opportunity Plan ("EEOP") to the DOJ Office of Civil Rights ("OCR") in accordance with guidelines listed at hftp://www.ojp.usdoj.gov/ocr/eeop.htm, Any subcontract entered into by the SUB -RECIPIENT relating to this Agreement, to the extent allowed hereunder, shall be subject to the provisions of this § 408. §409. Bonds SUB -RECIPIENT must purchase a performance bond for any equipment item over $250,000 or any vehicle (including aircraft or watercraft) financed with homeland security funds. SUB -RECIPIENT must provide a copy of performance bond to CITY no later than the time of reimbursement. §410. Indemnification To the fullest extent of the law, SUB -RECIPIENT agrees to indemnify, defend, and hold harmless the City of Anaheim, its officers, agents, employees, representatives and designated volunteers from and against any and all claims, demands, defense costs, or liability of any kind or nature arising out of or resulting from, or any way connected with SUB -RECIPIENT'S acts, errors or omissions in the performance of SUB -RECIPIENT'S services or use of grant funds under the terms of this Agreement. §411. Conflict of Interest A. SUB -RECIPIENT covenants that none of its directors, officers, employees, or agents shall participate in selecting, or administrating any subcontract supported (in whole or in part) by Federal funds where such person is a director, officer, employee or agent of the subcontractor; or where the selection of subcontractors is or has the appearance of being motivated by a desire for personal gain for themselves or others such as family business, etc.; or where such person knows or should have known that: 1. A member of such person's immediate family, or domestic partner or organization has a financial interest in the subcontract; 2. The subcontractor is someone with whom such person has or is negotiating any prospective employment; or 3. The participation of such person would be prohibited by the California Political Reform Act, California Government Code §87100 et seq. if such person were a public officer, because such 11 55C-20 person would have a "financial or other interest" in the subcontract. B. Definitions: 1. The term "immediate family" includes but is not limited to domestic partner and/or those persons related by blood or marriage, such as husband, wife, father, mother, brother, sister, son, daughter, father in law, mother in law, brother in law, sister in law, son in law, daughter in law. 2. The term "financial or other interest" includes but is not limited to: a. Any direct or indirect financial interest in the specific contract, including a commission or fee, a share of the proceeds, prospect of a promotion or of future employment, a profit, or any other form of financial reward. b. Any of the following interests in the subcontractor ownership: partnership interest or other beneficial interest of five percent or more; ownership of five percent or more of the stock; employment in a managerial capacity; or membership on the board of directors or governing body. C. The SUB -RECIPIENT further covenants that no officer, director, employee, or agent shall solicit or accept gratuities, favors, anything of monetary value from any actual or potential subcontractor, supplier, a party to a sub agreement, (or persons who are otherwise in a position to benefit from the actions of any officer, employee, or agent). D. The SUB -RECIPIENT shall not subcontract with a former director, officer, or employee within a one year period following the termination of the relationship between said person and the Contractor. E. Prior to obtaining the CITY'S approval of any subcontract, the SUB - RECIPIENT shall disclose to the CITY any relationship, financial or otherwise, direct or indirect, of the SUB -RECIPIENT or any of its officers, directors or employees or their immediate family with the proposed subcontractor and its officers, directors or employees. F. For further clarification of the meaning of any of the terms used herein, the parties agree that references shall be made to the guidelines, rules, and laws of the SUB -RECIPIENT, State of California, and Federal regulations regarding conflict of interest. G. The SUB -RECIPIENT warrants that it has not paid or given and will not pay or give to any third person any money or other consideration for obtaining this Agreement. H. The SUB -RECIPIENT covenants that no member, officer or employee of 12 55C-21 SUB -RECIPIENT shall have interest, direct or indirect, in any contract or subcontract or the proceeds thereof for work to be performed in connection with this project during his/her tenure as such employee, member or officer or for one year thereafter. I. The SUB -RECIPIENT shall incorporate the foregoing subsections of this Section into every agreement that it enters into in connection with this project and shall substitute the term "subcontractor" for the term "SUB -RECIPIENT" and "sub subcontractor" for "Subcontractor". §412. Restriction on Disclosures Any reports, analysis, studies, drawings, information, or data generated as a result of this Agreement are to be governed by the California Public Records Act (California Government Code Sec. 6250, et seq.). §413. Statutes and Regulations Applicable To All Grant Contracts A. SUB -RECIPIENT shall comply with all applicable requirements of state, federal, county and SUB -RECIPIENT laws, executive orders, regulations, program and administrative requirements, policies and any other requirements governing this Agreement. SUB -RECIPIENT shall comply with state and federal laws and regulations pertaining to labor, wages, hours, and other conditions of employment. SUB -RECIPIENT shall comply with new, amended, or revised laws, regulations, and/or procedures that apply to the performance of this Agreement. These requirements include, but are not limited to: Office of Management and Budget (OMB) Circulars SUB -RECIPIENT shall comply with 2 Code of Federal Regulations (CFR) Part 200 (Uniform Administrative, Cost Principles, and Audit Requirements for Federal Awards). 2. Single Audit Act If Federal funds are used in the performance of this Agreement, SUB -RECIPIENT shall adhere to the rules and regulations of the Single Audit Act, 31 USC Sec. 7501 et seq.; Title 2 Code of Federal Regulations, Part 200, Subpart F Audit Requirements; and any administrative regulation or field memos implementing the Act. When reporting under on the FYI UASI Grant Program under the Single Audit Act, SUB -RECIPIENT shall use Catalog of Federal Domestic Assistance (CFDA) Program Number 97.067 "Homeland Security Grant Program"; Grant Identification Number 2018-0054; and Identify the City of Anaheim as the Pass -Through. Americans with Disabilities Act 13 55C-22 SUB -RECIPIENT hereby certifies that it will comply with the Americans with Disabilities Act, 42 USC §§ 12101, at seq., and its implementing regulations. SUB -RECIPIENT will provide reasonable accommodations to allow qualified individuals with disabilities to have access to and to participate in its programs, services and activities in accordance with the provisions of the Americans with Disabilities Act. SUB -RECIPIENT will not discriminate against persons with disabilities or against persons due to their relationship to or association with a person with a disability. Any subcontract entered into by the SUB -RECIPIENT, relating to this Agreement, to the extent allowed hereunder, shall be subject to the provisions of this paragraph. 4. Political and Sectarian Activity Prohibited None of the funds, materials, property or services provided directly or indirectly under this Agreement shall be used for any partisan political activity, or to further the election or defeat of any candidate for public office. Neither shall any funds provided under this Agreement be used for any purpose designed to support or defeat any pending legislation or administrative regulation. None of the funds provided pursuant to this Agreement shall be used for any sectarian purpose or to support or benefit any sectarian activity. If this Agreement provides for more than $100,000 in grant funds or more than $150,000 in loan funds, SUB -RECIPIENT shall submit to the CITY a Certification Regarding Lobbying and a Disclosure Form, if required, in accordance with 31 USC §1352. A copy of the Certificate is attached hereto as Exhibit B. No funds will be released to SUB -RECIPIENT until the Certification is filed. SUB -RECIPIENT shall file a Disclosure Form at the end of each calendar quarter in which there occurs any event requiring disclosure or which materially affects the accuracy of any of the information contained in any Disclosure Form previously filed by SUB - RECIPIENT. SUB -RECIPIENT shall require that the language of this Certification be included in the award documents for all sub -awards at all tiers and that all subcontractors shall certify and disclose accordingly. 5. Records Inspection In accordance with 2 CFR§200.336, at any time during normal business hours and as often as the CITY, the U.S. Comptroller General, and/or the Auditor General of the State of California may deem necessary, SUB -RECIPIENT shall make available for examination all of its records with respect to all matters covered by this Agreement. The CITY, the U.S. Comptroller General and/or the Auditor General of the State of California shall have the authority to 14 55C-23 audit, examine and make excerpts or transcripts from records, including SUB -RECIPIENT'S invoices, materials, payrolls, records of personnel, conditions of employment and other data relating to all matters covered by this Agreement. SUB -RECIPIENT agrees to provide any reports requested by the CITY regarding performance of the Agreement. 6. Records Maintenance Records, in their original form, shall be maintained in accordance with requirements prescribed by the CITY with respect to all matters covered on file for all documents specified in this Agreement. Original forms are to be maintained on file for all documents specified in this Agreement. Such records shall be retained for a period of three (3) years after the CITY receives notification of grant closeout from CalOES, and after final disposition of all pending matters. "Pending matters" include, but are not limited to, an audit, litigation or other actions involving records. The CITY may, at its discretion, take possession of, retain and audit said records. Records, in their original form pertaining to matters covered by this Agreement, shall at all times be retained within the County of Orange unless authorization to remove them is granted in writing by the CITY. 7. Subcontracts and Procurement SUB -RECIPIENT shall comply with the federal and SUB - RECIPIENT standards in the award of any subcontracts. For purposes of this Agreement, subcontracts shall include but not be limited to purchase agreements, rental or lease agreements, third party agreements, consultant service contracts and construction subcontracts. SUB -RECIPIENT shall ensure that the terms of this Agreement with the CITY are incorporated into all Subcontractor Agreements. The SUB -RECIPIENT shall submit all Subcontractor Agreements to the CITY for review prior to the release of any funds to the subcontractor. The SUB -RECIPIENT shall withhold funds to any subcontractor agency that fails to comply with the terms and conditions of this Agreement and their respective Subcontractor Agreement. 8. Labor SUB -RECIPIENT shall comply, as applicable, with the provisions of the Davis -Bacon Act (40 U.S.C. §§276a to 276a-7), the Copeland Act (40 U.S.C. §276c and 18 U.S.C. §874), the Contract Work Hours and Safety Standards Act (40 U.S.C. §§327-333), regarding labor standards for federally -assisted construction subagreements, and the Hatch Act (5 USC §§1501-1508 and 7324-7328). 15 55C-24 SUB -RECIPIENT shall comply with the Federal Fair Labor Standards Act (29 USC §201) regarding wages and hours of employment. None of the funds shall be used to promote or deter Union/labor organizing activities. CA Gov't Code Sec. 16645, et seq. 9. Civil Rights SUB -RECIPIENT shall comply with all Federal statutes relating to nondiscrimination. These include but are not limited to: (a) Title VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits discrimination on the basis of race, color or national origin; (b) Title IX of the Education Amendments of 1972, as amended (20 U.S.C. §§1681- 1683, and 1685-1686), which prohibits discrimination on the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. §794), which prohibits discrimination on the basis of handicaps; (d) The Age Discrimination act of 1975, as amended (42 U.S.C. §§6101-6107), which prohibits discrimination on the basis of age; (e) the Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255), as amended, relating to nondiscrimination on the basis of drug abuse; (f) the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation act of 1970 (P.L. 91-616) as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; (g) §§523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. §§290 dd-3 and 290 ee 3), as amended, relating to confidentiality of alcohol and drug abuse patient records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. §§3601, et seq.), as amended, relating to non-discrimination in the sale, rental or financing of housing; (1) any other nondiscrimination provisions in the specific statute(s) under which application for Federal assistance is being made; 0) the requirements of any other nondiscrimination statute(s) which may apply to the application; and (k) P.L. 93-348 regarding the protection of human subjects involved in research, development, and related activities supported by this award of assistance. 10. Environmental SUB -RECIPIENT shall comply, or has already complied, with the requirements of Titles II and III of the Uniform relocation Assistance and Real Property Acquisition Policies Act of 1970 (P.L. 91-646) which provide for fair and equitable treatment of persons displaced or whose property is acquired as a result of Federal or federally - assisted programs. These requirements apply to all interests in real property acquired for project purposes regardless of Federal participation in purchases. SUB -RECIPIENT shall comply with environmental standards which may be prescribed pursuant to the following: (a) institution of 16 55C-25 environmental quality control measures under the National Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order (EO) 11514; (b) notification of violating facilities pursuant to EO 11738; (c) protection of wetlands pursuant to EO 11990; (d) evaluation of flood hazards in floodplains in accordance with EO 11988; (e) assurance of project consistency with the approved State management program developed under the Coastal Zone Management Act of 1972 (16 U.S.C. §§1451, at seq.); (f) conformity of Federal actions to State (Clean Air) Implementation Plans under Section 176(c) of the Clean Air Act of 1955, as amended (42 U.S.C. §§7401, at seq.); (g) protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, as amended (P.L. 93-523); (h) protection of endangered species under the Endangered Species Act of 1973, as amended (P.L. 93205); and (i) Flood Disaster Protection Act of 1973 §102(a) (P.L. 93-234). SUB -RECIPIENT shall comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. §§1271, et seq.) related to protecting components or potential components of the national wild and scenic rivers system. SUB -RECIPIENT shall comply with the Lead -Based Paint Poisoning Prevention Act (42 U.S.C. §§4801, at seq.) which prohibits the use of lead- based paint in construction or rehabilitation of residence structures. SUB -RECIPIENT shall comply with the Federal Water Pollution Control Act (33 U.S.C. § 1251-1387) which restores and maintains the chemical, physical and biological integrity of the Nation's waters. SUB -RECIPIENT shall comply with the Federal Clean Water Act (CWA) (33 U.S.0 §1251 et seq.), which establishes the basic structure for regulating discharges of pollutants into the waters of the United States and regulating quality standards for surface waters. SUB -RECIPIENT shall ensure that the facilities under its ownership, lease or supervision which shall be utilized in the accomplishment of this project are not listed in the Environmental Protection Agency's (EPA) list of Violating Facilities and that it will notify the Federal Grantor agency of the receipt of any communication from the Director of the EPA Office of Federal Activities indicating that a facility to be used in the project is under consideration for listing by the EPA. By signing this Agreement, SUB -RECIPIENT ensures that it is in compliance with the California Environmental Quality Act (CEQA), Public Resources Code §21000, at seq. and is not impacting the environment negatively. 17 55C-26 SUB -RECIPIENT shall comply with the Energy Policy and Conservation Act (P.L. 94-163, 89 Stat. 871). 11. Preservation SUB -RECIPIENT shall comply with Section 106 of the National Historic Preservation Act of 1966, as amended (16 U.S.C. §470), EO 11593 (identification and protection of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. §§469a-1, et seq.). 12. Debarment and Suspension SUB -RECIPIENT shall comply with Federal Register, Volume 68, Number 228, regarding Suspension and Debarment, and SUB - RECIPIENT shall submit a Certification Regarding Debarment required by Executive Order 12549 and any amendment thereto. Said Certification shall be submitted to the CITY concurrent with the execution of this Agreement and shall certify that neither SUB - RECIPIENT nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded from participation in this transaction by any federal department head or agency. SUB -RECIPIENT shall require that the language of this Certification be included in the award documents for all sub -award at all tiers and that all subcontractors shall certify accordingly. As required by Executive Orders (EO) 12549 and 12689, and 2 CFR §200.212 and codified in 2 CFR Part 180, Debarment and Suspension, SUB -RECIPIENT will provide protection against waste, fraud and abuse by debarring or suspending those persons deemed irresponsible in their dealings with the Federal government. 13. Drug -Free Workplace SUB -RECIPIENT shall comply with the federal Drug -Free Workplace Act of 1988,41 USC §701, 44 CFR Part 67; the California Drug -Free Workplace Act of 1990, CA Gov't Code §§ 8350-8357. 14. Financial Management SUB -RECIPIENT will comply with 31 U.S.0 §3729 which sets forth that no subgrantee, recipient or subrecipient shall submit a false claim for payment, reimbursement or advance. 15. Reporting — Accountability SUB -RECIPIENT agrees to comply with applicable provisions of the Federal Funding Accountability and Transparency Act (FFATA) (2 CFR Chapter 1, Part 170), specifically (a) the reporting ofsubawards obligating $25,000 or more in federal funds and (b) executive 55C-27 compensation data for first -tier subawards. This includes the provisions of FFATA, which includes requirements on executive compensation, and also requirements implementing the Act for the non -Federal entity at 2 CFR part 25 Financial Assistance Use of Universal Identifier and Central Contractor Registration and 2 CFR part 170 Reporting Subaward and Executive Compensation Information. SUB -RECIPIENT must also comply with statutory requirements for whistleblower protections at 10 U.S.C. §2409, 41 U.S.C. §4712, and 10 U.S.C. §2324, 41 U.S.C. §4304 and §4310 and 31 U.S.C. §6101 et seq. 16. Human Trafficking SUB -RECIPIENT will comply with the requirements of Section 106(g) of the Trafficking Victims Protection Act (TVPA) of 2000, as amended (22 U.S.C. §7104) which prohibits grant award recipients or a subrecipient from (1) Engaging in severe forms of trafficking in persons during the period of time that the award is in effect (2) Procuring a commercial sex act during the period of time that the award is in effect or (3) Using forced labor in the performance of the award or subawards under the award. 17. Freedom of Information Act SUB -RECIPIENT acknowledges that all information submitted in the course of applying for funding under this program or provided in the course of an entity's grant management activities which is under Federal control is subject to the Freedom of Information Act (FOIA), 5 U.S.C. §552. SUB -RECIPIENT should also consult State and local laws and regulations regarding the release of information, which should be considered when reporting sensitive matters in the grant application, needs assessment and strategic planning process. 18. California Public Records Act SUB -RECIPIENT acknowledges that all information submitted in the course of applying for funding under this program or provided in the course fo an entity's grant management activities may be subject to the California Public Records Act (California Government Code §§6250-6276.48), which requires inspection and/or disclosure of governmental records to the public upon request, unless exempted by law. B. Statutes and Regulations Applicable To This Particular Grant 19 55C-28 SUB -RECIPIENT shall comply with all applicable requirements of state and federal laws, executive orders, regulations, program and administrative requirements, policies and any other requirements governing this particular grant program. SUB -RECIPIENT shall comply with new, amended, or revised laws, regulations, and/or procedures that apply to the performance of this Agreement. These requirements include, but are not limited to: im Title 2 Code of Federal Regulations (CFR) Part 200; EO 12372; Department of Justice (DOJ) Office of Judicial Programs (OJP) Office of the Comptroller, U.S. Department of Homeland Security, Preparedness Directorate Financial Management Guide; U.S. Department of Homeland Security, Office of Grants and Training, FY 2018 Homeland Security Grant Program —Notice of Funding Opportunity; ODP WMD Training Course Catalogue; and DOJ Office for Civil Rights. Standardized Emergency Management System (SEMS) requirements as stated in the California Emergency Services Act, Government Code Chapter 7 of Division 1 of Title 2, § 8607.1(e) and CCR Title 19, §§ 2445-2448. Provisions of 44 CFR applicable to grants and cooperative agreements, including Part 18, Administrative Review Procedures; Part 20, Criminal Justice Information Systems; Part 22, Confidentiality of Identifiable Research and Statistical Information; Part 23, Criminal Intelligence Systems Operating Policies; Part 30, Intergovernmental Review of Department of Justice Programs and Activities; Part 35, Nondiscrimination on the Basis of Disability in State and Local Government Services; Part 38, Equal Treatment of Faith -based Organizations; Part 42, Nondiscrimination/Equal employment Opportunities Policies and Procedures; Part 61, Procedures for Implementing the National Environmental Policy Act; Part 63, Floodplain Management and Wetland Protection Procedures; Part 64, Floodplain Management and Wetland Protection Procedures; Federal laws or regulations applicable to federal Assistance Programs; Part 69, New Restrictions on Lobbying; Part 70, Uniform Administrative Requirements for Grants and Cooperative Agreements (including sub -awards) with Institutions of Higher Learning, Hospitals and other Non -Profit Organizations; and Part 83, Government- Wide Requirements for a Drug Free Workplace (grants). 2. Travel Expenses SUB -RECIPIENT as provided herein may be compensated for SUB - RECIPIENT'S reasonable travel expenses incurred in the performance of this Agreement, to include travel and per diem, 20 55C-29 unless otherwise expressed. Travel including in -State and out -of - State travel shall not be reimbursed without prior written authorization from the UASI Grant Office. SUB -RECIPIENT'S travel and per diem reimbursement costs shall be reimbursed based on the SUB -RECIPIENT'S travel policies and procedures. If SUB -RECIPIENT does not have established travel policies and procedures, SUB -RECIPIENT'S reimbursement rates shall not exceed the amounts established under 5 U.S.0 5701-11, ('Travel and Subsistence Expenses; Mileage Allowances"), or by the Administrator of General Services, or by the President (or his or her designee) pursuant to any provisions of such subchapter must apply to travel under federal awards (48 CFR 31.205-46(a)). 3. Personally Identifiable Information SUB -RECIPIENT collecting Personally Identifiable Information (PII) must have a publically-available policy that describes what PII they collect, how they plan to use the PII, whether they share PII with third parties, and how individuals may have their PII corrected where appropriate 4. Hotel and Motel Fire Safety Act of 1990 SUB -RECIPIENT must ensure that all conference, meeting, convention, or training space funded in whole or in part with Federal funds complies with Section 6 of the fire prevention and control guidelines of the Federal Fire Prevention and Control Act of 1974,15 U.S.C. §2225a. 5. Terrorist Financing E.O. 13224 SUB -RECIPIENT must comply with U.S. Executive Order 13224 and U.S. law that prohibit transactions with, and the provisions of resources and support to, individuals and organizations associated with terrorism. 6. USA Patriot Act of 2001 SUB -RECIPIENT must comply with the requirements of the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act (USA Patriot Act), which amends 18 U.S.C. §§175-175c. 7. Noncompliance SUB -RECIPIENT understands that failure to comply with any of the 21 55C-30 above assurances may result in suspension, termination or reduction of grant funds, and repayment by SUB -RECIPIENT to CITY of any unlawful expenditures. C. Compliance With Grant Assurances To obtain the Grant Funds, the Grantor required an authorized representative of the CITY to sign certain promises regarding the way the Grant Funds would be spent ("Grant Assurances"), attached hereto as Exhibit C. By signing these Grant Assurances, the CITY became liable to the Grantor for any funds that are used in violation of the grant requirements. SUB -RECIPIENT shall be liable to the Grantor for any funds the Grantor determines SUB -RECIPIENT used in violation of these Grant Assurances. SUB -RECIPIENT shall indemnify and hold harmless the CITY for any sums the Grantor determines SUB - RECIPIENT used in violation of the Grant Assurances. §414. Federal. State and Local Taxes Federal, State and local taxes shall be the responsibility of SUB -RECIPIENT as an independent party and not as a CITY employee. §415. Inventions. Patents and Copyrights A. Reporting Procedure for Inventions If any project produces any invention or discovery (Invention) patentable or otherwise under title 35 of the U.S. Code, including, without limitation, processes and business methods made in the course of work under this Agreement, the SUB -RECIPIENT shall report the fact and disclose the Invention promptly and fully to the CITY. The CITY shall report the fact and disclose the Invention to the Grantor. Unless there is a prior agreement between the CITY and the Grantor, the Grantor shall determine whether to seek protection on the Invention. The Grantor shall determine how the rights in the Invention, including rights under any patent issued thereon, will be allocated and administered in order to protect the public interest consistent with the policy ('Policy") embodied in the Federal Acquisition Regulations System, which is based on Ch. 18 of title 35 U.S.C. Sections 200, et seq. (Pub. L. 95-517, Pub. L. 98-620, 37 CFR part 401); Presidential Memorandum on Government Patent Policy to the Heads of the Executive Departments and Agencies, dated 2/18/1983); and Executive Order 12591, 4/10/87, 52 FIR 13414, 3 CFR, 1987 Comp., p. 220 (as amended by Executive Order 12618, 12/22/87, 52 FR 48661, 3 CFR, 1987 Comp., p. 262). SUB -RECIPIENT hereby agrees to be bound by the Policy, and will contractually require its personnel to be bound by the Policy. B. Rights to Use Inventions CITY shall have an unencumbered right, and a non-exclusive, irrevocable, royalty- free license, to use, manufacture, improve upon, and allow others to 22 55C-31 do so for all government purposes, any Invention developed under this Agreement. C. Copyright Policy Unless otherwise provided by the terms of the Grantor or of this Agreement, when copyrightable material ("Material") is developed under this Agreement, the author or the CITY, at the CITY'S discretion, may copyright the Material. If the CITY declines to copyright the Material, the CITY shall have an unencumbered right, and a non-exclusive, irrevocable, royalty- free license, to use, manufacture, improve upon, and allow others to do so for all government purposes, any Material developed under this Agreement. 2. The Grantor shall have an unencumbered right, and a non-exclusive, irrevocable, royalty -free license, to use, manufacture, improve upon, and allow others to do so for all government purposes, any Material developed under this Agreement or any Copyright purchased under this Agreement. 3. SUB -RECIPIENT shall comply with all applicable requirements in the Code of Federal Regulations related to copyrights and copyright policy. D. Rights to Data The Grantor and the CITY shall have unlimited rights or copyright license to any data first produced or delivered under this Agreement. "Unlimited rights" means the right to use, disclose, reproduce, prepare derivative works, distribute copies to the public, and perform and display publicly, or permit others to do so; as required by 48 CFR 27.401. Where the data are not first produced under this Agreement or are published copyrighted data with the notice of 17 U.S.C. Section 401 or 402, the Grantor acquires the data under a copyright license as set forth in 48 CFR 27.404(f)(2) instead of unlimited rights. (48 CFR 27.404(a)). E. Obligations Binding on Subcontractors SUB -RECIPIENT shall require all subcontractors to comply with the obligations of this section by incorporating the terms of this section into all subcontracts. §416. Minority, Women, And Other Business Enterprise Outreach Program It is the policy of the CITY to provide minority business enterprises (MBEs), women business enterprises (WBEs) and all other business enterprises an equal opportunity to participate in the performance of all SUB -RECIPIENT contracts, including procurement, construction and personal services. This policy applies to all Contractors and Sub -Contractors. 23 55C-32 v DEFAULTS SUSPENSION, TERMINATION, AND AMENDMENTS §501. Defaults Should SUB -RECIPIENT fail for any reason to comply with the contractual obligations of this Agreement within the time specified by this Agreement, the CITY reserves the right to terminate the Agreement, reserving all rights under state and federal law. §502. Amendments Any change in the terms of this Agreement, including changes in the services to be performed by SUB -RECIPIENT and any increase or decrease in the amount of compensation which are agreed to by the CITY and SUB -RECIPIENT shall be incorporated into this Agreement by a written amendment properly executed and signed by the person authorized to bind the parties thereto. SUB -RECIPIENT agrees to comply with all future CITY Directives, or any rules, amendments or requirements promulgated by the CITY affecting this Agreement. 24 55C-33 vl ENTIRE AGREEMENT §601. Complete Agreement This Agreement contains the full and complete Agreement between the two parties. Neither verbal agreement nor conversation with any officer or employee of either party shall affect or modify any of the terms and conditions of this Agreement. §602. Number of Pages and Attachments This Agreement is executed in three (3) duplicate originals, each of which is deemed to be an original. This Agreement includes twenty-six (26) pages and three (3) Exhibits which constitute the entire understanding and agreement of the parties. 25 55C-34 IN WITNESS WHEREOF, the City and CITY OF SANTA ANA have caused this Agreement to be executed by their duly authorized representatives on the date first set forth above. ATTEST: Theresa Bass Clerk of the Council APPROVED AS TO FORM: By: Kristin Pelletier Sr. Asst. City Attorney CITY OF SANTA ANA, a municipal Corporation of, the State of California By: Kristine Ridge City Manager ATTEST: By -- Norma Mitre Acting Clerkofthe Council CITY OF ANAHEIM, a municipal Corporation of the State of California Jorge Cisneros Chief of Police SUB -RECIPIENT CITY OF SANTA ANA DUNS No. 08-3153247 25 Printed Name David Valentin Title Chief of, Police 26 55C-35 EXHIBIT A CERTIFICATION REGARDING DEBARMENT, SUSPENSION AND OTHER RESPONSIBILITY MATTERS Applicants should refer to the regulations cited below to determine the certification to which they are required to attest. Applicants should also review the instructions for certification included in the regulations before completing this form. Signature of this form provides for compliance with certification requirements under the applicable CFR covering New Restrictions on Government -wide Debarment and Suspension (Nonprocurement). The certification shall be treated as a material representation of fact upon which reliance will be placed when the Agency determines to award the covered transaction or cooperative agreement. As required by Executive Order 12549, Debarment and Suspension, and implemented under the applicable CFR, for prospective participants in covered transactions, as defined in the applicable CFR A. The applicant certifies that it and its principals: (a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, sentenced to a denial of Federal benefits by a State or Federal court, or voluntarily excluded from covered transactions by any Federal department or agency; (b) Have not within a three-year period preceding this application been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property; (c) Are not presently indicted for or otherwise criminally or civilly charged by a government entity (Federal State or local) with commission of any of these offenses enumerated in paragraph (1) (b) of this certification; and (d) Have not within a three-year period preceding this application had one or more public transactions (Federal, State or local) terminated for cause or default; and B. Where the applicant is unable to certify to any of the statements in this certification, he or she shall attach an explanation to this application. Authorized Agent Signature Printed or Typed Name Title 55C-36 INSTRUCTIONS FOR CERTIFICATION 1. By signing and submitting this document, the prospective recipient of Federal assistance funds is providing the certification as set out below. 2. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective recipient of Federal assistance funds knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. 3. The prospective recipient of Federal assistance funds shall provide immediate written notice to the person to whom this agreement is entered, if at any time the prospective recipient of Federal assistance funds learns that its certification was erroneous, when submitted or has become erroneous by reason of changed circumstances. 4. The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered transaction," "participant," "person," "primary covered transaction," "principal," "proposal," and "voluntarily excluded," as used in this clause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. 5. The prospective recipient of Federal assistance funds agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency with which this transaction originated. 6. The prospective recipient of Federal assistance funds further agrees by submitting this proposal that it will include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions," without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. 7. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the List of Parties Excluded from Procurement or Non Procurement Programs. 8. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. 9. Except for transactions authorized under Paragraph 5 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntary excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. 55C-37 EXHIBIT B CERTIFICATION REGARDING LOBBYING Certification for Contracts. Grants. Loans and Cooperative Aareements The undersigned certifies, to the best of his or her knowledge and belief, that: No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan or cooperative agreement. 2. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form LLL "Disclosure Form to Report Lobbying" in accordance with its instructions. 3. The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. 4. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352 Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. AGREEMENT NUMBER CONTRACTOR/BORROW ERIAGEN CY NAME AND TITLE OF AUTHORIZED REPRESENTATIVE SIGNATURE DATE Initials 55C-38 EXHIBIT C California Governor's Office of Emergency Services FY2018 Grant Assurances (All HSGP Applicants) As the duly authorized representative of the Applicant, I hereby certify that the Applicant has the legal authority to apply for federal assistance and the institutional, managerial and financial capability (including funds sufficient to pay any non-federal share of project cost) to ensure proper planning, management and completion of the project described in this application, within prescribed timelines. I further acknowledge that the Applicant is responsible for reviewing and adhering to all requirements within the: (a) Applicable Federal Regulations (see below); (b) Federal Program Notice of Funding Opportunity (NOFO); (c) California Supplement to the NOFO; and (d) Federal and State Grant Program Guidelines. Federal Regulations Government cost principles, uniform administrative requirements and audit requirements for federal grant programs are set forth in Title 2, Part 200 of the Code of Federal Regulations (CFR) and updates are issued by the Office of Management and Budget (OMB) and can be found at http://www.whitehouse.gov/omb/ Significant state and federal grant award requirements (some of which appear in the documents listed above) are set forth below. The Applicant hereby agrees to comply with the following: 1. Proof ofAuthority The Applicant will obtain written authorization from the city council, governing board or authorized body in support of this project. This written authorization must specify that the Applicant and the city council, governing board, or authorized body agree: (a) To provide all matching funds required for the grant project and that any cash match will be appropriated as required. (b) Any liability arising out of the performance of this agreement shall be the responsibility of the Applicant and the city council, governing board or authorized body. (c) Grant funds shall not be used to supplant expenditures controlled by the city council, governing board or authorized body. (d) The official executing this agreement is, in fact, authorized to do so. This Proof of Authority must be maintained on file and readily available upon request. 2. Period of Performance The Applicant will initiate work after approval of the award and complete all work within the period of performance specified in the grant. 3. Lobbying and Political Activities 55C-39 Initials As required by Section 1352, Title 31 of the U.S. Code (U.S.C.), for persons entering into a contract, grant, loan or cooperative agreement from an agency or requests or receives from an agency a commitment providing for the United States to insure or guarantee a loan, the Applicant certifies that: (a) No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement. (b) If any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying", in accordance with its instructions. (c) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. The Applicant will also comply with provisions of the Hatch Act (5 U.S.C. §§1501-1508 and §§7324- 7328) which limit the political activities of employees whose principal employment activities are funded in whole or in part with federal funds. Finally, the Applicant agrees that federal funds will not be used, directly or indirectly, to support the enactment, repeal, modification or adoption of any law, regulation or policy without the express written approval from the California Governor's Office of Emergency Services (Cal OES) or the federal awarding agency. 4. Debarment and Suspension As required by Executive Orders 12549 and 12689, and 2 CFR §200.212 and codified in 2 CFR Part 180, Debarment and Suspension, the Applicant will provide protection against waste, fraud, and abuse by debarring or suspending those persons deemed irresponsible in their dealings with the federal government. The Applicant certifies that it and its principals: (a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any federal department or agency; (b) Have not within a three-year period preceding this application been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state, or local) transaction or contract under a public transaction; violation of federal or state antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property; (c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (federal, state, or local) with commission of any of the offenses enumerated in paragraph (2)(b) of this certification; and (d) Have not within a three-year period preceding this application had one or more public transaction (federal, state, or local) terminated for cause or default. 55C-40 Initials Where the Applicant is unable to certify to any of the statements in this certification, he or she shall attach an explanation to this application. 5. Non -Discrimination and Equal Employment Opportunity The Applicant will comply with all federal statutes relating to non-discrimination. These include, but are not limited to, the following: (a) Title VI of the Civil Rights Act of 1964 (Public Law (P.L.) 88-352 and 42 U.S.C. §2000d et. seq.) which prohibits discrimination on the basis of race, color, or national origin and requires that recipients of federal financial assistance take reasonable steps to provide meaningful access to persons with limited English proficiency (LEP) to their programs and services; (b) Title IX of the Education Amendments of 1972, (20 U.S.C. §§1681-1683, and 1685-1686), which prohibits discrimination on the basis of sex in any federally funded educational program or activity; (c) Section 504 of the Rehabilitation Act of 1973, (29 U.S.C. §794), which prohibits discrimination against those with disabilities or access and functional needs; (d) Americans with Disabilities Act (ADA) of 1990, which prohibits discrimination on the basis of disability and requires buildings and structures be accessible to those with disabilities and access and functional needs;(42 U.S.C. §§ 12101-12213.); (e) Age Discrimination Act of 1975, (42 U.S.C. §§ 6101-6107), which prohibits discrimination on the basis of age; (f) Public Health Service Act of 1912 (42 U.S.C. §§ 290), relating to confidentiality of patient records regarding substance abusetreatment; (g) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. §3601 at seq.), relating to nondiscrimination in the sale, rental or financing of housing as implemented by the Department of Housing and Urban Development at 24 C.F.R. Part 100. The prohibition on disability discrimination includes the requirement that new multifamily housing with four or more dwelling units—i.e., the public and common use areas and individual apartment units (all units in buildings with elevators and ground -floor units in buildings without elevators be designed and constructed with certain accessible features (See 24 C.F.R. § 100.201); (h) Executive Order 11246, which prohibits federal contractors and federally assisted construction contractors and subcontractors, who do over $10,000 in Government business in one year from discriminating in employment decisions on the basis of race, color, religion, sex, sexual orientation, gender identification, or national origin; (i) Executive Order 11375, which bans discrimination on the basis of race, color, religion, sex, sexual orientation, gender identification, or national origin in hiring and employment in both the United States federal workforce and on the part ofgovernment contractors; Q) California Public Contract Code §10295.3, which prohibits discrimination based on domestic partnerships and those in same sex marriages; (k) DHS policy to ensure the equal treatment of faith -based organizations, under which all applicants and recipients must comply with equal treatment policies and requirements contained in 6 C.F.R. Part 19; (1) Any other nondiscrimination provisions in the specific statute(s) under which application for federal assistance is being made; and (m) The requirements of any other nondiscrimination statute(s) which may apply to the application. In addition to the items listed in (a) through (m), the Applicant will comply with California's Fair 55C-41 Initials Employment and Housing Act (FEHA). FEHA prohibits harassment and discrimination in employment because of ancestry, race, color, religious creed (including religious dress and grooming practices), sex (which includes pregnancy, childbirth, breastfeeding and medical conditions related to pregnancy, childbirth, or breastfeeding), gender, gender identity, gender expression, sexual orientation, marital status, national origin, ancestry, mental and physical disability, genetic information, medical condition, age, pregnancy, denial of medical and family care leave, or pregnancy disability leave (California Government Code §§ 12940, 12945, 12945.2), military and veteran status, and/or retaliation for protesting illegal discrimination related to one of these categories, or for reporting patient abuse in tax supported institutions. 6. Drug -Free Workplace As required by the Drug -Free Workplace Act of 1988 (41 U.S.C. §701 et seq.), the Applicant certifies that it will maintain a drug -free workplace and a drug -free awareness program as outlined in the Act. Environmental Standards The Applicant will comply with state and federal environmental standards, which may be prescribed pursuant to the following, as applicable: (a) California Environmental Quality Act (CEQA) (California Public Resources Code§§ 21000- 21177), to include coordination with the city orcounty planning agency; (b) CEQA Guidelines (California Code of Regulations, Title 14, Division 6, Chapter 3, §§ 15000- 15387); (c) Federal Clean Water Act (CWA) (33 U.S.C. § 1251 et seq.), which establishes the basic structure for regulating discharges of pollutants into the waters of the United States and regulating quality standards for surface waters; (d) Federal Clean Air Act of 1955 (42 U.S.C. § 7401) which regulates air emissions from stationary and mobile sources; (e) Institution of environmental quality control measures under the National Environmental Policy Act of 1969 (P.L. 91-190); the Council on Environmental Quality Regulations for Implementing the Procedural Provisions of NEPA; and Executive Order 12898 which focuses on the environmental and human health effects of federal actions on minority and low-income populations with the goal of achieving environmental protection for all communities;; (f) Evaluation of flood hazards in floodplains in accordance with Executive Order 11988; (g) Executive Order 11514 which sets forth national environmental standards; (h) Executive Order 11738 instituted to assure that each federal agency empowered to enter into contracts for the procurement of goods, materials, or services and each federal agency empowered to extend federal assistance by way of grant, loan, or contract shall undertake such procurement and assistance activities in a manner that will result in effective enforcement of the Clean Air Act and the Federal Water Pollution Control Act Executive Order Executive Order 11990 which requires preservation of wetlands; (i) The Safe Drinking Water Act of 1974, (P.L. 93-523); Q) The Endangered Species Act of 1973, (P.L. 93-205); (k) Assurance of project consistency with the approved State management program developed under the Coastal Zone Management Act of 1972 (16 U.S.C. §1451 et seq.); (1) Conformity of Federal actions to State (Clean Air) Implementation Plans under Section 176(c) of the Clean Air Act of 1955, as amended (42 U.S.C. §7401 et seq.); (m) Wild and Scenic Rivers Act of 1968 (16 U.S.C. §1271 et seq.) related to protecting components or potential components of the national wild and scenic rivers system. The Applicant shall not be: 1) in violation of any order or resolution promulgated by the State Air Resources Board or an air pollution district; 2) subject to a cease and desist order pursuant to § 13301 of the California Water Code for violation of waste discharge requirements or discharge prohibitions; 55C-42 Initials or 3) determined to be in violation of federal law relating to air or water pollution. 8. Audits For subrecipients expending $750,000 or more in federal grant funds annually, the Applicant will cause to be performed the required financial and compliance audits in accordance with the Single Audit Act Amendments of 1996 and Title 2 of the Code of Federal Regulations, Part 200, Subpart F Audit Requirements. 9. Access to Records In accordance with 2 CFR §200.336, the Applicant will give the awarding agency, the Comptroller General of the United States and, if appropriate, the state, through any authorized representative, access to and the right to examine all records, books, papers, or documents related to the award. The Applicant will require any subrecipients, contractors, successors, transferees and assignees to acknowledge and agree to comply with this provision. 10. Conflict of Interest The Applicant will establish safeguards to prohibit employees from using their positions for a purpose that constitutes or presents the appearance of personal or organizational conflict of interest, or personal gain. 11. Financial Management False Claims for Payment The Applicant will comply with 31 U.S.0 §3729 which sets forth that no subgrantee, recipient or subrecipient shall submit a false claim for payment, reimbursement or advance. 12.Reporting -Accountability The Applicant agrees to comply with applicable provisions of the Federal Funding Accountability and Transparency Act (FFATA) (P.L.109-282), specifically (a) the reporting of subawards obligating $25,000 or more in federal funds and (b) executive compensation data for first -tier subawards. This includes the provisions of FFATA, which includes requirements for executive compensation, and also requirements implementing the Act for the non-federal entity at 2 CFR part 25 Financial Assistance Use of Universal Identifier and Central Contractor Registration and 2 CFR part 170 Reporting Subaward and Executive Compensation Information. 13. Whistleblower Protections The Applicant also must comply with statutory requirements for whistleblower protections at 10 U.S.C. § 2409, 41 U.S.C. § 4712, and 10 U.S.C. § 2324, 41 U.S.C. § 4304 and§ 4310. 14. Human Trafficking The Applicant will comply with the requirements of Section 106(g) of the Trafficking Victims Protection Act of 2000, as amended (22 U.S.C. § 7104) which prohibits grant award recipients or a subrecipient from: (1) engaging in trafficking in persons during the period of time that the award is in effect: (2) procuring a commercial sex act during the period of time that the award is in effect: or (3) using forced labor in the performance of the award or subawards under the award. 15. Labor Standards The Applicant will comply with the following federal labor standards: (a) the Davis -Bacon Act (40 U.S.C. §§ 276a to 276a-7), as applicable, and the Copeland Act (40 U.S.C. § 3145 and 18 U.S.C. § 874) and the Contract Work Hours and Safety Standards Act 55C-43 Initials (40 U.S.C. §§ 327-333), regarding labor standards for federally -assisted construction contracts or subcontracts. (b) the Federal Fair Labor Standards Act (29 U.S.C. § 201 et ai.) as they apply to employees of institutes of higher learning (IHE), hospitals and othernon-profit organizations. 16. Worker's Compensation The Applicant must comply with provisions which require every employer to be insured to protect workers who may be injured on thejob before commencing performance of the work of this Agreement, as per the workers compensation laws set forth in California Labor Code §§ 3700 et seq. 17. Property -Related If applicable to the type of project funded by this federal award, the Applicant will: (a) Comply with the requirements of Titles II and III of the Uniform Relocation Assistance and Real Prooertv Acauisition Policies Act of 1970 (P.L. 91-646) which provide for fair and equitable treatment of persons displaced or whose property is acquired as a result of Federal or federally -assisted programs. These requirements apply to all interests in real property acquired for project purposes regardless of Federal participation in purchase. (b) Comply with flood insurance purchase requirements of Section 102(a) of the Food Disaster Protection Act of 1973 (P.L. 93-234) which requires subrecipients in a special flood hazard area to participate in the program and to purchase flood insurance if the total cost of insurable construction and acquisition is $10,000 or more. (c) Assist the awarding agency in assuring compliance with Section 106 of the National Historic Preservation Act of 1966, as amended (16 U.S.C. § 470), Executive Order 11593 (identification and protection of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. § 469a-1 et seq.). (d) Comply with the Lead -Based Paint Poisoning Prevention Act (42 U.S.C. § 4831 and 24 CFR Part 35) which prohibits the use of lead -based paint in construction or rehabilitation of residence structures. 18. Certifications Applicable Only to Federally -Funded Construction Projects For all construction projects, the Applicant will: (a) Not dispose of, modify the use of, or change the terms of the real property title or other interest in the site and facilities without permission and instructions from the awarding agency. Will record the federal awarding agency directives and will include a covenant in the title of real property acquired in whole or in part with federal assistance funds to assure nondiscrimination during the useful life of the project. (b) Comply with the requirements of the awarding agency with regard to the drafting, review and approval of construction plans and specifications. (c) Provide and maintain competent and adequate engineering supervision at the construction site to ensure that the complete work conforms with the approved plans and specifications and will furnish progressive reports and such other information as may be required by the assistance awarding agency orState. 19. Use of Cellular Device While Driving is Prohibited Applicants are required to comply with California Vehicle Code sections 23123 and 23123.5. These laws prohibit driving a motor vehicle while using an electronic wireless communications 55C-44 Initials device to write, send, or read a text -based communication. Drivers are also prohibited from the use of a wireless telephone without hands -free listening and talking, unless to make an emergency call to 911, law enforcement, or similar services. 20.California Public Records Act and Freedom of Information Act The Applicant acknowledges that all information submitted in the course of applying for funding under this program, or provided in the course of an entity's grant management activities that are under Federal control, is subject to the Freedom of Information Act (FOIA), 5 U.S.C. § 552, and the California Public Records Rights Act, California Government Code section 6250 et seq. The Applicant should consider these laws and consult its own State and local laws and regulations regarding the release of information when reporting sensitive matters in the grant application, needs assessment, and strategic planning process. HOMELAND SECURITY GRANT PROGRAM - PROGRAM SPECIFIC ASSURANCES / CERTIFICATIONS 21.Reporting Accusations and Findings of Discrimination If during the past three years the recipient has been accused of discrimination on any basis the recipient must provide a list of all such proceedings, pending or completed, including outcome and copies of settlement agreements to the OHS financial assistance office and the OHS Office of Civil Rights and Civil Liberties (CRCL) by e-mail at crclC@hq.dhs.gov or by mail at U.S. Department of Homeland Security Office for Civil Rights and Civil Liberties Building 410, Mail Stop #0190 Washington, D.C. 20528. In the event any court or administrative agency makes a finding of discrimination against the recipient, or the recipient settles a case or matter alleging such discrimination, recipients must forward a copy of the complaint and findings to the OHS Component financial assistance office and the CRCL office by e-mail or mail at the addresses listed above. The United States has the right to seek judicial enforcement of these obligations. 22.Acknowledgment of Federal Funding from DHS All recipients must acknowledge their use of federal funding when issuing statements, press releases, requests for proposals, bid invitations, and other documents describing projects or programs funded in whole or in part with federal funds. 23.Activities Conducted Abroad All recipients must ensure that project activities carried on outside the United States are coordinated as necessary with appropriate government authorities and that appropriate licenses, permits, or approvals are obtained. 24. Best Practices for Collection and Use of Personally Identifiable Information (PII) DHS defines personally identifiable information (PII) as any information that permits the identity of an individual to be directly or indirectly inferred, including any information that is linked or linkable to that individual. All recipients who collect PII are required to have a publically-available privacy policy that describes standards on the usage and maintenance of PI] they collect. Award recipients may also find as a useful resource the OHS Privacy Impact Assessments: Privacy Guidance and Privacy template respectively. 25.Copyright 55C-45 Initials. All recipients must affix the applicable copyright notices of 17 U.S.C. §§ 401 or 402 and an acknowledgement of Government sponsorship (including award number) to any work first produced under federal financial assistance awards. 26. Energy Policy and Conservation Act All recipients must comply with the requirements of 42 U.S.C. § 6201 which contain policies relating to energy efficiency that are defined in the state energy conservation plan issued in compliance with this Act. 27. Federal Debt Status All recipients are required to be non -delinquent in their repayment of any federal debt. Examples of relevant debt include delinquent payroll and other taxes, audit disallowances, and benefit overpayments. See OMB Circular A-1 29. 28. Fly America Act of 1974 All recipients must comply with Preference for U.S. Flag Air Carriers: (air carriers holding certificates under 49 U.S.C. § 41102) for international air transportation of people and property to the extent that such service is available, in accordance with the International Air Transportation Fair Competitive Practices Act of 1974 (49 U.S.C. § 40118) and the interpretative guidelines issued by the Comptroller General of the United States in the March 31, 1981, amendment to Comptroller General Decision B-138942 29. Hotel and Motel Fire Safety Act of 1990 In accordance with Section 6 of the Hotel and Motel Fire Safety Act of 1990, all recipients must ensure that all conference, meeting, convention, or training space funded in whole or in part with federal funds complies with the fire prevention and control guidelines of the Federal Fire Prevention and Control Act of 1974, as amended, 15 U.S.C. § 2225a. 30. Non -supplanting Requirements All Applicants who receive awards made under programs that prohibit supplanting by law must ensure that federal funds do not replace (supplant) funds that have been budgeted for the same purpose through non-federal sources. 32. Patents and Intellectual Property Rights Unless otherwise provided by law, recipients are subject to the Bayh-Dole Act, Pub. L. No. 96- 517, as amended, and codified in 35 U.S.C. § 200 at seq. All recipients are subject to the specific requirements governing the development, reporting, and disposition of rights to inventions and patents resulting from financial assistance awards located at 37 C.F.R. Part 401 and the standard patent rights clause located at 37 C.F.R. § 401.14. 33. SAFECOM All Applicants who receive awards made under programs that provide emergency communication equipment and its related activities must comply with the SAFECOM Guidance for Emergency Communication Grants, including provisions on technical standards that ensure and enhance interoperable communications. 34. Terrorist Financing All Applicants must comply with Executive Order 13224 and U.S. law that prohibit transactions with, 55C-46 Initials and the provisions of resources and support to, individuals and organizations associated with terrorism. It is the legal responsibility of recipients to ensure compliance with the Order and laws. 35. Reporting of Matters Related to Recipient Integrity and Performance If the total value of the Applicant's currently active grants, cooperative agreements, and procurement contracts from all federal assistance office exceeds $10,000,000 for any period of time during the period of performance of this federal award, the Applicant must comply with the requirements set forth in the government -wide Award Term and Condition for Recipient Integrity and Performance Matters located at 2 C.F.R. Part 200, Appendix XII, the full text of which is incorporated here by reference in the terms and conditions of youraward. 36. USA Patriot Act of 2001 All recipients must comply with requirements of the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act (USA PATRIOT Act), which amends 18 U.S.C. §§ 175-175c. 37. Use of DHS Seal, Logo, and Flags All recipients must obtain permission from their DHS Financial Assistance Office, prior to using the DHS seal(s), logos, crests or reproductions of flags or likenesses of DHS agency officials, including use of the United States Coast Guard seal, logo, crests or reproductions of flags or likenesses of Coast Guard officials. IMPORTANT The purpose of the assurance is to obtain federal and state financial assistance, including any and all federal and state grants, loans, reimbursement, contracts, etc. The Applicant recognizes and agrees that state financial assistance will be extended based on the representations made in this assurance. This assurance is binding on the Applicant, its successors, transferees, assignees, etc. Failure to comply with any of the above assurances may result in suspension, termination, or reduction of grant funds. All appropriate documentation, as outlined above, must be maintained on file by the Applicant and available for Cal OES or public scrutiny upon request. Failure to comply with these requirements may result in suspension of payments under the grant or termination of the grant or both and the subrecipient may be ineligible for award of any future grants if the Cal OES determines that any of the following has occurred: (1) the recipient has made false certification, or (2) violates the certification by failing to carry out the requirements as noted above. All of the language contained within this document must be included in the award documents for all subawards at all tiers, including contracts under grants and cooperative agreements and subcontracts. All recipients are bound by the Department of Homeland Security Standard Terms and Conditions 2016, Version 6.0, hereby incorporated by reference, which can be found at: http://www.dhs.gov/publication/fv15-dhs-sta ndard-terms-and-conditions. The undersigned represents that he/she is authorized to enter into this agreement for and on behalf of the said Applicant. Signature of Authorized Agent: Printed Name of Authorized Agent: Title: Date: 55C-47 Initials 55C-48 Exhibit 3 RESOLUTION NO.2019-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING THE CITY MANAGER AND THE CHIEF OF POLICE OR THEIR DESIGNEE(S) TO ENTER INTO AN AGREEMENT WITH THE CITY OF ANAHEIM FOR THE FY2018 URBAN AREA SECURITY INITIATIVE FUNDING PROGRAM BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. The United States Department of Homeland Security has developed the Urban Areas Security Initiative funding program (UASI). UASI provides funds to local emergency first responders to purchase equipment, planning, training, exercises and technical assistance to enhance security and preparedness to prevent, respond to, and recover from acts of terrorism. B. In FY 2006 the United States Department of Homeland Security combined the Anaheim and Santa Ana Urban Areas into a single Urban Area, and provided for shared administrative responsibilities between Santa Ana and Anaheim. In FY 2018, the City of Anaheim is the lead administrative agency for UASI funding. C. The City of Santa Ana has been awarded funding from the City of Anaheim for the fiscal year 2018 UASI in the amount of $1,819,025. Section 2. The City Council of the City of Santa Ana hereby authorizes and directs the City Manager and the Chief of Police or their designee(s) to enter into an agreement with the City of Anaheim for the FY 2018 Urban Areas Security Initiative funding program in the amount of $1,819,025. The authorization provided herein shall also pertain and apply to any and all grant monies awarded under this grant and documents required for authorization in furtherance of these grant monies. Section 3. The City Council of the City of Santa Ana hereby approves an Appropriation Adjustment recognizing the FY 2018 Urban Area Security Initiative in the amount of $1,819,025 and appropriates same in the FY 2018 Urban Area Security Initiative Program Grant expenditure accounts. Resolution No. 2019-XXX 55C-49 Page oft Section 4. This Resolution shall take effect immediately upon its adoption by the City Council and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this _ day of July, 2019. Miguel A. Pulido Mayor APPROVED AS TO FORM: Soni . Carvalh0 City Attomey By: Tamara Bogosian Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, NORMA MITRE-RAMIREZ, Acting Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2019-XXX to be the original resolution adopted by the City Council of the City of Santa Ana on Date: Acting Clerk of the Council City of Santa Ana Resolution No. 2019-XXX Page 2 of 2 55C-50 Exhibit 4 ANAHEIM POLICE DEPARTMENT Q :V 425 S. Harbor Blvd Anaheim, CA 92805 T: (714) 765-1900 F: (714) 765-1690 www.anaheimpd.org May 16, 2019 Kristine Ridge, City Manager City of Santa Ana 20 Civic Center Plaza Santa Ana, CA92701 SUBJECT: Notification of Sub-Reclpient Award Fiscal Year (FY) 2018 Urban Area Security Initiative (UASI) Program Grant #2018-0054, Cal OES #059-95050, CFDA# 97.067 Sub -Recipient Performance Period: May 8, 2019 to March 31, 2021 Requesting Jurisdiction: City of Santa Ana DUNS No. 08-3153247 Projects: 012— Public Awareness Campaign $175,000 015 — OC Civic Center Maintenance $195,000 017— Emergency Preparedness Campaign $250,000 029—Data Analysis Equipment(OCIAC) $25,000 Regional Training Program $434,200 (Project No. 004, 007, 018, and 035) Regional Exercise Program $217,400 (Project No. 005, 008, and 019) Program Management $415,000 Management & Administration $107,425 Total Award: $1,819,025 Dear Ms. Ridge: This letter serves to inform you that the City of Santa Ana has been approved for grant funding under the FY2018 Urban Areas Security Initiative (UASI) Grant Program in the amount of $1,819,025. Once your completed eligibility packet, including signed UASI Transfer Agreement, is received and an executed copy of the agreement Is on file, reimbursement may be requested for eligible expenditures using the appropriate Anaheim/Santa Ana UASI (ASAUA) forms. As part of the Homeland Security Grant Program (HSGP) Investment Justification and Grant Application process, project applications submitted by the City of Santa Ana were reviewed and evaluated based on federal program priorities, regional benefit, and degree of applicability to the overarching Anaheim/Santa Ana Urban Area goals and objectives. Throughout the grant cycle, the ASAUA Grant Office will use projected milestones and performance measures to assess project status and overall grant compliance. All activities funded with this award must be completed within the Sub -Recipient performance period. It is critical that all City of Santa Ana employees that are Involved in the FY18 UASI Grant Program become familiar with the Transfer Agreement between the City of Anaheim and the City of Santa Ana regarding the FY18 UASI Grant Program as well as the FY18 Homeland Security Grant Notice of Funding Opportunity, the FY18 Homeland Security Grant Program California Supplemental Guidance, and the FY18 Anaheim/Santa Ana UASI (ASAUA) Sub -Recipient Grant Guide. It imperative that the Anaheim UASI Office is contacted before any projects are procured to ensure that Environmental Historic Preservations (EHP), Aviation/Watercraft, and Establish/Enhance Emergency Operations Center requirements have been met, as well as financial regulations pertaining to sole source. We will seek any applicable requests and approvals on your behalf to the California Governor's Office of Emergency Services (CaIOES). Sub -Recipients are also required to obtain a performance bond priorto the purchase of any equipment item over $250,000. Performance bonds must be forwarded to the ASAUA Grant Office for submission to CalOES no laterthan time of reimbursement. Reimbursement for overtime and backfiill for training is no longer being offered by the ASAUA due to an overall reduced award received in recent years. However, the grant will continue to provide reimbursement for personnel who assist with the instruction and delivery of the approved UASI courses. The funding allocation below is being provided as an estimated value of training instructor participation based on the number of first responders in your agency that have been approved to teach. It is being provided for your City's respective internal budgetary needs only and does not reflect a direct allocation as in the past. Additional funds may be awarded at a later time depending on your agency's participation and available dollars. Regional Training Program — Instructor Participation Police Department: $96,500 As outlined in the FY18 ASAUA Sub -Recipient Grant Guidance, progress reports are to be submitted to the UASI Grant Office on a quarterly basis. The Quarterly Project Status Report will allow the grant office to work closely with your City and its designated UASI representatives, ensuring your project is completely successful. Sub -Recipients are encouraged to seek reimbursement through the grant cycle, as funds are expended. Final Training Reimbursement Requests are due no later than December 31, 2020. Final reimbursement requests for all other approved project costs are due no later than March 31, 2021. 55C-52 This grant Is subject to all provisions of 2 CFR Part 200 Subpart F — Audit Requirements. Sub recipients are required to submit copies of completed Single Audit Reports to the ASAUA Grant Office, along with any Corrective Action Plans as a result of HSGP findings. A dated signature from you, or your authorized designee, is required below. Please sign and return the original to the ASAUA Grant Office and retain a copy for your files. If you have any questions regarding this letter, please feel free to contact UASI Grant Coordinator Kerrstyn Vega at (714) 765-3632 or kvega anaheim.net. Sincerely, RICHARD LAROCHELLE, JR. Lieutenant CC: AUTHORIZED AGENT Name of Signatory: City of Santa Ana Date 55C-53 55C-54 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 2, 2018 TITLE: ADOPT RESOLUTION CALLING FOR AND GIVING NOTICE OF A SPECIAL MUNICIPAL ELECTION TO FILL WARD 4 VACANCY FOR THE REMAINDER OF THE TERM EXPIRING DECEMBER 2022, TO BE HELD ON NOVEMBER 5, 2019 AND REQUESTING THAT THE BOARD OF SUPERVISORS OF THE COUNTY OF ORANGE CONSOLIDATE THE CITY OF SANTA ANA SPECIAL MUNICIPAL WITH THE SANTA ANA UNIFIED SCHOOL DISTRICT'S SPECIAL VACANCY ELECTION OF THE SAME DATE; ADOPT RESOLUTION ADOPTING A REGULATION FOR CANDIDATES PERTAINING TO CANDIDATE STATEMENTS AND ESTABLISHING A SYSTEM FOR CANDIDATES WHOSE STATEMENTS ARE SUBMITTED TO THE ELECTORATE TO PAY THEIR PRO RATA SHARE OF THE COST OF INCLUSION OF THEIR STATEMENT IN VOTER PAMPHLETS (STRATEGIC PLAN NO. 5, 1) CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1 s' Reading ❑ Ordinance on 2n° Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO J� FILE NUMBER CITY MANA R RECOMMENDED ACTION Adopt a resolution calling for and providing notice of a special municipal election to be held in the City of Santa Ana on Tuesday, November 5, 2019 to elect an officer of the City of Santa Ana to fill Ward 4 and Requesting that the County of Orange consolidate the City's special election on Tuesday November 5, 2019 with the Santa Ana Unified School District's special vacancy election on November 5, 2019 and that the County of Orange canvass the returns on behalf of the City of Santa Ana. 2. Adopt a resolution adopting a regulation for candidates for elective office pertaining to candidate statements submitted to the voters at a special election Tuesday, November 5, 2019 and establishing a system for candidates whose statements are submitted to the electorate in the special election on November 5, 2019 to pay the pro rata share of the cost of inclusion of their statement in voter pamphlets and/or electronic copy. 3. Direct Clerk of the Council to publish legal notices as required by law. 55D-1 2019 Special Municipal Election —Ward 4 July 2, 2019 Page 2 DISCUSSION On March 1, 2019, Councilmember representing Ward 4 submitted his resignation from City Council Office. In the case of a Council vacancy, the City Charter Section 403, provides direction to fill vacancy within thirty (30) days after office is vacant - "If the City Council shall fail to fill a vacancy by appointment within thirty (30) days after such an office shall have become vacant, it shall forthwith cause an election to be held to fill such vacancy". On March 22, 2019, the City Council deliberated and motioned to proceed with an election to fill vacant ward 4. In order to conduct an election, State law and the City Charter require the City Council to adopt a resolution calling for a special municipal election. The subject resolution establishes November 5, 2019 as the date for the special election for the vacancy for the office of Council Member of Ward 4 of the City Council for the remainder of the term expiring December 2022. The Santa Ana Unified School District called for a special vacancy election to fill a vacant school board seat. The school district's special vacancy election was called for Tuesday November 5, 2019. The City of Santa Ana and The Santa Ana Unified School District could share precincts and polling places and that would reduce the costs associated with conducting the election. Pursuant to Section 10403 of the California Elections Code, the City Council is required to formally request consolidation of the City's special municipal election with the Santa Ana Unified School District's special vacancy election. The subject resolution fulfills this requirement by requesting that the Board of Supervisors of Orange County consolidate the special municipal election on November 5, 2019 for the purpose of electing a Councilmember for Ward 4 for the remainder of the term expiring December 2022 with the Santa Ana Unified School District's special vacancy election and authorizes the Board of Supervisors to canvass the election returns (Exhibit 1). Also, candidates for City Council Member - Ward 4 office may choose to have a candidate's statement mailed to each voter as part of the Voter Information Pamphlet. As an added option, the County of Orange Registrar of Voters Office offers a 200 and 400-word option and further have the option to print or simply post an electronic copy of the statement on their website. Candidate statements are produced at the candidates' option, not mandated, and the election code allows the Council to establish a charge to be levied against candidates in order to recover the cost of printing, handling and mailing these statements. The Orange County Registrar of Voters estimated cost for the Candidate Statement as follow (Exhibit 2). Print in voter's pamphlet and electronic copy of Candidate Statement in Registrar of Voter's Office website in English, Spanish, Vietnamese, Korean and Chinese: • 200 Words $ 1,440.00 • 400 Words $ 2,686.22 55D-2 2019 Special Municipal Election — Ward 4 July 2, 2019 Page 3 Electronic copy of Candidate Statement in Registrar of Voter's Office website in English, Spanish, Vietnamese, Korean and Chinese: 200 Words $ 319.41 400 Words $ 444.41 The California Elections Code requires the adoption of the attached resolutions in order to place a ballot measure before the voters at a special municipal election and must be submitted to the Registrar of Voters at least 88 days in advance of the election (refer to Exhibit 1). STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 Community Health, Livability, Engagement & Sustainability, Objective #1 (Establish a comprehensive community engagement initiative to expand access to information and create opportunities for stakeholders to play an active role in discussing public policy and setting priorities). FISCAL IMPACT The cost to consolidate the Special Municipal Election for candidate is estimated to be $518,392.36. Funds for these administrative costs are budgeted in the Clerk of the Council, Contractual Services account no. 01107031 62300, FY 2019 -2020. APPROVED AS TO FUNDS AND ACCOUNTS: 8-� Norma Mitre KathrynCPA Acting Clerk of the Council Executive Director Finance and Management Services Agency Exhibits: 1. Resolution Calling Election & Consolidating 2. Resolution Establishing Estimated Candidate Statement Cost 55D-3 55D-4 EXHIBIT 1 RESOLUTION NO.2019-XXXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA CALLING FOR AND GIVING NOTICE OF A SPECIAL MUNICIPAL ELECTION TO BE HELD IN THE CITY OF SANTA ANA ON TUESDAY, NOVEMBER 5, 2019 TO ELECT CERTAIN OFFICERS OF THE CITY OF SANTA ANA AND REQUESTING THAT THE COUNTY OF ORANGE CONSOLIDATE THE CITY'S SPECIAL ELECTION ON TUESDAY NOVEMBER 5, 2019 WITH THE SANTA ANA UNIFIED SCHOOL DISTRICT'S SPECIAL VACANCY ELECTION ON NOVEMBER 5, 2019 AND THAT THE COUNTY OF ORANGE CONDUCT THE CONSOLIDATED ELECTION AND CANVASS THE RETURNS ON BEHALF OF THE CITY OF SANTA ANA WHEREAS, On March 1, 2019, the Councilmember for Ward 4 submitted his resignation. WHEREAS, in the case of a Council vacancy, Santa Ana City Charter section 403, provides that the City Council shall declare the office vacant and fill the same by appointment or, "...(i)f the City Council shall fail to fill a vacancy by appointment within thirty (30) days after such an office shall have become vacant, it shall forthwith cause an election to be held to fill such vacancy". WHEREAS, on March 22, 2019, the City Council, having failed to fill the Wand 4 vacancy by appointment, took action to proceed with a special election to be held on November 5, 2019 to fill the vacant Ward 4 council member office. WHEREAS the Santa Ana Unified School District has also called for a special vacancy election to be held on Tuesday November 5, 2019 to fill a vacant seat on the School Board. WHEREAS the City special municipal election and the Santa Ana Unified School District's special vacancy election can be consolidated pursuant to California Elections Code section 10400. WHEREAS consolidation of the City's special election with the Santa Ana Unified School District's special vacancy election will result in decreased cost to the City as a result of conducting the election. #271v5 Resolution 2019-XXX Page 1 of 4 55D-5 BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1: The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. The City Council of the City of Santa Ana calls, orders, and gives notice that a special municipal election will be held in the City of Santa Ana on Tuesday, November 5, 2019 for the purpose of filling the vacancy for the office of City Councilmember for the City's Ward 4, created by Roman Reyna's resignation, for the remainder of the term of office expiring in December 2022. B. It is desirable that special municipal election of the City of Santa Ana on Tuesday, November 5, 2019, be consolidated with the Santa Ana Unified School District's special vacancy election to be held on the same date, and that i) within the City of Santa Ana, the precincts and polling places be the same for both elections, and ii) the Board of Supervisors of the County of Orange canvass the returns of both elections in all respects as if there were only one election. C. The Clerk of Council is authorized, instructed, and directed to give further notice of the election, in the time, form and manner required by law. Section 2: Pursuant to Section 10403 of the Elections Code of the State of California, the Board of Supervisors of the County of Orange is hereby requested to consent to and order consolidation of the November 5, 2019, special municipal election of the City of Santa Ana for the purpose of riling the vacancy for the City Councilmember office of the City's Ward 4 for the remainder of the term of office expiring in December 2022 with the Santa Ana Unified School District's special vacancy election to held on the same date. The City further requests that the consolidated special election be conducted by the Orange County Registrar of Voters and that it be held and conducted in accordance with the provisions of law regulating elections. Section 3: The Board of Supervisors of the County of Orange is hereby authorized to canvass the returns of said special municipal election pursuant to Section 10411 of the Elections Code of the State of California. Section 4: The City of Santa Ana recognizes that additional costs will be incurred by the County due to providing election services and canvassing returns for this special municipal election and agrees to reimburse the County of Orange for any such costs. Section 5: The polls for the election shall be open at seven o'clock a.m. on the day of election and shall remain open continuously from that time until eight o'clock p.m. of the same day when the polls shall be closed, pursuant to Election Code section Resolution 2019-XXX Page 2 of 4 55D-6 10242, except as provided in Section 14401 of the Elections Code of the State of California. Section 6: In all particulars not recited in this resolution, the election shall be held and conducted as provided for by the applicable law for holding municipal elections. Section 7: The Clerk of Council is hereby directed to file a certified copy of this Resolution with the Board of Supervisors of the County of Orange and a certified copy of this Resolution with the Registrar of Voters of the County of Orange. Section 8: This Resolution shall take effect immediately upon its adopting by the City Council, and the Clerk of Council shall attest to and certify the vote adopting this Resolution. ADOPTED this day of July, 2019. Miguel A. Pulido Mayor APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: Laura A. Rossini Senior Assistant City Attorney AYES: Councilmembers None (0) NOES: Councilmembers None (0) ABSTAIN: Councilmembers None (0) NOT PRESENT: Councilmembers None (0) Ward 4 representative vacant. #271v5 Resolution 2019-XXX Page 3 of 4 55D-7 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, NORMA MITRE, Acting Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2019- to be the original resolution adopted by the City Council of the City of Santa Ana on July _, 2019. Date: Norma Mitre Acting Clerk of the Council City of Santa Ana Resolution 2019-XXX Page 4 of 4 55D-8 EXHIBIT 2 RESOLUTION NO.2019-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADOPTING A REGULATION FOR CANDIDATES FOR ELECTIVE OFFICE PERTAINING TO CANDIDATE STATEMENTS SUBMITTED TO THE VOTERS AT A SPECIAL ELECTION TUESDAY NOVEMBER 5, 2019 AND ESTABLISHING A SYSTEM FOR CANDIDATES WHOSE STATEMENTS ARE SUBMITTED TO THE ELECTORATE IN THE SPECi MUNICIPAL ELECTION ON NOVEMBER 5, 2019 TO P THE PRO RATA SHARE OF THE COST OF INCLU ON OF THEIR STATEMENT IN VOTER PAMPHLETS ELECTRONIC COPY WHEREAS, Section 13307 of the Elections CAdMf the State of California provides that the governing body of any local age egulations pertaining to materials prepared by any candidate for a mu ' e tfon, including costs of the candidate statement. WHEREAS, Section 13307(d) $oe ions Code of the State of California authorizes the governing body of anyIcy to require each candidate filing a candidate's statement to pay in advacal agency his orher esfimated pro rata share as a condition of havingRilSment included in the voters pamphlet or electronically distributed. �/✓) BE IT RESOLVED F_�f11iE LITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: � **N* EE Section 1. ie Cl%OCouncil of the City of Santa Ana hereby finds, determines and declares as fo�1`s''.W Th 17 t to Section 13307 of the Elections Code of the State of California, each c i elective office to be voted for at a special election to be held in the City t na on November 5, 2019 may prepare a candidate statement on an ap o rm provided by the City Clerk and in compliance with the requirements of the a ns Code for the State of California. Section 2. Foreion Language Policy. candidate statements will be translated into Orange. k272va Pursuant to the Federal Voting Rights Act, ail languages required by the County of Resolution No.2019-xxx Page 7 of 3 55D-9 Section 3. Pa ment, A. The Orange County Registrar of Voters Office has estimated the total cost of translating, posting an electronic copy on the Registrar of Voters website, printing, handling, and/or mailing the candidates' statements and has determined the approximate cost of the pro rate share of each candidate filing a statement, based upon such estimate, as follows: Print in voter's Pamphlet and electronic copy of Candidate Stolvent in Registrar of Voter's Office website in English, Spanish, Vi trim se, Korean and Chinese: • 200 Words $1,440.00 • 400 Words $2,68&22 Electronic copy of Candidate Statement in Re A Voter's Office website In English, Spanish, Vietnamese, Korea nese: • 200 Words $319.41 • 200 Words $44.41� B. Payment in advance by each such care his or her prorated share of the candidate statement costs shall b ndition of having his or her statement included in the voter's p let, dlor electronic posting. Section 4. Notice of Re( ui l Pay Candidate Statement Costs; Obligation to Pay Actual Costs. [qdidates' �A. Prior to the period in statements may be filed, the Clerk of the Council shall pre atten notice distributed to all candidates at the time of issuanc nomination papers, informing them that payment of the pro rata s r m nt must be made at the same time as the candidate's nominatioW s t'e filed, as prescribed by the California Elections Code. B. The ClerRk f ie Council's receipt for the payment shall include a written no ' at � estimate is just an approximation of the actual cost that varies n election to another election and may be significantly more or less estimate, depending on the actual number of candidates filing a ents. Accordingly, the Clerk of the Council shall not be bound by the 7mate and shall, as applicable, , on a pro rata basis, bill the candidate for e additional necessary to cover the actual expense or refund any excess monies paid by the candidate, depending on the final actual cost. In the event of underpayment, the Clerk of the Council shall require the candidate to pay the balance of the cost incurred. In the event of overpayment, the Clerk of the Council shall prorate the excess amount among the candidates and refund the excess amount paid within 30 days of the election. Resolution No. 2019-xxx Page 2 of 3 55D-10 Section 5. The Clerk of the Council shall provide each candidate or the candidate's representative a copy of this Resolution at the time when nominating petitions are issued by the Clerk. Section 6. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this day of Jam, 2019. APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: �ow�,�.l9'�aIYUI Laura A. Rossini, Senior Assistant City Attorney AYES: NOES: ABSTAIN: Miguel A. Pulidrl� Mayor O w None (0) None (0) NOT PRESE �/taGluncilmembers None (0) 1* v ' Ward 4 r 'n tive vacant. c CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Na MITRE, Acting Clerk of the Council, do hereby attest to and certify the attache Resolution No. 2019-_ to be the original resolution adopted by the City Council of the City of Santa Ana on June _, 2019, Date: a2nv4 Norma Mitre Acting Clerk of the Council City of Santa Ana Resolution No. 2C19-xxx Page 3 of 3 55D-11 55D-12 REVISED EXHIBIT 2 RESOLUTION NO.2019-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADOPTING A REGULATION FOR CANDIDATES FOR ELECTIVE OFFICE PERTAINING TO CANDIDATE STATEMENTS SUBMITTED TO THE VOTERS AT A SPECIAL ELECTION TUESDAY NOVEMBER 5, 2019 AND ESTABLISHING A SYSTEM FOR CANDIDATES WHOSE STATEMENTS ARE SUBMITTED TO THE ELECTORATE IN THE SPECIAL MUNICIPAL ELECTION ON NOVEMBER 5, 2019 TO PAY THE PRO RATA SHARE OF THE COST OF INCLUSION OF THEIR STATEMENT IN VOTER PAMPHLETS AND/OR ELECTRONIC COPY WHEREAS, Section 13307 of the Elections Code of the State of California provides that the governing body of any local agency adopt regulations pertaining to materials prepared by any candidate for a municipal election, including costs of the candidate statement. WHEREAS, Section 13307(d) of the Elections Code of the State of California authorizes the governing body of any local agency to require each candidate filing a candidate's statement to pay in advance to the local agency his or her estimated pro rata share as a condition of having his or her statement included in the voter's pamphlet or electronically distributed. BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: That pursuant to Section 13307 of the Elections Code of the State of California, each candidate for elective office to be voted for at a special election to be held in the City of Santa Ana on November 5, 2019 may prepare a candidate statement on an appropriate form provided by the City Clerk and in compliance with the requirements of the Elections Code for the State of California. Section 2. Foreign Language Polic . candidate statements will be translated into Orange. 4#272v5 Pursuant to the Federal Voting Rights Act, all languages required by the County of Resolution No. 2019-xxx Page 1 of 3 55D-13 Section 3. Payment. A. The Orange County Registrar of Voters Office has estimated the total cost of translating, posting an electronic copy on the Registrar of Voters website, printing, handling, and/or mailing the candidates' statements and has determined the approximate cost of the pro rata share of each candidate filing a statement, based upon such estimate, as follows: Print in voter's pamphlet and electronic copy of Candidate Statement in Registrar of Voter's Office website in English, Spanish, Vietnamese, Korean and Chinese: • 200 Words $1,440.00 • 400 Words $2,686.22 Electronic copy of Candidate Statement in Registrar of Voter's Office website in English, Spanish, Vietnamese, Korean and Chinese: • 200 Words $319.41 • 400 Words $441.41 B. Payment in advance by each such candidate of his or her prorated share of the candidate statement costs shall be a condition of having his or her statement included in the voter's pamphlet, and/or electronic posting. Section 4. Notice of Requirement to Pay Candidate Statement Costs; Obligation to Pay Actual Costs. A. Prior to the period in which candidates' statements may be filed, the Clerk of the Council shall prepare a written notice distributed to all candidates at the time of issuance of the nomination papers, informing them that payment of the pro rata share amount must be made at the same time as the candidate's nomination papers are filed, as prescribed by the California Elections Code. B. The Clerk of the Council's receipt for the payment shall include a written notice that the estimate is just an approximation of the actual cost that varies from one election to another election and may be significantly more or less than the estimate, depending on the actual number of candidates filing statements. Accordingly, the Clerk of the Council shall not be bound by the estimate and shall, as applicable, , on a pro rate basis, bill the candidate for the additional necessary to cover the actual expense or refund any excess monies paid by the candidate, depending on the final actual cost. In the event of underpayment, the Clerk of the Council shall require the candidate to pay the balance of the cost incurred. In the event of overpayment, the Clerk of the Council shall prorate the excess amount among the candidates and refund the excess amount paid within 30 days of the election. Resolutlon No. 2019-xxx Page 2 of 3 55D-14 Section 5. The Clerk of the Council shall provide each candidate or the candidate's representative a copy of this Resolution at the time when nominating petitions are issued by the Clerk. Section 6. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this day of Jam, 2019. APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: �"x. Laura A. Rossini, Senior Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers None (0) None (0) Miguel A. Pulido Mayor NOT PRESENT: Councilmembers None (0) * Ward 4 representative vacant. CERTIFICATE OF ATTESTATION AND ORIGINALITY I, NORMA MITRE, Acting Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2019-_ to be the original resolution adopted by the City Council of the City of Santa Ana on July_, 2019. Date: #272v5 Norma Mitre Acting Clerk of the Council City of Santa Ana Resolution No. 2019-xxx Page 3 of 3 55D-15 55D-16 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 2, 2019 TITLE: APPROVE RESOLUTIONS FOR JOINT POWERS AUTHORITY AGREEMENT BETWEEN THE CITY OF SANTA ANA AND INDEPENDENT CITIES RISK MANAGEMENT AUTHORITY (ICRMA) AND APPROVE ASSOCIATED INSURANCE PREMIUMS (STRATEGIC PLAN NO. 4, 1) RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1� Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Approve resolutions for Joint Powers Authority Agreement between the City of Santa Ana and Independent Cities Risk Management Authority (ICRMA) by approval of the following: a. Joint Powers Authority Agreement b. Resolution for approval of the Joint Powers Agreement c. Resolution to join the ICRMA liability program d. Resolution to join the ICRMA workers' compensation program e. Resolution to join the ICRMA property/Auto Physical Damage program f. Resolution to provide blanket crime coverage g. Resolution appointing Board Members 2. Approve payment of insurance premiums to Independent Cities Risk Management Authority (ICRMA) for excess liability and workers' compensation, property, auto, and other coverages for protection of City's assets. a. Approve the City's membership in Independent Cities Risk Management Authority's Excess Pool Liability Program from July 1, 2019 to June 30, 2020 with member contribution not to exceed $2,300,000. b. Approve the City's membership in Independent Cities Risk Management Authority's Excess Pool Workers' Compensation Program from July 1, 2019 to June 30, 2020 with member contribution not to exceed $612,000. c. Approve the City's participation in Independent Cities Risk Management Authority's Property & Equipment Program from July 1, 2019 to June 30, 2020 at an estimated premium not to exceed $360,000. d. Approve the City's participation in Independent Cities Risk Management Authority's Auto Physical Damage Program from July 1, 2019 to June 30, 2020 at an estimated premium not to exceed $71,000. 55E-1 Approve Joining ICRMA and Insurance Costs for FY 19/20 July 2, 2019 Page 2 e. Approve the City's participation in Independent Cities Risk Management Authority's Cyber Liability Insurance Program from July 1, 2019 to June 30, 2020 at an estimated premium not to exceed $22,000. f. Approve the City's participation in Independent Cities Risk Management Authority's Earth Movement & Flood and Difference in Coverage Program from July 1, 2019 to June 30, 2020 at an estimated premium not to exceed $310,000. g. Approve the City's participation in Independent Cities Risk Management Authority's Crime Insurance Program from July 1, 2019 to June 30, 2020 at an estimated premium not to exceed $15,000. h. Approve the City's participation in Independent Cities Risk Management Authority's Terrorism Insurance Program from July 1, 2019 to June 30, 2020 at an estimated premium not to exceed $12,000. i. Approve the City's obligation to pay the State of California Department of Industrial Relations (DIR) fee for the Workers' Compensation Program from July 1, 2019 to June 30, 2020 at an estimated cost not to exceed $300,000. DISCUSSION The City's insurance rates are increasing and our previous excess insurance pool, BICEP, is dissolving effective July 1, 2019, therefore, staff is recommending membership in another pool, which will mitigate the rising costs but change the structure of the insurance parameters. Staff is recommending that the City join Independent Cities Risk Management Authority (ICRMA), a joint powers authority comprised of California cities that joined together to protect each other, their officers, employees, and property against unavoidable losses through risk management support, pooling of losses, self-insurance, and purchased insurance. ICRMA was formed in 1980 in accordance with California Government Code Section 6500, et seq. ICRMA is governed by its members. The Governing Board consists of one representative from each member agency. The recommended proposal would result in the City being covered by more types of insurance, decreased premiums, and a change in the deductible/self-insured requirements. The primary differences between the BICEP program and the ICRMA program are the changes in Self -Insured Retention levels (SIR) / Member Retention Level (MRL). In past years, the City has been able to have SIRs of $1 million for workers' compensation and $1 million for general liability. Initially, during the discussions of the dissolution of BICEP, the City of Santa Ana was able to remain at a $1 million SIR, however, due to the extremely hard commercial insurance market and the loss runs of the City for the last 10 years, Excess Pools were requiring SIRs of $2M and $3M or Member Contributions upwards of $5 million annually. After negotiations and extensive underwriter review, the City was able to include drop down insurance purchases to reduce the SIR to the current proposal of $1.5 million for workers' compensation and $2 million for general liability that will apply to all claims during this policy year of 2019/2020. While the coverages are not identical and the SIRs have increased in light of an extremely difficult commercial insurance market, the City will be saving over $853,000 or 17.4% to make this change. 55E-2 Approve Joining ICRMA and Insurance Costs for FY 19/20 July 2, 2019 Page 3 ICRMA ICRMA is Accredited with Excellence by the California Association of Joint Powers Authorities. Each member may elect to participate in one or more of the programs offered by ICRMA. Coverage is provided to cities through a combination of self-insurance, commercial insurance, and reinsurance. Members determine the scope of coverage, the type and level of risk management services provided, and how claims will be resolved. ICRMA's Proactive Approach For nearly 40 years, ICRMA has helped its Members operate more efficiently and with greater cost- effectiveness, despite the uncertainties of management in an increasingly complex environment. ICRMA is a public entity governed by its Members, thus service and value, not profit, drive the organization. ICRMA offers unique services to its members, including: • Over 200 web trainings on liability and workers' compensation topics • In -person "ICRMA University" educational programs on risk topics and control measures • Learning Management System that allows you to track web and in -person training for all employees • Crises Response Coverage • Benchmarking reports • Professional risk management training materials and educational programs Liability Program The liability self-insurance arranged by ICRMA affords members protection from third -party tort claims. The annual contributions paid by each member to ICRMA are approved by the Governing Board and are calculated to cover ICRMA's claim expenses, settlements and operating costs. Program Advantages ICRMA is constantly exploring new opportunities to contain costs, provide services or limit member exposures. ICRMA offers members the following through a wide range of coverage programs: • Affordable and stable coverage through self-insurance and joint -purchase programs • Broad liability coverage features, including; full occurrence -triggered coverage for Property, Auto, and Employment Practices Liability Coverages • Multiple member retained limits (MRL) options. This offers members the flexibility to balance individual needs and financial ability while self -insuring risk • Ability to select a third -party claims administrator and manage own claims • Claims oversight and litigation management • Biennial claims audits, which are included in the annual contribution • Annual actuarial studies, which are included in the annual contribution • Access to a team of professionals to respond to standard and non-standard risk concerns The annual contribution is an estimate of the expected cost for the coverage period. If ICRMA's net assets exceed target levels, members receive dividends in accordance with ICRMA policy. If the pool is underfunded, members may owe additional funds to the pool. Members must remain in the JPA for three consecutive years. 55E-3 Approve Joining ICRMA and Insurance Costs for FY 19/20 July 2, 2019 Page 4 The ICRMA excess liability program covers liability claims up to $40,000,000 per occurrence, less the member retained limit (MRL), which functions like a deductible. The annual contributions paid by each member to ICRMA are approved by the Governing Board and are calculated to cover ICRMA's claim expenses, settlements, and operating costs. The Liability Program has the following coverage limit features: • Santa Ana's MRL will be $2,000,000 • ICRMA's Retention: $2,000,000 less the MRL • Reinsurance: Excess of $3,000,000 to $40,000,000 Workers' Compensation Program ICRMA's Workers' Compensation Program operates in a similar fashion to the Liability Program. It has the following coverage limit features: • Santa Ana's MRL will be $1,500,000 • ICRMA's Retention: $2,000,000 less the MRL • Excess Insurance: Statutory excess of $2,000,000 Within ICRMA's retention, a risk sharing pool arrangement has been established whereby each member selects its own MRL from $350,000 to $3,000,000. Each member of ICRMA then assumes its own losses up to its selected MRL. Any losses between its MRL and $2,000,000 are covered by drop down policy. A commercial insurance company provides coverage in excess of ICRMA's retained limit up to full statutory coverage. The member contributions for excess liability insurance and reinsurance premium for the period of July 1, 2019 to June 30, 2020 are not to exceed 2,300,000. The excess workers' compensation insurance premium for the July 1, 2019 to June 30, 2020 period are not to exceed $612,000. Cost for the State of California Department of Industrial Relations (DIR) assessment are estimated not to exceed $300,000. The City of Santa Ana's participation in additional insurance programs include: 1. Property & Equipment estimated premium not to exceed $360,000 2. Auto Physical Damage Program estimated premium not to exceed $71,000 3. Cyber Liability Program, which is a required program as a member in ICRMA, estimated premium not to exceed $22,000 4. Earth Movement & Flood and Difference in Coverage programs estimated premium not to exceed $310,000 5. Crime Program estimated premium not to exceed $15,000 6. Terrorism Insurance estimated premium not to exceed $12,000 55E-4 Approve Joining ICRMA and Insurance Costs for FY 19/20 July 2, 2019 Page 5 POOL PROPOSAL COVERAGE COMPARISONS INCL SIRS, GL, WC & ADDITIONAL LINES OF COVERAGE ICRMA GL-EXCESS PROGRAM Maximum Pool Reinsurance $40 Million Self -Insured Retention $2 Million WC - EXCESS $1.5 Million PROGRAM* SIR LIMITS RETENTION / DEDUCTIBLE CYBER* $3 Million $15k CRIME $10 Million Nil PROPERTY & $250 M $250K Per Occ EQUIPMENT / $416K Agg BREAKDOWN, DIC Equipment Breakdown, $10K Ind/Member Mtc: $10K Property & EB, COSA Stop Loss of $552k AUTO PHYSICAL $25k pool/$5k DAMAGE $10 Million mem $10 Million Primary, Excess $15 2% per/unit, EARTH MOVEMENT Million x $10 $100k min, & FLOOD Million Flood $100k TERRORISM $10 Million Nil *Required participation as a member of ICRMA. CSAC-EIA & Alliant Insurance Services GL-2 EXCESS PROGRAM Maximum Pool Reinsurance $27 Million Self -Insured Retention $2 Million WC - EXCESS PROGRAM $1 Million SIR LIMITS RETENTION / DEDUCTIBLE $2 Million CYBER EXCESS A2gregate $50k or $100k CRIME $15 Million $25k APIP Property $1 B All $1 OK All Risk, (property/boder& Risk, $82.5M all $250k Flood Mach/auto, flood zones, $50M Zones A & B, All Risk Property Flood Zones A, $100k All Other including Flood but excluding B&M-$100M, Flood Zones, Earthquake), Cyber-$2M/$25M $25k Vehicle, CYBER, Annual & Prog Agg $2500 B&M, POLLUTION, DIC, all members $100k C ber, y VEHICLE combined, Pollution $100k Pollution - $2M Pool Agg, $2M Named Ins Agg, $2M/$25M Per Poll Cond or Indoor Environ, DIC $1 OM per occ $25M Agg DEADLY WEAPONS RESPONSE I $500k i $10k UST - UNDERGROUND STORAGE TANKS $50K TO $100K STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal # 4 - City Financial Stability, Objective #1 (maintain a stable, efficient and transparent financial environment). FISCAL IMPACT The above estimated premiums are a decrease over Fiscal Year 2018/2019 of $853,000 or 17.4% while retaining similar coverage levels. Funds are budgeted in the proposed 2019/20 Liability & Property Insurance account, Insurance (Risk Management), (No. 08009051-64010) for an estimated premium and administrative costs not to exceed $3,090,000 and Workers' Compensation account, Insurance (Risk Management), (No. 08209054-64010) for an estimated premium cost not to exceed $912,000. 55E-5 Approve Joining July 2, 2019 Page 6 ICRMA and Insurance Costs for FY 19/20 Human Resources Agency APPROVED AS TO FUNDS AND ACCOUNTS: Kathryn Doifns Executive Director Finance and Mgmt. Services Agency Exhibits: 1. Joint Powers Authority Agreement 2. Resolution for approval of the Joint Powers Agreement 3. Resolution to join the ICRMA liability program 4. Resolution to join the ICRMA workers' compensation program 5. Resolution to join the ICRMA property/Auto Physical Damage program 6. Resolution to provide Crime coverage 7. Resolution appointing Board Members 55E-6 EXHIBIT 7 FIFTH AMENDMENT TO JOINT EXERCISE OF POWERS AGREEMENT FOR INSURANCE AND RISK MANAGEMENT PURPOSES This Fifth Amendment To Joint Exercise Of Powers Agreement For Insurance and Risk Management Purposes C AgreemenfD is executed by and among the public entities, hereafter referred to as Member or Members, each of which is organized and existing under the laws of the State of California and is a signatory to this Agreement and listed in Appendix "A", which is attached hereto and made a part hereof. This Agreement, dated October 13, 2004, for identification purposes, amends the Joint Exercise of Powers Agreement For Insurance and Risk Management Purposes dated August 12, 1998. RECITALS This Agreement is predicated upon the following facts: The following State laws, among others, authorize the Members to enter into this Agreement: 1. Labor Code Section 3700, permitting a Member to fund its own Workers' Compensation claims; 2. Government Code Section 990, permitting a Member to insure itself against tort or inverse condemnation liability; Approved by the Governing Board October 13, 2004 1 55E-7 3. Government Code Section 990.4, permitting a Member to provide insurance and self-insurance in any desired combination; 4. Government Code Section 990.6, permitting the proper costs for self-insurance to be charged against each Member and authorizing the Governing Board to make premium payments for such coverage in an amount such Governing Board determines to be necessary to provide such coverage; 5. Government Code Section 990.8, permitting two or more Members to enter into an agreement to jointly fund such expenditures under the authority of Govemment Code Sections 6500 et seq.; 6. Government Code Section 6500 et seq., permitting two or more Members to jointly exercise, under an agreement, any power which is common to each of them. NOW, THEREFORE, for and in consideration of the mutual benefits, covenants, and agreements set forth in this Agreement, the Members agree as follows: ARTICLE 1. CREATION OF THE INDEPENDENT CITIES RISK MANAGEMENT AUTHORITY. 1.1 Pursuant to Article I (commencing with Section 6500) of Chapter 5 of Division 7 of Title 1 of the Government Code of the State of California, the Members hereby create a public entity, separate and apart from the Members, to be known as the Approved by the Governing Board October 13, 2004 2 55E-8 Independent Cities Risk Management Authority, hereinafter referred to as "ICRMA" or the "Authority". Pursuant to Government Code Section 6508.1, the debts, liabilities, and obligations of the Authority shall not constitute debts, liabilities, or obligations of any Member. ARTICLE 2. PURPOSE. 2.1 The purpose of creating this Authority is to exercise the powers of the Members to jointly accomplish the following: 2.1.1 Develop effective Risk Management Programs to reduce the amount and frequency of their losses. 2.1.2 Develop Risk Management Programs of insurance to protect Members from the effects of catastrophic or unexpected losses. Such programs shall include, but not be limited to, coverages for losses arising out of Tort Liability, Workers' Compensation, Health Benefits, and the ownership or use of real or personal property. 2.1.3 Design Risk Management Programs of the Authority on a pooled or self -funded basis whereby the Members share some portion, or all, of the costs of the program losses. 2.1.4 Jointly purchase insurance, excess insurance, or reinsurance and/or develop alternative financial arrangements for the purpose of transferring risk of loss to commercial insurers. Approved by the Governing Board October 13, 2004 3 55E-9 2.1.5 Assist Members to the maximum extent authorized by law to secure long term solutions enabling the Authority to provide adequate protection to Members against catastrophic, or greater than expected, claims and to attract major reinsurers for the purpose of transferring risk. 2.1.6 Jointly secure administrative and other services including, but not limited to, general administration, underwriting, risk management, loss prevention, claims adjusting, data processing, brokerage, accounting, and legal services when related to any of the other purposes. ARTICLE 3. DEFINITIONS 3.1 The following definitions shall apply to the provisions of this Agreement and the By -Laws of the Authority and Risk Management Programs: 3.1.1 "Agreement" shall mean this Agreement, as it may be amended from time to time, creating the Independent Cities Risk Management Authority. 3.1.2 'Board" or "Governing Board" shall mean the governing body of the Authority. 3.1.3 "By -Laws" shall mean the rules governing the management of the Authority and each individual Risk Management Program. A"mved by the Goveming Board October 13, 2004 4 55E-10 3.1.4 "Claim(s)" shall mean demand(s) complying with the requirements of California Government Code Section 910 and made against the Member arising out of occurrences which are covered or alleged to be covered by the Authority's Memorandums of Coverage, or policies of insurance. 3.1.5 "Fiscal Year" shall mean the period of time commencing on July 1 of each year, and thereafter ending on June 30 each following year. 3.1.6 "Governing Documents" shall mean this Agreement, the By -Laws of the Authority and each Risk Management Program, the Memorandum of Coverage and any other document stipulated as a Governing Document in the By -Laws or by action of the Governing Board. 3.1.7 "Insurance" shall mean insurance or reinsurance purchased by the Authority to cover losses for its Members. 3.1.8 "Member" shall mean any Municipal Corporation or public entity authorized to be a member of a Joint Powers Authority, which is a Party to this Agreement and is participating in one or more Risk Management Programs. 3.1.9 "Memorandum of Coverage" shall mean the document or documents issued by the Authority specifying the types of coverages and limits provided to the Members. Appmved by the Govc=g Boud October 13, 2004 5 55E-11 3.1.10 'Program Year" shall mean a period of time in which each program shall be segregated for ease in determining coverage premiums. 3.1.11 'Participation" or "Participating" shall mean a Member has elected to jointly participate in the management of a specific risk and is a member of that Risk Management Program. 3.1.12 "Risk Management' shall mean the process of identifying, evaluating, reducing, transferring, and eliminating risks. Risk Management includes, but is not limited to, various methods of funding claims payments, purchasing insurance, legal defense of claims, controlling losses, and determining self -insured retention levels and the amount of reserves for potential claims. 3.1.13 'Risk Management Program" shall mean those coverage programs of risk sharing, insurance, and risk management services created by the Authority to manage specific Risk Management Programs, i.e. "Liability Risk Management Program". ARTICLE 4. PARTIES TO THE AGREEMENT AND RESPONSIBILITIES OF MEMBERS. 4.1 Each Member represents and warrants that it intends to, and does hereby, contract with all other Members listed in Appendix "A", and any new members admitted to the Authority pursuant to Article 16. Each Member also represents and warrants that the withdrawal or expulsion of any Member, pursuant to Article 14 Approved by the Governing Board October 13, 2004 6 55E-12 or 15, shall not relieve any Member of its rights, obligations, liabilities or duties under this Agreement or the individual Risk Management Programs in which the Member participates. 4.2 Each Member agrees to be bound by and to comply with all of the terms and conditions of the Governing Documents and any Resolution or other action adopted by the Governing Board as they now exist or may hereinafter be adopted or amended. Each Member assumes the obligations and responsibilities set forth in the Governing Documents. ARTICLE 5. GOVERNING BOARD. 5.1 The Authority shall be governed by a Governing Board the composition of which shall be set forth in the Authority's By -Laws. Immediately upon admission of a new Member pursuant to Article 16, the Member shall be entitled to appoint a Representative to the Governing Board and an alternate Representative and, if desired, a substitute alternate Representative, each of whom shall meet the parameters set forth in the Authority's By -Laws. Decisions of the Member representative, or the Governing Board in his/her absence, shall be binding on the Member. 5.2 The Member Representative and/or alternate Representative or substitute alternate Representative shall be removed from the Governing Board upon the occurrence of any one of the following events: (1) the expulsion or withdrawal of the Member from the Authority; (2) the death or resignation of the Member Representative; (3) the Authority receives the written notice from the Member Approved by the Goveming Board October 13, 2004 7 55E-13 that the Member Representative is no longer a member of the governing body of the Member or as otherwise provided in the Authority's By -Laws. 5.3 Pursuant to Government Code Section 6505.6, the Governing Board shall designate an officer or employee, or officers and employees, to receive, deposit, invest, and disburse the property of the Authority pursuant to Government Code Sections 6505 and 6505.5. The Governing Board shall fix the amount of the fidelity bond to be filed by such public officer(s) and/or employee(s). ARTICLE 6. BOARD MEETINGS AND RECORDS 6.1 Regular Meetings. The Governing Board and all standing committees shall hold meetings at the location and time set forth in the By -Laws of the Authority and each individual Risk Management Program. 6.2 Ralph M. Brown Act. All meetings of the Governing Board, and appointed committees, including without limitation, regular, adjourned regular, and special meetings, shall be.called, noticed, held, and conducted in accordance with the Ralph M. Brown Act (Section 54950 et. seq. of the Government Code). 6.3 Minutes. Minutes of regular, adjourned regular, and special meetings of the Authority shall be kept under direction of the Secretary. As soon as possible after each meeting, the Secretary shall forward copies of the minutes to each Governing Board member. 6.4 Quorum. A majority of the members of the Governing Board is a quorum for the transaction of business. However, less than a quorum may adjourn from time to Approved by the Governing Board October 13, 2004 8 55E-14 time. A vote of the majority of a quorum at a meeting is sufficient to take action. ARTICLE 7. OFFICERS. 7.1 The Governing Board shall elect a president, vice-president, Treasurer and Secretary from among its members. The manner of election and term of office of elected officers and their authority and responsibilities shall be as set forth in the Authority By -Laws. If any of the officers cease to be a Member's representative, the resulting vacancy shall be filled as provided in the Authority By -Laws. The Governing Board may appoint such other officers as it considers necessary. ARTICLE 8. POWERS. 8.1 The Authority shall have the powers common to its Members and is authorized, in its own name, to do all acts necessary and to exercise such common powers to fulfill the purposes of this Agreement referred to in Article 2 including, but not limited to, each of the following: 8.1.1 Finance through the issuance of Bonds or other financial instruments of indebtedness, self-insurance reserve funds necessary or convenient for the implementation of this Agreement. 8.1.2 Incur debts, liabilities, and obligations. 8.1.3 Acquire, hold, or dispose of real and personal property. 8.1.4 Receive contributions and donations of property, funds, services, and other forms of assistance from any source. 8.1.5 Sue and be sued in its own name. Approved by the Governing Board October 13, 2004 9 55E-15 8.1.6 Employ agents and employees. 8.1.7 Acquire, construct, manage, maintain, or operate buildings, works, or improvements. 8.1.8 Lease real or personal property, including that of a Member. 8.1.9 Receive, collect, and disburse monies. 8.1.10 Invest money in the treasury of the Authority in the same manner and on the same conditions as local agencies pursuant to Government Code Section 53 60 1. 8.1.11 Exercise all other powers necessary and proper to carry out the provisions of this Agreement. 8.1.12 Develop and implement Risk Management Programs. 8.1.13 Jointly purchase for the benefit of Members, insurance, excess insurance, reinsurance, and enter into agreements for the benefit of Members, for the purpose of transferring risk of loss to commercial insurers or reinsurers or other insurance pools. ARTICLE 9. RISK MANAGEMENT PROGRAMS. 9.1 The Governing Board shall establish Risk Management Programs as provided in the Authority's By -Laws. 9.2 No Risk Management Program shall become operational, or possess any authority, until the proposed Risk Management Program By -Laws have been Approved by the Governing Board October 13, 2004 10 55E-16 approved by the Governing Board. The voting on the approval of By -Laws shall be restricted to Governing Board Member representatives of the particular Risk Management Program. Approval of the By -Laws and any amendments thereto shall be as provided in the By -Laws of the individual Risk Management Programs. On approval of the By -Laws, the various Risk Management Programs shall become operational and will have all of the powers specifically delegated to them by the Governing Board. ARTICLE 10. BUDGET 10.1 The Governing Board shall adopt an annual budget not later than 30 days prior to the beginning of each Fiscal Year. ARTICLE 11. ANNUAL AUDIT AND REVIEW. 11.1 The Governing Board shall cause an annual financial audit of the accounts and records to be made and filed as provided in the Authority's By -Laws and the laws of the State. ARTICLE 12. ESTABLISHMENT AND ADMINISTRATION OF FUNDS. 12.1 Funds of the Authority may be commingled for investment and administration purposes. However, each Risk Management Program shall be accounted for separately on a full accrual basis. 12.2 The Governing Board shall establish the policy for warrants drawn to pay demands against the Authority. 12.3 The coverage for each Program Year of each Risk Management Program shall be as specified in the Memorandum of Coverage or policies of insurance for that Approved by the Governing Board October 13, 2004 11 55E-17 Program Year of the Risk Management Program. ARTICLE 13. WITHDRAWAL. 13.1 Any Member which enters a Risk Management Program may withdraw from that Risk Management Program and may at a later time seek to renew participation in said Program subject to the terms and conditions as set forth in the By -Laws of that particular Risk Management Program. 13.2 A Member is no longer a party to the Authority or this Agreement upon its withdrawal from all of the Authority's Risk Management Programs. ARTICLE 14. EXPULSION. 14.1 The Governing Board may expel any Member from the Authority and/or from a Risk Management Program at any time for material breaches of the Governing Documents. Such expulsion shall be as provided in the By -Laws of the Authority or each Individual Risk Management Program. ARTICLE 15. TERMINATION. 15.1 This Agreement shall continue until terminated by vote or written consent of two- thirds of the Members provided, however, that this Agreement and the Authority shall continue to exist for the purposes of disposing of all claims, the distribution of assets, and any other functions necessary to conclude the affairs of the Authority. 15.2 Upon termination of this Agreement, all assets of the Authority shall be distributed only among the Members that have been participants in its Risk Management Programs, including any of those Members which previously Approved by the Governing Board October 13, 2004 12 55E-18 withdrew or were expelled pursuant to Articles 13 and 14 of this Agreement, in accordance with and proportionate to their net premium payments made during the term of this Agreement. The Governing Board shall determine such distribution within six months after the last claim covered by this Agreement has been finalized. 15.3 The Governing Board is vested with all powers of the Authority for the purpose of concluding and dissolving the business affairs of the Authority. These include the power to require those Members which were Risk Management Program participants at the time of any particular occurrence which was covered or alleged to be covered under the Memorandums) of Coverage or policies of insurance to pay their share of any additional amount of premium deemed necessary by the Governing Board for the final disposition of all claims and expenses associated with such loss. ARTICLE 16. NEW MEMBERS. 16.1 Any governmental agency, organized and operating under the laws of the State of California which is authorized to participate in a joint powers authority under the Government Code may become a member of the Authority by complying with the requirements of the Authority By -Laws. ARTICLE 17. LIABILITY OF THE AUTHORITY. 17.1 Each Member agrees to indemnify, save and defend the Authority and all other Members harmless from and against all claims, losses, and damages, including legal fees and expenses, arising out of any breach or default on the part of such Approved by the Governing Board October 13.2004 13 55E-19 Member in performance of any of its obligations under this Agreement, or any act or negligence of such Member or any of its agents, contractors, servants, employees or licensees with respect to this Agreement. No indemnification is made under this Section for claims, losses or damages, including legal fees and expenses, arising out of the willful misconduct, negligence or breach of duty under this Agreement by the Authority or a Member or their officers, employees, agents or contractors. 17.2 The Representatives to the Governing Board and to each of the Risk Management Programs and any officer, employee, contractor, or agent of the Authority shall use ordinary care and reasonable diligence in the exercise of their power and in the performance of their duties under this Agreement. 17.3 Funds of the Authority may be used to defend, indemnify, and hold harmless the Authority and any member of the Governing Board, any member of a Risk Management Program, and any employee of the Authority for their actions taken within the scope of their duties while acting on behalf of the Authority. Nothing herein shall limit the right of the Authority to purchase insurance to provide such coverage as is hereinabove set forth. ARTICLE 18. NOTICES. 18.1 Notices to each Member under this Agreement shall be sufficient if mailed to its respective address on file with the Authority. Any Member may designate any other address in substitution of the foregoing address to which such notice will be given at any time by giving five days written notice to the Authority and all other Approved by the Governing Board October 13, 2004 14 55E-20 Members. ARTICLE 19. AMENDMENTS TO THIS AGREEMENT AND PROGRAM BY-LAWS. 19.1 This Agreement may be amended at any time by vote of two-thirds of the Members acting through their governing body. Amendments to the individual Risk Management Program By -Laws require the two -third vote of the Governing Board members representing Members of that Risk Management Program. ARTICLE 20. SEVERABILITY. 20.1 Should any portion, term, condition, or provision of this Agreement be decided by a court of competent jurisdiction to be illegal or in conflict with any law of the State of California, or be otherwise rendered unenforceable or ineffectual, the validity of the remaining portions, terms, conditions, and provisions shall not be affected thereby. ARTICLE 21. AGREEMENT COMPLETE. 21.1 The foregoing constitutes the full and complete Agreement of the parties. There are no oral understandings or agreements not set forth in writing herein. ARTICLE 22. TERM OF AGREEMENT. 22.1 This fifth amended Agreement shall become effective upon the Authority receiving notice of the approval by the governing body of two-thirds of the Members. IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the day Approved by the Governing Board October 13, 2004 15 55E-21 and year first written above. City of Santa Ana 0 Title City Minagpr Executed before me this day of 200_ City Clerk City of Santa Ana APPROVED AS TO FORM dPcu,tuL A. &�i, - Laura A. Rossini Senior Assistant City Attorney (City Seal) FOR APPROVAL Steven Pham Executive Director, Human Resources Approved by the Governing Board October Il, 2004 16 55E-22 APPENDIX f°A" INDEPENDENT CITIES RISK MANAGEMENT AUTHORITY MEMBER CITIES 1. Alhambra 16. Hermosa Beach 2. Arcadia 17. Huntington Park 3. Azusa 18. Inglewood 4. Baldwin Park 19. La Habra 5. Bell 20. Lynwood 6. Buena Park 21. Manhattan Beach 7. Chino 22. Monrovia 8. Colton 23. Monterey Park 9. Culver City 24. Redondo Beach 10. Downey 25. San Fernando 11. El Monte 26. South Gate 12. E1Segundo 27. Upland 13. Fullerton 28. Vernon 14. Glendora 29. Whittier 15. Hawthorne 147448.4 (MS WORD) 000602-9000 55E-23 INDEPENDENT CITIES RISK MANAGEMENT AUTHORITY FIFTH AMENDMENT TO JOINT EXERCISE OF POWERS AGREEMENT FOR INSURANCE AND RISK MANAGEMENT PURPOSES 147448.4 (MS WORD) 000602-9000 55E-24 =:/:I 1:11 WA LAR 7.2.19 RESOLUTION NO.2019-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING EXECUTION OF THE JOINT POWERS AGREEMENT CREATING THE INDEPENDENT CITIES RISK MANAGEMENT AUTHORITY. THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES HEREBY FIND AND RESOLVE AS FOLLOWS: WHEREAS, pursuant to the provisions of Sections 990, 990.4, 990.8 and 6500 of the California Government Code, the Independent Cities Risk Management Authority ("ICRMA") has been created by a Joint Powers Agreement; and WHEREAS, Joint Protection Programs have been developed by ICRMA pursuant to the provisions of said Agreement; and WHEREAS, the Agreement provides for additional members to become parties to the Joint Powers Agreement creating ICRMA and enter one or more Joint Protection Programs providing self-insurance and loss pooling; and WHEREAS, the self-insurance and loss pooling programs of ICRMA, as well as its group insurance coverage programs, offer significant advantages to the City in terms of cost, protection, risk management and loss control advice and assistance, and entering such programs would be in the best interest of the City. WHEREAS, the City desires to confirm its support for the purposes of the ICRMA and to join as a member of the same and to appoint its representative to the ICRMA Board of Directors; NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES HEREBY RESOLVE, ORDER AND DETERMINE THE FOLLOWING: Section 1. That the City Manager of the City of Santa Ana is hereby authorized and directed to execute the Joint Powers Agreement on behalf of the City binding the City to the terms and conditions of said Agreement with an effective date of July 1, 2019. The City understands and agrees that, by executing the Agreement, it will be bound by the terms of the Joint Powers Agreement, specifically 'Responsibilities of Members," including the obligation to make deposits and deposit adjustments for joint protection programs it joins. Section 2. That the City hereby joins ICRMA for a minimum period of three (3) years and will subsequently be required to make deposits and deposit adjustments as provided in ICRMA Joint Powers Agreement. Resolution No. 2019-XXX Page 1 of 2 55E-25 Section 3. That the City acknowledges and agrees to abide by all of the terms and conditions of the Independent Cities Risk Management Authority's Joint Powers Agreement, Bylaws, and the Underwriting and Administration Manual regarding the programs in which the City participates. Section 4. This Resolution shall take effect immediately upon its adopting by the City Council and the Clerk of Council shall attest to and certify the vote adopting this Resolution. Section 5. That the Clerk of Council is directed to forward a certified copy of this Resolution to ICRMA, 18201 Von Karman, Suite 200, Irvine, CA 92612. ADOPTED this _ day of July, 2019. Mayor Miguel Pulido APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By J(Jtw Laura A. Rossini Senior Assistant City Attorney AYES Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers Vacancy Ward 4 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, NORMA MITRE Acting Clerk of the Council do hereby attest to and certify the attached Resolution No 2019-XXX to be the original resolution adopted by the City Council of the City of Santa Ana on July _, 2019. Date: #614v5 Resolution No. 2019-XXX Page 2 of 2 Norma Mitre Acting Clerk cftheCouncil Cityof Santa Ana 55E-26 EXHIBIT 3 IA_izar iE'] RESOLUTION NO.2019-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA TO AUTHORIZE AND APPROVE POOLING OF SELF-INSURANCE THROUGH THE LIABILITY PROGRAM OF THE INDEPENDENT CITIES RISK MANAGEMENT AUTHORITY. THE CITY COUNCIL OF THE CITY OF SANTA ANA, (CITY), CALIFORNIA, HEREBY DOES FIND AND RESOLVE AS FOLLOWS: WHEREAS, pursuant to the provisions of Section 6500 et seq. and also Sections 990.4 and 990.8 of the California Government Code, the Independent Cities Risk Management Authority ("ICRMA") was created in 1980; and WHEREAS, the City has approved and will execute the Joint Powers Agreement to become a member of ICRMA; and WHEREAS, ICRMA has established and administered a successful Liability Self - Insurance and Loss Pooling Program since 1980; and WHEREAS, there are significant financial and administrative advantages for the City to participate in the Liability Program: NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES HEREBY RESOLVE, ORDER AND DETERMINE THE FOLLOWING: Section 1. Liability coverage for the City through the Liability Program of ICRMA is hereby authorized and directed effective July 1, 2019, pursuant to the terms of the Memorandum of Coverage in effect at the time of any occurrence covered by the Memorandum of Coverage. Section 2. That an initial estimated annual contribution of up to two million three hundred thousand dollars ($2,300,000.00) for the Liability Program is approved and the appropriate officers of the City are authorized to pay the same to ICRMA. Section 3. That City will remain a member of ICRMA's Liability Program for a minimum of three (3) years and will subsequently be required to make deposits and deposit adjustments as provided in ICRMA Joint Powers Agreement. Section 4. That City hereby establishes a Member Retained Limit of two million dollars ($2,000,000.00) for the Liability Program which may only be changed with approval by the ICRMA Board of Directors. The cost allocation formula, including the self -insured retention level, is periodically reviewed by ICRMA and may be changed or amended in subsequent Program years. #612v3 Resolution No. 2019-XXX Page 1 of 2 55E-27 Section 5. This Resolution shall take effect immediately upon its adoption by the City Council and the Clerk of Council shall attest to and certify the vote adopting this Resolution. Section 6. That the Clerk of Council is directed to forward a certified copy of this Resolution to ICRMA, 18201 Von Karman Avenue, Suite 200, Irvine, CA 92612. ADOPTED this _ day of July, 2019. Mayor Miguel Pulido APPROVED AS TO FORM: Sonia R. Carvalho City Attorney Byg&wal A. Laura A. Rossini Senior Assistant City Attorney AYES Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers Vacancy Ward 4 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, NORMA MITRE Acting Clerk of the Council do hereby attest to and certify the attached Resolution No 2019-XXX to be the original resolution adopted by the City Council of the City of Santa Ana on July _, 2019. Date: #612v3 Norma Mitre Acting ClerkcftheCouncil City of Santa Ana Resolution No. 2019-XXX Page 2 of 2 55E-28 EXHIBIT 4 LAR 7.2.19 RESOLUTION NO. 2019-XXX A RESOLUTION OF THE CITY COUCIL OF THE CITY OF SANTA ANA TO AUTHORIZE AND APPROVE POOLING OF SELF-INSURANCE THROUGH THE WORKERS' COMPENSATION PROGRAM OF THE INDEPENDENT CITIES RISK MANAGEMENT AUTHORITY. THE CITY COUNCIL OF THE CITY OF SANTA ANA (CITY) HEREBY DOES FIND AND RESOLVE AS FOLLOWS: WHEREAS, pursuant to the provisions of Section 6500 et seq. and also Section 3700, et seq., of the California Labor Code, the Independent Cities Risk Management Authority (ICRMA) was created in 1980; and WHEREAS, the City has approved and will execute the Joint Powers Agreement to become a member of ICRMA; and WHEREAS, ICRMA has established and administered a successful Workers' Compensation Self-insurance and Loss Pooling Program since July 1, 2002; and WHEREAS, there are significant financial and administrative advantages for the City to participate in the Workers' Compensation Program. NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES HEREBY RESOLVE, ORDER AND DETERMINE THE FOLLOWING: Section 1. Workers' compensation coverage for the City through the Workers' Compensation Program of ICRMA is hereby authorized and directed, effective July 1, 2019, pursuant to the terms of the Memorandum of Coverage in effect at the time of any occurrence covered by the Memorandum of Coverage. .Section 2 That an initial estimated annual contribution not to exceed six hundred and twelve thousand dollars ($612,000) for the Workers' Compensation Program is approved and the appropriate officers of the City are authorized to pay the same to ICRMA. Section 3. That City will remain a member of ICRMA's Workers' Compensation Program for a minimum of three (3) years and will subsequently be required to make deposits and deposit adjustments as provided in the ICRMA Joint Powers Agreement. Section 4. That the City hereby establishes a Member Retained Limit of one million five hundred thousand dollars ($1,500,000.00) for the Workers' Compensation Program which may only be changed with approval by the ICRMA Board of Directors. #1923v1 Resolution No. 2019-XXX Page 1 of 2 55E-29 The cost allocation formula, including the self -insured retention level, is periodically reviewed by ICRMA and may be changed or amended in subsequent Program years. Section 5. This Resolution shall take effect immediately upon its adopting by the City Council and the Clerk of Council shall attest to and certify the vote adopting this Resolution. Section 6. That the Clerk of Council is directed to forward a certified copy of this Resolution to ICRMA, 18201 Von Karmen Avenue, Suite 200, Irvine, California 92612. ADOPTED this _ day of July, 2019. Mayor Miguel Pulido APPROVED AS TO FORM: Sonia R. Carvalho City Attorney Senior Assistant City Attorney AYES Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers Vacancy Ward 4 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, NORMA MITRE Acting Clerk of the Council do hereby attest to and certify the attached Resolution No 2019-XXX to be the original resolution adopted bythe City Council of the City of Santa Ana on July _, 2019. Date: #1923v1 Norma Mitre Acting ClerkcftheCouncil City of Santa Ana Resolution No. 2019-XXX Page 2 of 2 55E-30 EXHIBIT 5 LAR 7.2.19 RESOLUTION NO. 2019-XXX A RESOLUTION OF THE CITY OF SANTA ANA TO AUTHORIZE AND APPROVE PARTICIPATION N THE PROPERTY/AUTO PHYSICAL DAMAGE PROGRAM OF THE INDEPENDENT CITIES RISK MANAGEMENT AUTHORITY. THE CITY COUNCIL OF SANTA ANA HEREBY DOES FIND AND RESOLVE AS FOLLOWS: WHEREAS, pursuant to the provisions of Sections 990, 990.4, 990.8, and 6500 of the California Government Code, the Independent Cities Risk Management Authority ("ICRMA') was created n 1980; and WHEREAS, the City of Santa Ana has approved and will execute the Joint Powers Agreement to become a member of the ICRMA; and WHEREAS, Risk Management Programs have been developed by the ICRMA pursuant to the provisions of said Agreement; and WHEREAS, the ICRMA Bylaws and Section C of the Underwriting & Administration Policy Manual provides for additional member participants; and WHEREAS, the ICRMA has established and administered successful programs for its members since 1980, and WHEREAS, the City desires to expand its participation in ICRMA and take advantage of the coverage terms, cost, risk management, and administrative services provided by the ICRMA Property/Auto Physical Damage Program. NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES HEREBY RESOLVE, ORDER AND DETERMINE THE FOLLOWING: Section 1. The City of Santa Ana is hereby authorized and directed to become a member of the ICRMA Property Program, effective July 1, 2019. Section 2- The City Manager, or designee, of the City of Santa Ana is authorized and directed to complete and provide necessary applications and documentation, and to take such other actions as may be necessary to effectuate property insurance coverage. Section 3 The City of Santa Ana hereby agrees to abide by all the terms and provisions of the ICRMA Bylaws and Underwriting and Administration Policy Manual. Section 4. The City of Santa Ana commits to at least three full program years of participation in the Property/Auto Physical Damage Program. #613v3 55E-31 Section 5. This Resolution shall take effect immediately upon its adopting by the City Council and the Clerk of Council shall attest to and certify the vote adopting this Resolution. Section 6. The Clerk of Council is directed to forward a certified copy of this Resolution to ICRMA, 18201 Von Karman, Suite 200, Irvine, California, 92612. ADOPTED this _ day of July, 2019. APPROVED AS TO FORM: Sonia R. Carvalho City Attorney Laura A. Rossini Senior Assistant City Attorney AYES Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers " Vacancy Ward 4 #613v3 Resolution No. 2019-XXX Page 2 of 3 Mayor Miguel Pulido 55E-32 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, NORMA MITRE Acting Clerk of the Council do hereby attest to and certify the attached Resolution No 2019-XXX to be the original resolution adopted bythe City Council ofthe City of Santa Ana on July_, 2019. Date: #613v3 Resolution No. 2019-XXX Page 3 of 3 Norma Mitre Acting Clerk of the Council Cityof Santa Ana 55E-33 55E-34 EXHIBIT 6 LAR 7.2.19 RESOLUTION NO. 2019-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING COVERAGE OF ALL OFFICERS AND EMPLOYEES UNDER ONE MASTER FAITHFUL PERFORMANCE BOND. THE CITY COUNCIL OF THE CITY OF SANTA ANA, (CITY), HEREBY DOES FIND AND RESOLVE AS FOLLOWS: WHEREAS, prior to January 1, 1997, the California Government Code required that local public agency treasurers be individually bonded and; WHEREAS, the City Council also had the authority to require bonds of other officers or employees; and WHEREAS, California Government Code Section 1481 was amended January 1, 1997 with Assembly Bill 3472 to extend master bonding provisions to local public agencies; and WHEREAS, Assembly Bill 3472 allows the City Council to adopt a resolution approving coverage of all their officers and employees under one master bond; and WHEREAS, approval of such resolution eliminates the necessity of writing bonds on specifically named individuals for their term of office, reducing both cost and paperwork, NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES HEREBY RESOLVE, ORDER, AND DETERMINE THE FOLLOWING: Section 1. The City Council of the City of Santa Ana hereby. authorizes the coverage of all their officers and employees under one master bond. .Section 2 This Resolution shall take effect immediately upon its adoption by the City Council and the Clerk of Council shall attest to and certify the vote adopting this Resolution. ADOPTED t h is _ day of July, 2019. Mayor Miguel Pulido #611v3 Resolution No. 2019-XXX Page 1 of 2 55E-35 APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By 40411L4., A-• iRP4" Laura A. Rossini Senior Assistant City Attorney AYES Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers Vacancy Ward 4 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, NORMA MITRE Acting Clerk of the Council do hereby attest to and certify the attached Resolution No 2019-XXX to be the original resolution adopted bythe City Council of the City of Santa Ana on July _, 2019. Date: #611v3 Norma Mitre Acting Clerkdthe Council City of Santa Ana Resolution No. 2019-XXX Page 2 of 2 55E-36 EXHIBIT 7 LAR 7.2.19 RESOLUTION NO. 2019-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA FULFILLING ITS OBLIGATION AS A MEMBER OF THE INDEPENDENT CITIES RISK MANAGEMENT AUTHORITY (ICRMA) TO APPOINT A VOTING DELEGATE TO THE ICRMA BOARD OF DIRECTORS, ELECTING TO APPOINT ALTERNATES TO THE BOARD OF DIRECTORS N ORDER TO ENSURE CONSISTENT ATTENDANCE. THE CITY COUNCIL OF THE CITY OF SANTA ANA, (CITY), HEREBY DOES FIND AND RESOLVE AS FOLLOWS: WHEREAS, The City is a member of ICRMA, ajoint powers authority created pursuant to the provisions of the California Government Code; and WHEREAS, ICRMA provides a Liability Program, Workers' Compensation Program, Property/Auto Physical Damage Program, and other coverage programs for its members; and WHEREAS, The Joint Powers Agreement provides that ICRMA's Board shall be comprised of one representative from each member, and WHEREAS, The ICRMA Bylaws require that ALL members not only appoint a representative to the Board but that the representative attend meetings as a condition of City membership; and WHEREAS, City council of each member may select and change any of its representatives, subject to ICRMA Board approval, by filing a resolution with ICRMA; and WHEREAS Appointees must be 1) elected officials, OR 2) City Managers, OR 3) hold positions with authority equivalent to a Department Director within the Member hierarchy; OR 4) IF APPROVED FOR APPOINTMENT BY THE ICRMA BOARD be dedicated (full time) to risk management for the Member, and WHEREAS, City desires to designate its representative(s) to the ICRMA Board of Directors; WHEREAS, City acknowledges and affirms that its representatives have full authority to bind City; WHEREAS, City acknowledges and affirms that actions properly approved or taken by the Board shall be binding on City regardless of the vote of its designee or her/his presence when the action was taken; WHEREAS, City acknowledges and affirms that each appointee is individually expected to meet all legal obligations of Board service, perform all duties set forth n ICRMA's Goveming Documents, and serve with keen attention to ICRMA's purpose and high professional standards. #610v3 Resolution No. 2019-XXX Page 1 of 3 55E-37 NOW, THEREFORE, BE IT RESOLVED THAT THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES HEREBY FIND, DETERMINE AND DECLARE AS FOLLOWS: Section 1. That City's Executive Director of Human Resources, Steven V. Pham, is hereby appointed to serve as Voting Director on the ICRMA Board of Directors. Section 2. That City's Risk Manager, Deborah K. Scott-Leistra or City's Risk Management Supervisor Samantha Lambert are hereby appointed as first and second alternates respectively, to serve on the ICRMA Board in the absence of the primary member noted in Section 1 above. Section 3. That the individuals designated by this City Council as the City's Voting Director or alternate to serve on the ICRMA Board of Directors are hereby confirmed and designated as the City's delegates for all purposes of representing the City's interests and exercising the authority of the City with respect to all matters delegated to the Board of Directors and signing all amendments as are contemplated to be approved by Board of Directors. Section 4. This Resolution shall take effect immediately upon its adoption by the City Council and if necessary approved by ICRMA, the Clerk of Council shall attest to and certify the vote adopting this Resolution. Section 5. That the Clerk of Council is directed to forward a certified copy of this Resolution to the Executive Director of ICRMA, 18201 Von Karman Avenue, Suite 200, Irvine, California 92612 before it is deemed effective. ADOPTED this _ day of July, 2019. APPROVED AS TO FORM: Mayor Miguel Pulido Sonia R. Carvalho City Attorney By ROAJUA.� k- RW9 r&� Laura A. Rossini Senior Assistant City Attorney #610v3 Resolution No. 2019-XXX Page 2 of 3 55E-38 AYES Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers Vacancy Ward 4 CERTIFICATE OF ATTESTATION AND ORIGINALITY l NORMA MITRE Acting Clerk of the Council do hereby attest to and certify the attached Resolution No 2019-XXX to be the original resolution adopted by the City Council of the City of Santa Ana on J u Iy_, 2019. Date: #610v3 Resolution No. 2019-XXX Page 3 of 3 Norma Mitre Acting Clerk dthe Council City of Santa Ana 55E-39 55E-40 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 2, 2019 TITLE: APPROVE AN APPROPRIATION ADJUSTMENT TOTALING $127,011 IN FEMA/OES DISASTER ASSISTANCE GRANT FUNDS AND AMEND THE FY 2019-20 CAPITAL IMPROVEMENT PROGRAM FOR THE C-5-F CHANNEL REPAIR PROJECT (PROJECT NO. 18-6613) (STRATEGIC PLAN NO. 6, 1C; 1G) CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1$ Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER CITY MAN GER RECOMMENDED ACTION Approve an appropriation adjustment recognizing $99,617 in FEMA Disaster Assistance grant funds and $27,394 in Cal OES Disaster Assistance grant funds for the C-5-17 Channel Repair Project in the Emergency and Health Grants Revenue Account, and appropriating the total amount of $127,011 into the FEMA/OES Disaster Assistance Expenditure Account Approve an amendment to the Fiscal Year 2019-20 Capital Improvement Program adding $127,011 in FEMA and Cal OES Disaster Assistance funding to the C-5-F Channel Repair Project. DISCUSSION The C-5-F Channel is a City -owned flood control facility that begins at Harbor Boulevard, located south of First Street and north of McFadden Avenue, flows westerly toward Newhope Street and continues westerly until terminating at the County -owned C-5 Channel, just west of Heritage Park. In early 2017, the City experienced damage to the C-5-F Channel between Newhope Street and Harbor Boulevard due to a series of heavy storms. Subsequently, the Governor of California proclaimed a state of emergency, and the President of the United States declared a major disaster for this storm event, which made Federal Emergency Management Agency (FEMA) and California Governor's Office of Emergency Services (Cal OES) grant funds available for reimbursement of repairs to damaged facilities. City Council authorized the implementation of emergency repairs to stabilize the C-5-17 Channel that were completed in mid-2017. Since then, City staff has been working with FEMA and Cal OES staff to identify and quantify the losses suffered, and submitted for grant funding. In late 2018, FEMA and Cal OES grant funds totaling $127,011 were obligated for the repair of the damaged C-5-F Channel (Exhibit 1). The Fiscal Year 2019-20 Capital Improvement Program will be amended to include these additional project funds (Exhibit 2). STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 - Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy C (invest 60A-1 Appropriation Adjustment and CIP Amendment for C-5-F Channel Repair Project July 2, 2019 Page 2 resources and technology to extend the service life of existing infrastructure to protect the City's investment and support a high quality of life standard), and Strategy G (develop and implement the City's Capital Improvement Program in coordination with the Community Investment Plan - e.g., neighborhood streets, traffic improvements, etc.). ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review. Categorical Exemption Environmental Review No. ER-2019-48 was filed for the project. FISCAL IMPACT If approved, the appropriation adjustment will recognize funds as follows: $99,617 in FEMA Disaster Assistance grant funds in the Emergency and Health Grants revenue account (No. 12217002-52001) and $27,394 in Cal OES Disaster Assistance grant funds in the Emergency and Health Grants revenue account (No. 12217002-52025), and appropriate the total amount of $127,011 into the FEMA/OES Disaster Assistance expenditure account (No. 12217331-66220). The following table summarizes how these funds will be appropriated and expended to deliver construction of this project: Fiscal Accounting Unit— Fund Description Accounting Unit —Account Amount Year Account # Description REVENUE FY19-20 12217002-52001 Emergency and CDC-CAPOC OCPICH Grant — $99,617 Health Grants Federal Grant -Indirect FY19-20 12217002-52025 Emergency and CDC-CAPOC OCPICH Grant — $27,394 Health Grants State Grants -Direct TOTAL APPROPRIATION $127,011 EXPENDITURE FY19-20 12217331-66220 Emergency and FEMA/OES Disaster $127,011 Health Grants Assistance — Improvements Other Than Building APPROVED AS TO FUNDS & ACCOUNTS: 7 Fuad S. eiss, PE, PLS K thryn D wo ns, CPA Executive irector Executive Director Sv ^ Public Wor Agency Finance and Management Services Agency FSS/TC/RA Exhibits: 1. Funding Obligation Letter 2. Amended FY 2019-20 CIP Project Sheet 60A-2 EDMUND G. BROWN 1R. GOVERNOR August 8, 2018 Gerardo Monet City Manager Santa Ana, City of 20 Civic Center Plaza, M-17 Santa Ana, California 92702 Subject: Dear Mr. Mouet: Cat 4ES OOVERNOR'S OFFICE OF EMERGENCY SERVICES EXHIBIT 1 MARK S. GHILARDUCCI DIRECCOR Nnn A PROD ## FIPS #P UU� A C p M G DATE FILED:_ Sr! 5l Ale Notification of Obligation. Public Assistance and CDAA Grant Programs FEMA-4305-DR-CA, Cal OES ID: 059-69000 Obligation The California Governor's Office of Emergency Services has attached the Grant Notification Summary and the Project Application Summary for Federal Package #771, and the Exhibit C for State Supplement #3. Please see the table below for further obligation details. Obligation Details Package/Supplement Obligation Amount Cumulative Amount Obligated Federal -Public Assistance $99,617 $429,530 State -California Disaster Assistance Act (CDAA) $27,394 $117,674 Total $127,011 $547,204 Payment - For this disaster, funds will be paid in accordance with the following disbursement Process table: Project Status Federal Funds Disbursement Process State Funds Disbursement Process Small Projects Automatic advance of federal share and Automatic advance of state share and less than 100% administrative allowance administrative allowance. Retention complete held until 100% complete Small Projects Automatic payment of federal share and Automatic payment of state share and 100% complete administrative allowance administrative allowance Large Projects Advance administrative allowance only. Advance administrative allowance only. less than 100% All other funds (less retention) will be paid on All other funds (less retention) will be complete a reimbursement basis paid on a reimbursement basis Large Projects Automatic payment of federal share and Automatic payment of state share and 100% complete administrative allowance for enure project administrative allowance 3650 SCHRIEVER AVENUE e MATHER, CA 95655 GRANTS PROCESSING UNIT (916) 845-8110 a (916) 636-3880 FAX 60A-3 Mr. Monet Page Two August 8, 2018 Payment Process - Continued Required Documents For this particular Package/Supplement, payment will be automatically disbursed as follows: Payment Details Amount Automatically Paid Federal -Public Assistance $0 State-CDAA $2,490 Total $2,490 For those large projects with a work completion of less than 100 percent, a Large Project Reimbursement Request form has also been included with this ' Package/Supplement. Federal and State funds will be issued separately by the State Controller's Office. Please be advised that state warrants have a one-year period of negotiability. In order to receive funds, the following forms must be on file with our office: .Form Received by Cal OES? Project Application.for Federal Assistance (OES 89) Yes Designation of Applicants Agent Resolution (OES 130) Yes Payee Data Record -(STD. 204) - Private non profit organizations only N/A Program As a requirement of this program, a special fund for the deposit of the state warrant Requirements- must be established upon receipt of any advance funding. Under no circumstances General are expenditures to be made for any damages other than those approved in this application. Any funds received in excess of current needs or approved amounts, or those found owed as a result of an audit or final inspection, must be refunded to the State within 30 days upon receipt of an invoice from the California Governor's Office of Emergency Services. Federal As a recipient of federal funds, your organization is subject to the Federal Single Program Audit Act of 1984 and the Single Audit Act Amendments of 1996. Part of your report Audit requirements under the Act and Amendments include the preparation of a Schedule of Requirements Expenditures of Federal awards. The following information is provided to assist in the accurate completion of the Schedule: 60A-4 Mr.. Monet Page Three August 8, 2018 Federal Program Audit Requirements - Continued Federal Grantor Agency Pass -Through Agency Program Title Federal CFDA Number Pass-Tbrough Grantor's Number U.S. Department of Homeland Security -Federal Emergency Management Agency California Governor's Office of Emergency Services Public Assistance Grants 97.036 FEMA4305-DR-CA, Cal OES ID: 059-69000 Appeal Please compare the enclosed obligated Project Workshect(s) (PW) with your copy of Process the original PW(s). In accordance with Title 44 Code of Federal Regulations, Section 206.206(a), if you disagree with FEMA's obligated amount(s) or scope of work for the Version 0 PW(s) addressed in this Package, you must appeal FEMA's determination within 60 days from receipt of this letter.. The appeal must contain documented justification supporting your position and be addressed to the Assistant Director of Recovery. Please subnut your letter of appeal to the following mailing address: California Governor's Office of Emergency Services Recovery Division, Public Assistance 3650 Schriever Avenue Mather, California 95655 Please note, for all other PW versions, you will receive notification under separate cover from Cal OES's Public Assistance Section. Questions and For appeal assistance, contact Public Assistance at (916) 845-8200. For assistance regarding Inquiries this letter, contact the Grants Processing Unifs main line at (916)845-9110. GRANTS PROCESSING UNIT Enclosures c: Disaster Recovery Manager, FEMA Applicant's Federal File Applicant's State File 60A-5 C9 • N o m N • 1 M § § j [ ) ] ; 60A- STATE OF CALIFORNIA EDMUND G. BROWN JR., Governor ��� ��� Cal OES ID: 059-69000 Supplement Number: GOVERNOR'S OFFICE OFF EMERGE ME EMfO-N OENCY SERVICES D15ASC@r Number:Number:4305 PROJECT APPLICATION APPROVAL CALIFORNIA DISASTER ASSISTANCE ACT PROGRAM 1. SUBGRANTEE'S NAME AND ADDRESS Santa Ana, City of 20 Civic Center Plaza, M-17 Santa Ana; CA• 92702 3. PROJECT SUMMARY CATEGORY OF WORK A - DEBRIS REMOVAL B - EMERGENCY PROTECTIVE MEASURES C - ROAD SYSTEMS REPAIRS D - DIKES, LEVEES & FLOOD CONTROL WORKS E - PUBLIC BUILDINGS F -.UTILITIES G - OTHER H - FIRE SUPPRESSION . Z - FEDERAL ADMINISRATIVE COSTS ADMINISTRATIVE ALLOWANCE TOTAL THIS SUPPLEMENT TOTAL NOW APPROVED FOR APPLICATION 2. AUTHORIZED AGENT Gerardo Mouet City Manager AMOUNT APPROVED BY STATE $0 $0 $0 $24,904 $0 $0 $0 $0 $0 $2,490 $27,394 $117,674 4. Cal OES APPROVAL (Approved in accordance with attached Exhibit "C".) SIGNATURE L ' ✓�� DATE APPROVED TITLE: MANAGER, GRANTS PROCESSING YJNIj July 30, 2018 CDAA Fonn In (9/97) OFS 126A 60A-8 07/30/18 CDAA Q' '.igation Summary (Exhii .t IFC") page: 1 CDAA No.: 059-69000 Applicant: Santa Ana, City of FEMA-4305-DR-CA, FIPS# 059-69000 St.Supplement Date 07/25/18 St.Sup.# D=.Cat. CDAA DSR#/PW# FEMA DSR#/PW# Total Obligation 3 D 4 580-0 .24,904 Desc• Subtotal for Category D 24,904 Subtotal for Supplement No. 3 24,904 Administrative Allowance (10%) 2,490 . Total Supplement No. 3 27,394 Sup.3 Eligible Amount Sup.3 Administrative Allowance(10%) Total Sup.3 Application Eligible Amount Application Administrative Allowance(10%) Total Application 24,904 2,490 27,394 106,977 10,697 117,674 60A-9 EMMIE I P.5 Report Page I of I Report Generated on: 07/26/2018 15:42 Disaster Number: 4305 Applicants: "059-69000-00- Report Format: Detail Date: 07/26/2018 15:42 Federal Emergency Management Agency Public Assistance Grant Summary (P.5) Disaster: FEMA-4305-DR-CA Number of Records: 4 t ,01- (01- DD- DL Applicant ID: 059.69000.00 Applicant: SANTA ANA • Project j Date Cost Amount i Federal j Subgrantee Bundle # Approved PW N 1 Cat Share ($) Share ($) l Admin ($) PA-09-CA-4305-PW-00377(103)i 2017 PA-09-CA•4305•PW00377(0)' B N ,109,245.72 81,934.29 0,001 Applicant Total in Bundle PA•09•CA•4305-PW-00377(103)(1 PW) •109,245.721 81,934.29; 0.00; PA-09-CA-4305-PW00297(341)' 01.26- 2018 PA-09-CA-4305-PW-00247(0), A N 4,058.141 3,449.421 0.001 Applicant Total in Bundle PA•09-CA-4305•PW00247(341)(1 PW) 4,058.141 3,449.42, 0.00' PA•09-CA•4305-PW00879(708)1 018 PA•09-CA•4305-PW-00879(0)1 D 1 N Applicant Total in Bundle PA-09-CA-4305•PW-00879(708)(I PW) �`K., PA•09•CA•4305•PW00580(771)• 0 X018 PA-09-CA-4305-PW-00580(0)1 D N Applicant Total in Bundle PA-09-CA-4305-13W-00580(771) APPLICANT TOTAL_ 059-69000.00 (4 PWs) TOTAL for report: (4 PWs) 326,040. Total Approved 81,934.291 01,934.29! 3,449.42! 3,449.42; 0.001 244,530.57 326,040.76� 244, 530.571 _ 0.00' 244,530.57 132,822.711 99,617.03' 0.00• 99,617.03 132.822.711 99,617.031 0.00; 99,617.03 572,167.33,1429,531.31 i- - _- 0.00 429,531.31 .1572,167.33 429,531.31,_ - 0.00-429,531.31 RECEIVED JUL % US 23i13 i3l�j GRANTS PROCESSING UNIT https://isource.fema.gov/emmie/search.do?grafifWIA&grantProgram=PA&disaster... 7/26/2018 EMMIR 1 P.2 Report Page 1 of 2 Report Generated on: 07/26n018 15:42 Data Captured As Of: 07/2612018 15:42 Disaster Number: 4305 Bundle: PA-09-CA-4305-PW-00580 Applicant: 059.69000-00 I Capture Date: 07/2612( 1 Number of R!9,r-ds:.-1... Applicant ID: 059-4 etnbsp;Bundle # : PA-1 PW-00580(T PA-09-CA-4305-PW-00581 ... ......... Facility Number; Facility Name: Location: Scope of Work: I PW Amount Ellgibli a ;Federal Share IS 15:42 Federal Emergency Management Agency Project Application Grant Report (P.2) Disaster: FEMA-4305-DR-CA 9000-00 19-CA-4305- Applicant: SANTA ANA Cat Cost Share n Date Approved Projected Completion )(0) 09-16-2018 132,822.711 ORSADSO - LOP # I Flood Channel South Harbor Blvd. This PW Addresses LOP # I Work To Be Completed; This scope of work and cost estimate is necessary to return the Applicant facility back to pre - disaster design and function. The Applicant will utilize their Force Account to complete the following work: Remove 124.91 CY. (14 ft. L x 10 ft. W x 0.33 ft. D / 27 - 1.71 CY. x 73 panels) unreinforced concrete panels. Haut 187.37 Tons (124,91 CY.X 1.5 Factor) Concrete Debris to local Landfill Forms 10220 SF (14 ft. L x 10 ft. W - 140 SF X 37 panels) Concrete in place. Place 124.91 CY. Heavy weight concrete, Ready Mix (delivered). :Notes: Damage to the earthen base material displaced under 73 damaged concrete panels Is unknown at this time. This Issue might be accounted at Close Out. Landfill Tipping Fees were based on Orange County Tipping Fee Rate, (See Attachment). Estimated work was based on RSMeans Heavy Construction Cost Book 2017 Edition. 'SOW Ends SCOPE NOTES: SEE ATTACHED s $ Subgrantee Admin Exp. Total 132,822.71 );J3 99,617.03 https://'isource.fema.govfemmie/search.do?grM#a—moLIA&grantPrograni--PA&disaster... 7/26/2018 EMMIE I P.2 Report Page 2 of 2 htVs;//isource.fema.gov/emmie/search.do?gra'ka&grantProgram=PA&disaster....7/26/2018 Federal Emergency Manageme( ',gency B-Grants Page 1 of 16 PA-09-CA-4305-PW-00580(0) P Applicant Name: Application Title: SANTA ANA ORSAD50 -LOP # 1 Flood Channel Period of Performance Start: Period of Performance End: 03-16.2017 09-16-2018 Subgrant Application -Entire Application Application Title: ORSAD50 - LOP # 1 Flood Channel Application Number: PA-o9-CA4305-Pw-00660(0) Application Type: Subgrant Application (P" Prefix, First Name Middle Initial Last Name Title Agency/Organization Name Address 1 Address 2 City State Zip Phone Email Preparer Information CATHERINE 80GANEY PDMG Federal Emergency Management Agency Region IX 75 N FAIR OAKS AVE PASADENA CA 91103 000-000-0000 catherine.boganey@fema.dhs.gov Is the application preparer the Point of Contact? No Prefix First Name Middle Initial Last Name Title Agency/Organizaticn Address 1 Address 2 City State Point of Contact Information Gerardo Mouet Acting City Manager SANTA ANA 20 Civic Center Drive Santa Ana CA https://isource.fema.gov/emmie/viewApplicat6A.j&7it-3avigatablc&pageName=&vo.i... 7/26/2018 Vederal Emergency Manageme( -gency E-Grants Page 2 of 16 ZIP 92701 Phone 714-647-5200 Fax Email gmouet@santa-ana.org Alternate Point of Contact Information Prefix First Name Steve Middle Initial Last Name Rhyner Title Emergency Operations Coordinator . Agency/Organization Address 1 Address 2 city State ZIP Phone 714-647-6315 Fax Email srhyner@santa-ana.org Project Description Disaster Number: 4305 Pre -Application Number: PA-09-CA-4305-RPA-0092 ' Applicant ID: 059-69000-00 Applicant Name: SANTA ANA Subdivision: Project Number: ORSAD50 Standard Project Number/Title: 499 - Water Control Facilities Please Indicate the Project Type: Neither Alternate nor Improved Application Title: ORSAD50 - LOP # 1 Flood Channel Category: D.WATER CONTROL FACILITIES Percentage Work Completed? 0.0 % As of Date: 05-30-2017 Comments Attachments Damage Facilities (Part 1 of 2) Facility Site Number Facility Name Address County City State ZIP Previously Action Damaged? https://isource.fema.gov/emmie/viewApplicatiRW* kfpol4vigatable&pageName=&vo.1... 7/26/2018 Federal Emergency Manageme( .gency E-Grants Page 3 of 16 ORSAD50 - LOP # 1 Flood Channel Orange CA No Faculty Name: ORSAD50 - LOP # 1 Flood Channel Address 1: Address 2: County: Orange City: State: CA ZIP: Was this site previously damaged? No Percentage Work -Completed? 0.00 % PA-09-CA4305-PW-00580(0): South Harbor Blvd. Location: Damage Description and PA-09-CA-4305-PW-00580(0): Dimensions: During the Incident period of January 18 - 23, 2017, City of Santa Ana experienced severe winter storms, flooding and mudslides. The 2,811 foot concrete trapezoidal storm water/flood control channel is comprised of side to side 10ft (W) x 14ft (L) x 0.33ft (D) unreinforced side concrete panels connected to a concrete floor. High velocity water intruded behind the angled side concrete panels intermittently along the north and south sides of the channel along approximately 800 feet of this engineered structure. As a result of this water Intrusion, these panels were displaced (settled or expanded) causing cracks and a non -linear smooth flowing surface. Specifically, the damages were: Site 1: Flood Channel start GPS 33.741666-117.92222 to end GPS 33.740380-117.928653 1. 73 - Unreinforced concrete panels damaged that measure approximately 14ft x 10ft x 0.333ft. 14ft x 10ft = 140sf x 73 = 10,220sf /9=1135.5sy 2. Earthenbase material displaced under 73 damaged concrete panels measuring approximately 14ft (L) x 10ft (W) x 0.33ft (D)127 = 1.7cy x 73 panels = 125cy Project Notes: 1. See the attached spreadsheet for detailed Calculations of damage for each panel location and a cross section sketch of channel. 2. See the attached document that clarifies the land ownership of this Food control channel as the City of Santa Ana. 3. See the attached e-mail messages addressing the jurisdiction of this flood control channel. ,Based on the Applicants City Engineer https://isotirce.fema,gov/dmmie/viewApplicaAOAtypliavigatabld&pageName=&vo.i... 7/26/2018 Federal Emergency Manageme> .gency E-Grants Page 4 of 16 responses, this PW falls under the PA Assistance guidelines. USACE does not have Jurisdiction of this channel. PA-09-CA-4305-P W-00580(0): . This PW Addresses LOP # 1 Work To Be Completed: This scope of work and cost estimate is necessary to return the Applicant facility back to pre -disaster design and function. The Applicant will utilize their Force Account to complete the following work: Remove 124.91 CY. -(14 ft. L x 10 ft. W x 0.33 ft. 0127 = 1.71 CY. x 73 panels) unreinforced concrete panels. Haul 187.37 Tons (124.91 CY.X 1.5 Factor) Concrete Debris to local Landfill Farms 10220 SF (14 ft. L x 10 ft. W = 140 SF X 37 panels) Concrete in place. Scope of Work: Place 124.91 CY. Heavy weight concrete, Ready Mix (delivered). Notes: Damage to the earthen base material displaced under 73 damaged concrete panelsis unknown at this time. This Issue might be accounted at Close Out. Landfill Tipping Fees were based on Orange County Tipping Fee Rate. (See Attachment). Estimated work was based on RSMeans Heavy Construction Cost Book 2017 Edition. SOW Ends. SCOPE NOTES: SEE ATTACHED Hazard Mitigation Proposal Is effective mitigation feasible on this site? No If you answered Yes to the above question, the next question is required Will mitigation be performed on this site? INo If you answered Yes to the above question, the next question is required Do you wish to attach a Hazard Mitigation Proposal? No If you answered Yes to the above question, the next two questions are required https://isource.fema.gov/emmie/ViewApplicatr6Dii nl=6avigatable&pageName=&vo,i.., . 7/26/2018 Federal Emergency Managemer( gency E-Grants Page.5 of 16 Please provide the Scope of Work for the estimate: (maximum 4000 characters) Would you like to add the Hazard Mitigation No Proposal as a cost line Item to the project cost? GIS Coordinates Project Location Latitude Longitude South Harbor Blvd Site 1: Flood 33.741666 -117.92222 Channel 33.74038 -117.92865 Special Considerations 1. Does the damaged facility or item of work have insurance coverage and/or is it an Yes insurable risk (e.g„ buildings, equipment, vehicles, etc)? If you would like to make any comments, please enter them below. (maximum 4000 characters) see attached insurance policy 2. Is the damaged facility located within a floodplain or coastal high hazard area and/or does No It have an Impact on a floodplain or wetland? 3. Is the damaged facility or Item of work located within or adjacent to a Coastal Barrier No Resource System Unit or an Otherwise Protected Area? 4, Will the proposed facility repairs/reconstructlon change the pre -disaster conditions (e.g., No footprint, material, location, capacity, use of function)? 5. Does the applicant have a hazard mitigation proposal or would the applicant like technical No assistance for a hazard mitigation proposal? 6. Is the damaged facility on the National Register of Historic Places or the state historic No listing? Is itolder than 50 years? Are there more, similar buildings near the site? 7. Are there any pristine or undisturbed areas on, or near, the project site? Are there large No tracts of forestland? 8. Are there any hazardous materials at or adjacent to the damaged facility and/or item of No work? 9. Are there any other environmental or controversial issues associated with the damaged No facility and/or item of work? Attachments For Category C, D, E, F, and G Projects only Is effective mitigation feasible on this project? No If you answered Yes to the above question, the next question is required Will mitigation be performed on any sites in this project? No If you answered Yes to the above question., the next question is required Do you wish to attach a Hazard Mitigation Proposal? No If you answered Yes to the above question, the next two questions are required Please provide the Scope of Work for the estimate: Would you like to add the Hazard Mitigation NO Proposal as a cost line item to the project cost? I 47 httos://isource.fema.eov/emmie/viewAnnlica avieatable&naeeName=&vo.i,,. 7/26/201 j Federal Emergency Manageraq gency E-Grants Page 6 of 16 Attachments Cost Estimate Is this Project Worksheet for (Preferred) Repair Sequence Code Material and/or Unit Unit of Unit Price Subgrant Budget Type Estloma7te Description QuantityMeasure Class *** Version 0 *** Work To Be Completed 1 9999 RS MEAN 1 LS Work To Be $ 132,822.71 ESTIMATE 132 822 7$ Completed Total Cost; $ 132,822.71 Insurance Adjustments (Deductibles, Proceeds and Settlements) - 5900/5901 Sequence Code Material and/or Unit Unit of Unit Subgrant Budget Type Cost Action Description Quantity Measure Price Class Estimate Total Cost: $ 0.00 ,omments %ttachments Total Cost Estimate: $ 132,822.71 (Preferred Estimate Type + Insurance Adjuslments) Existing Insurance Information Insurance policy No. Bldg/Property Content Insurance Deductible Years Type Amount Amount Amount Amount .Required General APIP $ $ $ 5,000.00 0 017471689/03 1,000, 000, 000.00 1,000,000,000.00 Comments %lliant Property Insurance Program policy In the RPA attachments %ftechments Comments and Attachments Name of Section Comment Attachment Insurance Information https://isource.fema.gov/emmie/viewApplicatAiyplSavigatable&pageName=&vo.i... 7/26/2018 Federal Emergency Manageme( '.gency E-Grants Page 7 of 16 Comments and Attachments Alliant Property Insurance Program policy in the RPA attachments Form 90-91 Based on the Information provided, Cal OES concurs with FEMA's determination regarding the scope of work and costs described in the Application Level subgrant as written. Any change in the scope of work, if applicable, must be submitted to the Cal OES Public Assistance Officer and be approved before work begins. DThorpe 7112/18 ORSAD50 COST Spreadsheet.Ddf (10-25-2017)' ORSAD50-SOW.odf (10-25-2017) ORSAD60 - Slte 1 SKETCH.pdf (10-25-2017) ORSAD50 -Scope Notes.Ddf (10- 25-2017) ORSAD50 - PHOTOS.pdf (10.25- 2017) ORSAD50 - PA Category D Channels and Waterways Report 031016.odf (10-25-2017) ORSAD50 - MAP.odf (10-2572017) ORSAD50 - Jurisdiction.pdf- (10-25- 2017) ORSAD50 - First -Harbor Channel Land Ownership - 1.pdf (10-25- 2017) ORSAD50 - First -Harbor Channel Land Ownership - 2.ndf (10-25-' 2017) ORSAD50 - Drainage Channel Spreadsheet.odf (10-25-2017) ORSAD50 - DDD .Ddf (10-25-2017) ORSAD50- CEF soreadsheet.xis2.1.xlsm cleared.ndf (10-25-2017) ORSAD50 - NFHLMaD.pdf (10-25- 2017) #.580 - ORSAD50 LOP 1 Flood Channel (Signed 90-91).Ddf (01-19- 2018) https;//isource.fema.g6v/emmie/viewApplica6 tg�ayigatable&pageName=&vo.i.., 7/26/2018 Federal Emergency Managemel( .gency E-Grants Page 8 of 16 Bundle Reference # (Amendment #) Date Awarded IPA-09-CA-4305-PW-00580(771) 07-25-2018 Subgrant Application - FEMA Form 90-91 Note: The Effective Cost Share for this application Is 75% FEDERAL EMERGENCY MANAGEMENT AGENCY PROJECT WORKSHEET DISASTER PROJECT NO. - PAID DATE CATEGORY ORSAD50 NO. 10-26.2017 D FEMA 4305 - DR -CA 059- ' 69000- APPLICANT: SANTA ANA 00 WORK COMPLETE AS OF: 05-30.2017 : 0 % She 1 of 1 DAMAGED FACILITY: COUNTY: Orange ORSAD50 - LOP # 1 Flood Channel LOCATION: LATITUDE: LONGITUDE: 33.74038 -117.92865 PA-09-CA-4305-PW-00580(o): 33.741666 -117.92222 South Harbor Blvd. Current Version: DAMAGE. DESCRIPTION AND DIMENSIONS: PA-09-CA-4305-PW-00580(0): ' During the incident period of January 18 - 23, 2017, City of Santa Ana experienced severe winter storms, flooding and mudslides. The 2,811 foot concrete trapezoidal storm water/flood control channel is comprised of side to side 10ft (W) x 14fl (L) x 0.3311 (D) unrelnforced side concrete panels connected to a concrete floor. High velocity water Intruded behind the angled side concrete panels Intermhlenity along the north and south sides of the channel along approximately 800 feet of this engineered structure. As a result of this water Intrusion, these panels were displaced (settled or expanded) causing cracks and a non -linear smooth flowing surface. Specifically. the damages were: Site 1: Flood Channel start GPS 33.741666-117.92222 to end GPS 33.740380-117.928653 1. 73 - Unreinforced concrete panels damaged that measure approximately 14ft x loft x 0.333ft. 141ft x 10ft = 140sf x 73 = 10,220sf / 9 = 1135.5sy 2. Earthen bass material displaced under 73 damaged concrete panels measuring approximately 14ft (L) x 1 Oft (W) x 0.33ft (D)/27 =1.7cy x 73 panels = 125cy Project Notes: 1. Sea the attached spreadsheet for detailed calculations of damage for each panel location and a cross section sketch of channel. 2. See the attached document that clarifies the land ownership of this flood control channel as the City of Santa Ana. 3. See the attached e-mail messages addressing the jurisdiction of lhis'flood control channel. Based on the Applicant's City Engineer responses, this PIN falls under the PA Assistance guidelines. USACE does not have jurisdiction of this channel. Current Version: SCOPE OF WORK: PA-09-CA-4305-PW-00580(0): This PW Addresses LOP # j Work To Be Completed: This scope of work and cost estimate Is necessary to return the Applicant facility back to pre -disaster design and function. - The Applicant will utilize their Force Account to complete the following work: Remove 124.91 CY. (14 R. L x 10 ft. W x 0.33 ft. D 127 = 1.71 CY, x 73 panels) unrelnforced concrete panels. https://isource,fema.gov/emmie/viewApplicat A7i Qavigatable&pageName=&vo.i... 7/26/2018 Fbderal Emergency Managemet gency E-Grants Page 9 of 16 Haul 197.37 Tons (124.91 CY,X 1.6 Factor) Concrete Debris to local Landfill Forms 10220 SF (14 ft. L x 10 ft. W = 140 SF X 37 panels) Concrete In place. Place 124.91 CY. Heavy weight concrete, Ready Mix (delivered). Notes: Damage to the earthen base material displaced under 73 damaged concrete panels Is unknown at this time. This Issue might be accounted at Close Out. Land011 Tipping Fees were based on Orange County Tipping Fee Rate. (See Attachment). Estimated work was based on RSMeans Heavy Construction Cost Book 2017 Edition. SOW Ends. SCOPE NOTES: SEE ATTACHED Current Version: Does the Scope of Work change the pre -disaster Specle[Considerations included? ®Yes []No conditions at the site? ❑ Yes R No Hazard Mitigation proposal Included? ❑ Yes R]No Is there Insurance coverage on this facillty? ©Yes ❑ No PROJECT COST ITEM CODE NARRATIVE QUANTITY/UNIT UNIT PRICE COST " Version 0 Work To Be Completed 1 9999 RS MEANS ESTIMATE 1/LS $ 132,822.71 $ 132,822.71 TOTAL $ 132,822.71 COST PREPARED BY CATHERINE TITLE PDMG SIGNATURE BOGANEY APPLICANT REP. Gerardo Mouat TITLE Acting City Manager SIGNATURE SANTA ANA : PA-09-CA-4305-PW-00680 Conditions Information . Review Nam.ej Condition Type Condition Name Description Monitored Status Final Review Other (EHP) Executive Order The Sub -Grantee is Yes Approved 11990 - Wetlands responsible for proper identification of wetlands. Under E011990 - Protection of Wetlands. The Sub -Grantee is responsible for coordinating with and obtaining any required Section 404 Permit(s) from the United States Army Corps of Engineers . (USACE) priorto Initiating work. The Sub -Grantee shall comply with all https://isource.fema.gov/emmie/YiewApplicaSOlib7l ;Z= tavigatable&pageName=&vo.i... 7/26/2018 Federal Emergency Manageme( \gency E-Grants Page 10 of 16 SANTA ANA : PA-09-CA-4305-PW-00580 Conditions Information conditions of the required permit. All coordination pertaining to these activities shall be documented and copies forwarded to the California Office of Emergency Services and the FEMA Public Assistance Program as part of the permanent project files. If ground disturbing activities occur during construction, applicant will monitor ground disturbance Final Review Other (EHP) Standard Condition #3 and if any potential archeological resources are No Approved discovered, will immediately cease construction in that area and notify the State and FEMA. This review does not address all federal, state and local requirements. Acceptance of federal funding requires recipient to Final Review Other (EHP) Standard comply with all federal, No Approved' Condition #2 state and local laws. Failure to obtain all appropriate federal, state and local environmental permits and clearances may jeopardize federal funding. Any change to the approved scope of work will Final Review Other (EHP) Standard require re-evaluation for No Approved Condition #1 compliance with NEPA and other Laws and Executive Orders. Final Review Other (EHP) Resource In the event that petroleum Yes Approved Conservation and products, hazardous Recovery Act, aka materials or toxic waste; or Solid Waste equipment, debris or Disposal Act materials contaminated with (RCRA) these products have been discovered during implementation of the Undertaking, Documentation will be provided to the State and FEMA, showing that all materials and Items shall be handled, managed, transported and disposed in https://isource.fema.gov/enimie/viewApplicati6Og4VQZvigatable&pageName=&vo.i •.. 7/26/2018 Federal Emergency Managemei gency E-Grants Page 11 of 16 SANTA ANA : PA-09-CA-4306-PW-00580 Conditions Information . accordance to the requirements and to the satisfaction of the governing Local, State and Federal agencies. This project is to take place in or near waters of the USA, the Sub -Grantee is required to contact the US Army Corps of Engineers (USAGE) to determine and obtain documentation on whether project activities require a USACE permit under Section 404 of the Final Review Other (EHP) Clean Water Act Clean Clean Water Act (CWA), All documentation pertaining to Yes Approved permits, must be attached to the Subgrant Application. If required, it is the responsibility of the Sub - Grantee to obtain or otherwise qualify for a 404 . . permit. Noncompliance with this requirement may jeopardize receipt of Federal financial assistance: The Subgranteels responsible for complying with all other applicable subparts of the CAA. Failure to comply with these Final. Review Other (EHP) Clean Air Act (CAA) condition may jeopardize federal assistance including No Approved funding. Any change to the approved scope of work will require re-evaluation for compliance with the Clean Alr Act. Final Review Other (EHP) Executive Order The Sub -Grantee shall Yes Approved 11990 - Wetlands, ensure that best management practices are' implemented to prevent erosion and sedimentation to surrounding, nearby or adjacent wetlands. This includes equipment storage and staging of construction to prevent erosion and sedimentation to ensure that wetlands are not adversely impacted.per the Clean Water Act and Executive Order 11990. https://isource.fema.gov/emmie/viewApplicafi AAtygZavigatable&pageName=&vo.i... 7/26/2018 Vederal Emergency Manageme>; gency E-Grants Page 12 of 16 SANTA ANA : PA-09-CA-4305-PW-00580 Conditions Information In the event that petroleum products, hazardous materials or toxic waste; or equipment, debris or materials contaminated with these products have been discovered during Resource Implementation of the Conservation and .Undertaking, EHP Review Other (EHP) Recovery Act, aka Documentation will be Yes Recommended Solid Waste provided to the State and Disposal Act FEMA, showing that all (RCRA) materials and Items shall be handled, managed, transported and disposed in accordance to the requirements and to the satisfaction of the governing Local, State and Federal agencies. If ground disturbing activities occur during construction, applicant will monitor ground disturbance EHP Review Other (EHP) Standard and if any potential No Recommended Condition #3 archeological resources are. discovered, will immediately cease construction in that area and notify the State and FEMA. This review does not address all federal, state and local requirements. Acceptance of federal funding requires recipient to EHP Review Other (EHP) Standard comply with all federal, No Recommended Condition #2 state and local laws. Failure to obtain all appropriate federal, state and local environmental permits and clearances may jeopardize federal funding. Any change to the approved scope of work will EHP Review Other (EHP) Standard require re-evaluation for No Recommended Condition #1 compliance with NEPA and other Laws and Executive Orders. EHP Review Other (EHP) Executive Order The Sub -Grantee is Yes Recommended .11990 - Wetlands responsible for proper identification of wetlands. Under E011990 - Protection of Wetlands, The Sub -Grantee Is responsible https://isource.fema,gov/emmie/viewApplicatiiilAA9124avigatable&pageName=&vo.i... 7/26/2018 Federal Emergency Managemer agency E-Grants Page 13 of 16 SANTA ANA : PA-08•CA4305-PW-00580 Conditions Information for coordinating with -and obtaining any required Section 404 Permit(s) from the United States Army Corps of Engineers (USACE) prior to initiating work. The Sub -Grantee shall comply with all conditions of the required permit. All coordination pertaining to these activities shall be documented and copies forwarded to the California Office of Emergency Services and the FEMA Public Assistance Program as part of the permanent project files. This project is to take place in or near waters of the USA, the Sufi -Grantee is required to contact the US Army Corps of Engineers (USAGE) to determine and obtain documentation on whether project activities require a USACE permit under Section 404 of the EHP Review Other (EHP) Clean Water Act Cl Clean(CWA Clean Water Act (CWA). All documentation pertaining to Yes Recommended permits, must be attached to the Subgrant Application. If required, it is the responsibility of the Sub- Grantee to obtain or otherwise qualify for a 404 permit. Noncompliance with this requirement may jeopardize receipt of Federal financial assistance. The Subgrantee is responsible for complying with all other applicable . subparts of the CAA. Failure to comply with these EHPReview Other(EHP) Clean Air Act (CAA) condition may jeopardize federal assistance including No Recommended funding. Any change to the approved scope of work will • require re-evaluatlon for compliance with the Clean Air Act. EHP Review Other (EHP) 1. Yes Recommended https://isource.fema.gov/emmie/ViewApplical%VAo navigatable&pageName=&vo.i... 7/26/2018 Federal Emergency Manageme( gency E-Grants Page 14 of 16 SANTA ANA : PA-09-CA-4305-PW-00580 Conditions Information Executive Order The Sub -Grantee shall 11990 - Wetlands ensure that best management practices are Implemented to prevent erosion and sedimentation to surrounding, nearby or adjacent wetlands. This includes equipment storage and staging of construction to prevent erosion and sedimentation to ensure that wetlands are not adversely impacted per the Clean Water Act and Executive Order 11990. As detailed in FEMA Recovery Policy FP 206-- 086-1, Part 1(A)(2), the requirement to obtain and maintain insurance as a condition of receiving Public No Insurance Assistance funding from Insurance Program Terms Obtain and FEMA applies to buildings, No Recommended Review (Grant Specific) Maintain Condition contents in a building, vehicles, and equipment.. The items described in this SubgrantApplication.do not fall in one of these categories. There is no Insurance purchase requirement. Internal Comments No. Queue User Date/Time Reviewer Comments Based on the information provided, Cal OES concurs with 07-12-2018 FEMA's determination regarding the scope of work and costs 6 Grantee Thorpe Daniel 05:59 PM described In the subgrant as written. Any change in the scope Review GMT of work, if applicable, must be submitted to the Cal OES Public Assistance Officer and be approved before work begins. DThorpe 7/12M8 5 EHP BENZ EMILY 07-06-2018 CAT D, 0% complete, City of Santa Ana, Orange County, CA. Review 04:29 PM (Site 1: Flood Channel, 33.741666-117.92222 to 33.74038D GMT -117.928653). Utilize force account labor to remove and replace 124.91 CY of unreinforced concrete panels, 10,220 SF of concrete in place, and remove 187.37 Tons of concrete debris was sent to a local Orange County landfill. No hazard mitigation is proposed. This project has been determined to be Statutorily Excluded from NEPA review in accordance with Section 316 of the Stafford Act. Particular attention should be given to the project conditions before and during project implementation.. Failure to comply with these conditions may jeopardize federal assistance https:llisource.fema.gov/emmie/viewAppIicati fiOJ4Vp2gvigatable&pageName=&vo,i,.. 7/26/2018 ", Vederal Emergency Manageme> gency E-Grants Page 15 of 16 Internal Comments No. Queue User Date(rlme Reviewer Comments including funding. - tnewson - 0710512018 22:31:27 GMT The project is located In Orange County that is within a nonattainment area for PM-2.5 (1997. 2006, 2012) and 8-Hr Ozone (2008) according to the U.S. Environmental_ Protection Agency (USEPA): https://www3.epa.gov/airquality/greenbook/anayo—ca.htmi updated June 30, 2018, Based on the scope of work, the potential emissions from project activities are clearly below de minimis thresholds for the General Conformity Rule. Thus, the project is exempt from a conformity. determination. See condition. -tnewson - 07/05/2018 22:37:00 GMT The scope of work associated with this Undertaking has the potential to affect waters of the USA. In accordance with a Memorandum of Understanding signed Feb 11th, 2015, FEMA and the U.S. Army Corps of Engineers (USACE) established that-FEMA will be the Lead Federal Agency for Clean Water Act (CWA) compliance, as described in the attached documentation. See attachment and Condition. - tnewson - 07/05/2018 22:33:19 GMT Per the U.S. Fish and Wildlife Service Wetland Mapper viewed. on 7/5/18, this project Is located within a designated wetland. The proposed action is not likely to result in any potential direct Impacts that will adversely affect the natural values and function of wetlands. Initial Disaster Public Notice was published on March 16, 2017. See Conditions. - tnewson - 07/06/2018 22:39:03 GMT The proposed project will not destroy or adversely modify suitable habitat and will not affect any other listed or proposed species under the jurisdiction of the USFWS. It is therefore determined the proposed project would have 6No Effect!, on listed species and consultation with the USFWS under Section 7 of the Endangered Species Act is not required. See attached species list and No Effect Determination. - tnewson - 07/05/2018 22:32:01 GMT See Condition. - tnewson - 07/05/2018 22:41:58 GMT Per Flood Insurance Rate Map (FIRM) panel 06059CO256J, dated 12/312009, the project is located outside the Special Flood Hazard Area (100-year floodplain, base floodplain) and the activity does not adversely affect floodplain values. - mthorsgl- 02111/201D 02:57:21 GMT The Undertaking was reviewed by Cindy Thomack, who meets the applicable Secretary of the Interior Professional Qualifications in accordance with Stipulation I.B.1.a. of the Programmatic Agreement among the Federal Emergency Management Agency (FEMA), State Historic Preservation Office (SHPO) and California Office of Emergency Services (Cal OES) signed October 30, 2014. The Undertaking complies with Second Tier Programmatic Allowance II.E.1.(a) (In -kind repairs or replacement to canal systems) (Appendix B) of the Agreement Thus, the Undertaking does not require SHPO review or notification per Stipulation.11.A.1. of the Agreement. - asaunde7 - 02/15/2018 17:35:16 GMT 4 Insurance SMITH 01-17-2018 1/17118 eview ROGER 02:32 PM GMT The applicant has coverage with the Alliant Property Insurance https:Hisource.fema.gov/emmie/viewApplir4l c2Je=navigatable&pageName=&vo,i..• 7/26/2018 Federal Emergency Manageme> :gency E-Grants Page 16 of 16 mternai comments No. Queue User Datemme Reviewer Comments Program (APIP). The 11 PIP policy does not.provide coverage for damages caused by the peril of flood. There Is no duplication of benefits. Roger Smith, Insurance Specialist 3 Insurance SMITH 01-16-2018 1-10-18: Insurance documents are located ce Review ROGER 03:54 PM review pending. Craig A. Smith, PA InsuraIC- GMT Sacramento JFO Insurance 01-10-2018 EInsurance 1-10-18: Insurance documents are located ceReview SMITH CRAIG 07:58 PM review pending, Craig A.Smith, PA InsuraIC- GMT Sacramento JFO . 1 Mitigation ROBERTSON 12-15-2017 PW addresses repairs back to pre -disaster con ditlons only. No Review JAMES 03:14 PM technically feasible cost effective mitigation opportunities were GMT presented. Jame§ Robertson HM 406 Go Back https://isotirce.fema.g0v/emtnie/viewApplicaf on.6OA-28gatable&pageName=&vo. L.. 7/26/2018 EXHIBIT k k | J \ \k �I . \\ \\ �kk � t to 6! §® I-e § § § § § ! ! k k ! � § § ! ! d k ! � 2 2 ! � B k ! � - # § k [ k I ) \ ) CL ! k a \ k © : : \ \ / 60A-30 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 2, 2019 TITLE: AMEND THE FY 2019-20 CAPITAL IMPROVEMENT PROGRAM FOR THE SARTC SOUTH RESTROOM RENOVATION PROJECT (PROJECT NO.20-7531) (STRATEGIC PLAN NO. 6, 1G) RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1� Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Approve an amendment to the Fiscal Year 2019-20 Capital Improvement Program adding $233,500 in Community Development Block Grant funds to the Santa Ana Regional Transportation Center South Restroom Renovation Project. DISCUSSION On June 18, 2019, Council approved the Fiscal Year 2019-20 Community Development Block Grant (CDBG) Program (Exhibit 1) which included an allocation of $2,150,323 for the Public Works Agency. This included $233,500 for ADA improvements at the Santa Ana Regional Transportation Center (SARTC). The SARTC South Restroom Renovation Project will upgrade the ground -level restrooms to be fully compliant with current Federal and State regulations as they pertain to the Americans with Disabilities Act of 1990 (ADA). This includes the Federal "2010 ADA Standards for Accessible Design," as written by the U.S. Department of Justice, and the 2013 California Building Code (Title 24, Part 2, of the California Code of Regulations). The proposed improvements include new plumbing fixtures, partitions, accessories, lighting, automated doors, floor/wall/ceiling finishes, signage, and drinking fountains. Also at the June 18, 2019, City Council Meeting, the City Council approved the Fiscal Year 2019- 20 Capital Improvement Program (CIP). Approval of this recommended action will add the SARTC South Restroom Renovation Project to the Fiscal Year 2019-20 CIP so that construction can begin for this project as soon as possible (Exhibit 2). STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 - Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy G (develop and implement the City's Capital Improvement Program in coordination with the Community Investment Plan - e.g., neighborhood streets, traffic improvements, etc.). L. 1 CIP Amendment for SARTC South Restroom Renovation Project July 2, 2019 Page 2 ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review. Categorical Exemption Environmental Review No. 2017-158 was filed for this project, and a Certification of Categorical Exclusion has been prepared in accordance with the National Environmental Policy Act. FISCAL IMPACT There is no fiscal impact associated with this action. CDBG project funding was approved by Council on June 18, 2019. 9 Fuad S.1sweiss, PE, PLS Executivk Director Public W rks Agency FSS/TC/MO Exhibits: 1. FY 2019-20 CDBG Funding Plan (Approved June 18, 2019) 2. Amended FY 2019-20 CIP Project Sheet �. 1 Exhibit 1 PROGRAM ADMINISTRATION & PLANNING Administration and Planning Fair housing CODE ENFORCEMENT Community Preservation Code Enforcement Community Preservation Legal Services ECONOMIC DEVELOPMENT New Business Start -Up NONPROFIT PU13UC SERVICES Atltievemnet Institute of Scient Slides A1B1 America on Track Boys 5 Cuts Club of Santa Are CMdpble VmWms of OC Community Action Partnerships Community Health Initiative Orange Canty Coat Appointed Special Advocates Deli] Center (Famtlly Economic Success Initiative) Dahl Center (Teens Engaged in Leammg and Leadership) Delhi CenedALBI Heritage Museum o1Oiange Coady Legal Aid Sodely, 010C (Clean Sale PM,ectl Legal Aid Society ofOC (DomesdcMoknce Prevention PmJed) Lutheran Sadd Services of So. Cal. Nags 1lousa (dba Neutral Ground) SNL Naga Hausa (dos Neutral Grand) OC Childrews TherpeWc AM Center Pubic Law Center (Carrsune) Pubk LawCenhr(Hwsing) Pure Game Santa Ana Xtieme Second Chan Orange County Tali San Jose Hope Bull The Cambodian Family The Chrysalis Center The Ou*ialion Foundation Y03EPIace Yang Men's Christian Association of Orengs Count' CITY CAPITAL IMPROVEMENTS Park Improvements Residential Street and InhaeWclual Improvements Neighborhood Sponsored improvements HOUSING Single Family Rehab -City Multi Family Rehab Homebuyer Down Payment Assistance APPROVED REQUESTED APPROVED FY18-19 FY19-20 FY 19.20 $ 1,163,391 $ 1,140.230 1,101,15o 1,090=0 62,241 60,000 815,644 $ 790,664 765.654 766,664 49,980 25,000 72,926 $ 72,926 72.926 72,926 872.543 $ 877,543 61.557 45,000 45,000 - 40,000 30,000 30.DDO 38,499 30,DD0 30,000 71,566 93,205 58776 68.461 61.557 - 31,320 44,227 36.374 38,000 30.000 51.959 50,000 45,865 - 59,609 70,000 35,807 30.000 37,084 30.000 30,000 50,000 49,125 30.000 43,459 45,000 48,559 39,066 30,000 $ 1,892,455 $ 3,635,323 921.227 1,435,000 921.228 2,150.323 50,000 51 $ 1,000,000 $ 635,000 550,000 300,000 150,000 175,000 200,000 160,D00 TOTAL $ 5,816,959 $ 7,146,686 COBG ALLOCATION $ 5,816.959 $ 5.701,154 COBG ANTICIPATED PROGRAM INCOME $ - $ 275.039 COBG RE-ALLOCATION-AVAOI,BLE S $ 1,170,493 SURPLUSI(DEFICIT) $ - s 0 s - ADMINISTRATION CAP 20%OFALLOCATION $ 1.163,391 S 1.140,231 ADMINISTRATION PROPOSED $ 1163391 $ 1,140,231 SURPLUSI(DEFICIT) �-r-(0) PUBLIC SERVICE CAP 15% OF ALLOCATION PLUS PROGRAM INCOME NOT TO EXCEED 15% $ 872,643 $ 872,643 PUBLIC SERVICE PROPOSED $ 81 $ 872,613 SURPLUS/(DEFICIT) $ o. 1 I Exhibit 2 P, m c m U c 0 io t oc o. o y •r, e i OT —cc ~ C 0 > c� �n o cE m C m LL fl) !� U a S �r LL } p O O p O LL O o U m o rn U 0 u a` 2 O 0 0 m a L 69 NMI REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 2, 2019 TITLE: LEAGUE OF CALIFORNIA CITIES VOTING DELEGATE 2019 (STRATEGIC PLAN NO. 5, 1) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 151 Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Designate a voting delegate and select up to two alternates for the League of California Cities' Annual Conference's General Assembly scheduled for October 18, 2019. BACKGROUND: The League of California Cities' (League) annual conference is scheduled from October 16-18, 2019, in Long Beach. Of particular significance at the conference, the annual League Business Meeting will request its membership to take action on conference resolutions that establish policy. To expedite the conduct of business, every City is being requested to designate a voting representative and two alternates who will represent the City at the League Business Meeting. League bylaws indicate that each city is entitled to one vote and take a position on matters affecting municipal or League policy. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 - Community Health, Livability, Engagement & Sustainability, Objective #1 (Establish a comprehensive community engagement initiative to expand access to information and create opportunities for stakeholders to play an active role in discussing public policy and setting priorities). FISCAL IMPACT There is no fiscal impact associated with this action. Norma Mitre Acting Clerk of the Council Exhibit: 1. League of California Cities Correspondence — Designation of Voting Delegates and Alternates 60C-1 60C-2 LEAGUE Or CALI FORN [A CITIES Council Action Advised by August 30, 2019 June 10, 2019 TO: Mayors, City Managers and City Clerks M? jo 3 PM 5 MY CLERK OFaMT A CO NC L RE: DESIGNATION OF VOTING DELEGATES AND ALTERNATES League of California Cities Annual Conference — October 16 -18, Long Beach The League's 2019 Annual Conference is scheduled for October 16 —18 in Long Beach. An important part of the Annual Conference is the Annual -Business Meeting (during General Assembly), scheduled for 12:30 p.m. on Friday,. October 18, at the Long Beach Convention Center. At this meeting, thei. League membership considers and takes action on resolutions, that establish_ _ League policy. In order to vote at the Annual Business Meeting, your city council must designate a voting delegate. Your city may also appoint up to two alternate voting delegates, one of whom may vote in the event that the designated voting delegate is unable to serve in that capacity. Please complete the attached Voting Delegate form and return it to the League's office no later than Friday, October 4. This will allow us time to establish voting delegate/alternate records prior to the conference. Please note the following procedures are intended to ensure the integrity of the voting process at the Annual Business Meeting. Action by Council Required. Consistent with League bylaws, a city's voting delegate and up to two alternates must be designated by the city council. When completing the attached Voting Delegate form, please attach either a copy of the council resolution that reflects the council action taken, or have your city clerk or mayor sign the form affirming that the names provided are those selected by the city council. Please note that designating the voting delegate and alternates must be done by city council action and cannot be accomplished by individual action of the mayor or city manager alone. Conference Registration Required. The voting delegate and alternates must be registered to attend the conference. They need not register for the entire conference; they may register fpr Friday only. To register for the conference, please go to our website: www.cacities.ore. In order to cast a vote, at least one voter must be present at the Business Meeting and in possession of the voting delegate card. Voting delegates and alternates need to pick up their conference badges before signing in and picking up the voting delegate card at the Voting Delegate Desk. This will enable them to receive the special sticker on their name badges that will admit them into the voting area during the Business Meeting. • Transferring Voting Card to Non -Designated Individuals Not Allowed. The voting delegate card may be transferred freely between the voting delegate and alternates, but only between the voting delegate and alternates. If the voting delegate and alternates find themselves unable to attend the Business Meeting, they may not transfer the voting card to another city official. • Seating Protocol during General Assembly. At the Business Meeting, individuals with the voting card will sit in a separate area Admission to this area will be limited to those individuals with a special sticker on their name badge identifying them as a voting delegate or alternate. If the voting delegate and alternates wish to sit together, they must sign in at the Voting Delegate Desk and obtain the special sticker on their badges. The Voting Delegate Desk, located in the conference registration area of the Sacramento Convention Center, will be open at the following times: Wednesday, October 16, 8:00 a.m. — 6:00 p.m.; Thursday, October 17, 7:00 a.m. — 4:00 p.m.; and Friday, October 18, 7:30 a.m.-11:30 am.. The Voting Delegate Desk will also be open at the Business Meeting on Friday, but will be closed during roll calls and voting. . The voting procedures that will be used at the conference are attached to this memo. Please share these procedures and this memo with your council and especially with the individuals that your council designates as your city's voting delegate and alternates. Once again, thank you for completing the voting delegate and alternate form and returning it to the League's office by Friday, October 4. If you have questions, please call Darla Yacub at (916) 658-8254. Attachments: • Annual Conference Voting Procedures • Voting Delegate/Alternate Form LEAGUE CITIES 2019 JUN 13 FBI 3: il5 CITY OF SANTA AJA Annual Conference Voting ProceduresCLERK OF COUNCIL One City One Vote. Each member city has a right to cast one vote on matters pertaining to League policy. 2. Designating a City Voting Representative. Prior to the Annual Conference, each city council may designate a voting delegate and up to two alternates; these individuals are identified on the Voting Delegate Form provided to the League Credentials Committee. 3. Registering with the Credentials Committee: ,The voting delegate; or alternates; may pick up the city's voting card at the Voting Delegate Desk in the conference registration area. Voting delegates and alternates must sign in at the Voting Delegate Desk. Here they will receive a special sticker on their name badge and thus be admitted to the voting area at the Business Meeting. 4. Signing Initiated Resolution Petitions. Only those individuals who are voting delegates (or alternates), and who have picked up their city's voting card by providing a signature to the Credentials Committee at the Voting Delegate Desk, may sign petitions to initiate a resolution. 5. Voting. To cast the city's vote, a city official must have in his or her possession the city's voting card and be registered with the Credentials Committee. The voting card may be transferred freely between the voting delegate and alternates, but may not be transferred to another city official who is neither a voting delegate or alternate. 6. Voting Area at Business Meeting. At the Business Meeting, individuals with a voting card will sit in a designated area. Admission will be limited to those individuals with a special sticker on their name badge identifying them as a voting delegate or alternate. Resolving Disputes. In case of dispute, the Credentials Committee will determine the validity of signatures on petitioned resolutions and the right of a city official to vote at the Business Meeting. LEA r, CA IFO IA NtECITIES CITY.. 2019 ANNUAL CONFERENCE VOTING DELEGATE/ALTERNATE FORM Please complete this form and return It to the League office by Friday, October 4, 2019, Forms not sent by this deadline may be submitted to the Voting Delegate Desk located in the Annual Conference Registration Area. Your city council may designate one voting delegate and up to two alternates. In order to vote at the Annual Business Meeting (General Assembly), voting delegates and alternates must be designated by your city council. Please attach the council resolution as proof of designation. As an alternative, the Mayor or City Clerk may sign this form, affirming that the designation reflects the action taken by the council. Please note:, Voting. delegates and alternates will be seated in a separate area atthe Annual Business Meeting. Admission to this designated area will be limited to individuals (voting delegates and alternates) who are identified with a special sticker on their conference badge. This sticker can be obtained only at the Voting Delegate Desk, 1. VOTING DELEGATE Name: Title: 2. VOTING DELEGATE -ALTERNATE Name: Title: 3. VOTING DELEGATE - ALTERNATE Name: Title: PLEASE ATTACH COUNCIL RESOLUTION DESIGNATING VOTING DELEGATE AND ALTERNATES. OR ATTEST: I affirm that the information provided reflects action by the city council to designate the voting delegate and alternate(s). Name: Mayor or City Clerk (circle one) (signature) Please complete and return by Friday, October 4 2019 Email Date Phone League of California Cities FAX: (916) 558-8240 ATTN: Darla Yacub E-mail: dyacub@cacities.org 1400 K Street, 4th Floor (916) 658-8254 Sacramento, CA 95814 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 2, 2019 TITLE: APPROVE THE RECOGNITION OF REVENUE AND TRANSFER OF CERTAIN UNCLAIMED DEPOSITS FROM THE CITY AGENCY FUNDS AND THE WATER ENTERPRISE FUND (STRATEGIC PLAN NO. 4, 1) RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s' Reading ❑ Ordinance on 2"d Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Approve the recognition of $399,606.30 of revenue in the General Fund and $529,796.46 of revenue in the Water Enterprise Fund for certain unclaimed deposits, as allowed by state law. 2. Approve the transfer of active deposits from the Treasurers Trust Fund (Fund 098) to the City Services Fund (Fund 053), and the closure of the Treasurers Trust Fund as of June 30, 2019. DISCUSSION This request for action is a routine item to clean-up the City's trust deposit accounting. For many years, the City has accepted deposits from developers, property owners, and utility companies for City services and the privilege to temporarily utilize City resources or the public right-of-way for private projects. State law allows the City to publish notification of the stale deposits, offering the public an opportunity to claim them. When no claims are made, the City can recognize the stale deposits as revenue. Finance and Management Services Agency (FMSA) staff has identified $399,606.30 of deposits that can be recorded as revenue in the General Fund and $529,796.45 of deposits that can be recorded as revenue in the Water Enterprise Fund. Due Diligence Efforts — Fiscal Year (FY) 2017-18 During the fiscal year 2017-18, FMSA staff conducted extensive research to obtain supporting documentation for the unclaimed deposits by reviewing the City's financial records. FMSA staff worked with the following Departments to identify supporting documentation: • Clerk of the Council • Police Department • Public Works Agency • Planning and Building Agency • Parks, Recreation, and Community Services Agency 65A-1 Approve the Recognition of Revenue and Transfer of Certain Unclaimed Deposits From the City Agency Funds and the Water Enterprise Fund July 2, 2019 Page 12 The Departments noted above confirmed that no records exist to determine the nature of the accounts, and/or to confirm if deposits were accepted to provide a service. To ensure the public was aware of the existence of unclaimed deposits on file with the City, FMSA staff published a Public Notice in April 2018 in accordance with the applicable Government Code Sections. No claims were filed with the City, and staff requested City Council action to recognize these deposits as City revenue in June 2018. However, staff was advised by the City Council to expand its due diligence efforts. Due Diligence Efforts — FY 2018-19 FMSA staff continued working with other departments to gather information during fiscal year 2018-19. The departments confirmed that either the City had provided a service, or due to change in financial software, no corresponding records are readily available. FMSA staff published a second Public Notice in accordance with the relevant Government Code Section on April 27 and May 4, 2019 (see Exhibit 1). The City did not receive any claims (the cut-off was June 11, 2019 or 45 days from Public Notice). As a result, the unclaimed deposits held by the City are now eligible to be recorded as City revenue. In addition, FMSA staff has developed an Unclaimed Funds Policy (Policy) for distribution to all City Staff. The Policy outlines the treatment of funds when they are considered unclaimed, along with the process in notifying the public the existence of the said funds. If City Council approves the staff recommendation, the following actions will be taken Recognize Revenue in the Water Enterprise Fund Unclaimed deposits related to Water Services, in the amount of $529,796.45 will be recorded as revenue in the Water Enterprise Fund. The funds were accepted by the Water Department from contractors to allow the use of City water during a construction project within the City limits. Transfer to General Fund Unclaimed deposits in the amount of $399,606.30 will be recorded as revenue in the General Fund, in accordance with the Government Code section 50053. The funds become property of the City when the funds remain unclaimed after two (2) Public Notice filings. Transfer to City Services Fund (Fund 053) The City Services Fund (Fund 053) was established in July 2017 as a means for City departments to continue accepting deposits on behalf of outside parties commonly referred to as pass-thru activities. The activity previously recorded in the Treasurer's Trust (Fund 098) will be recorded in the City Services Fund going forward. Departments are aware that established accounts within the City Services Fund will require documentation identifying the source of deposits (e.g. date, name of the party, and amount), to avoid the accumulation of stale deposits in the future. Active deposits with proper documentation will be transferred from Fund 098 to Fund 053, and Fund 098 will be closed. 65A-2 Approve the Recognition of Revenue and Transfer of Certain Unclaimed Deposits From the City Agency Funds and the Water Enterprise Fund July 2, 2019 Page 13 STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #4 City Financial Stability, Objective #1 (Maintain a Stable, Efficient, and Transparent Financial Environment). FISCAL IMPACT The following unclaimed deposits maintained in the fund(s)laccount(s) noted below will be reclassified utilizing the balance noted on May 31, 2019 as follows: 1) Reclassify the following: i. Account # 09201001-24029 — Contractor Water Deposit - $529,796.45 to the Water Enterprise account # 06017002-57010 — Miscellaneous recoveries. ii. Balances noted in the Therapeutic Recreation Program Deposits (Fund 091) and Treasurer's Trust (Fund 098) to the General Fund account #01102002-57010 - Miscellaneous recoveries. Fund Account Account Description Dept Amount 091 24000 TrustRAgency PRCSA 690.64 098 24001 Senator Feinstein Function PD 527.63 098 24002 Candidate Statement Fee COTC 13,563.61 098 24005 Hazard Remediation-1300 W Edinger PWA 20,000.00 098 24006 Bicycle Locker Deposits PWA 381.25 098 24008 RecreationlParks-Security Deposits PRCSA 74,681.67 098 24010 Volunteer Firefighter Deposits FIRE 3,700.00 098 24014 Building/Planning In -Lieu Fees(AIPP) PBA 95,751.00 098 24016 World Oil1702 N Broaftay PWA 10,034.00 098 24017 Public Works -Water ServicesApplication PWA 14,400.00 098 24020 Public Works -Cash Deposits PWA 165,847.77 098 24038 O.C. City Clerk Meeting COTC 28.73 Total 399.606.30 65A-3 Approve Appropriate Adjustment To Appropriate Certain Deposits in the General Fund and the Water Utility Fund July 2, 2019 Page 4 iii. Balances noted in the Treasurer's Trust Fund (Fund 098) to the City Services (Fund 053) various balance sheet, revenue and/or expenditures accounts: Fund Account Account Description Dept Amount' 098 24000 Trust & Agency PBA 79.734.54 098 24003 Police -Treasury Agency Fund PD 235,052.24 098 24004 Orange County Downtown Coin Revenue FMSA 8,072.54 098 24011 Police Reward Program PD 177,589.57 098 24015 Building/Planning-Cash Bonds PBA 474,415.02 098 24019 Public Works -Street Work Permits PWA 2,533,970.39 098 24041 Bequest of Mary Muth-COSA Homeless Prgm PD 28,201.96 098 24045 PBA-Accelerated Plan Check PBA 223,806.68 098 24046 Medical Marijuana Dispensaries CAO 34,819.04 Balance as of May 31, 2019 and is subject to change due to transactions through June 30, 2019. p"C• ri Kathryn Downs, CPA Executive Director Finance and Management Services Agency Exhibit: 1. Public Notice — Unclaimed Deposits 65A-4 EXHIBIT 1 CALIFORNIA NEWSPAPER SERVICE BUREAU DAILY JOURNAL CORPORATION Mailing Address: 915 E FIRST ST, LOS ANGELES, CA 90012 Telephone (213) 2295300 / Fax (213) 229-5481 Visit us @ W W W.LEGALADSTORE.COM Norma Orozco SANTA ANAICITY CLERK 20 CIVIC CENTER PLAZA M-30 SANTA ANA, CA 92701 COPY OF NOTICE Notice Type: GPN GOVT PUBLIC NOTICE Ad Description PUBLIC NOTICE OF UNCLAIMED MONEY HELD BY CITY OF SANTA ANA To the right is a copy of the notice you sent to us for publication in the THE REGISTER. Please read this notice carefully and call us with any corrections. The Proof of Publication will be fled with the County Clerk, if required, and mailed to you after the last date below. Publication dale(s) for this notice Is (are): 04/27/2019 , 05/04/2019 The charge(s) for this order is as follows. An invoice will be sent after the last date of publication. If you prepaid this order In full, you will not receive an Daily Journal Corporation Serving your legal advertising needs throughout California. Call your local BUSINESS JOURNAL, RIVERSIDE DAILY COMMERCE, LOS ANGELES LOS ANGELES DAILY JOURNAL, LOS ANGELES ORANGE COUNTY REPORTER, SANTA ANA SAN FRANCISCO DAILY JOURNAL, SAN FRANCISCO SAN JOSE POST -RECORD, SAN JOSE THE DAILY RECORDER, SACRAMENTO THE DAILY TRANSCRIPT, SAN DIEGO THE INTER -CITY EXPRESS, OAKLAND CNS 3248001 PUBLIC D NNIAOUYIM MONEY CITY OAFASANTA This Is Na public notice that the City of Santa Ana ("City") Is In possession of certain refuntlable monies in connection with the following list noted below in the total amount of approximately M9ditors These longdepoer are 00 longer . file with the City. The above funds were coilected/received by the City of Santa Ana. The funds have been deposited Into the city's designated financial Insfitufion's cecmunt operating ("Unclaimed Monies"). Pursuant to Government Cade section 50050 ettsse ., it Is proposed 111e Unclaimed Monies shall become the property of the City on June 13, 2019. Anyone who has a legal claim to the Unclaimed Monies must file a written claim with the City (951) 7114-0111 claimed, .. 213 229-5300 grounds ( ) the claim (213)229-5300 The City has the (714) 543-2027 demand (800)640.4829 other roof of if (408)287d866 and alish may� (916) 444-2355 reject a cl claim is (619) 232-3486 t le cl ain (510) 272-4747 complaint within y and III II II II II III II I I III I I I I I I I I II II * A 0 0 0 0 0 5 0 4 9 2 2 7�5A-5 serve a copy of the New Treasurer's complaint and Trust Fund (Public summons upon the Works -Cash City Treasurer. A Deposits) - COPY of the $165,847.77 complaint and New Treasurer's summons must be Trust Fund served within thirty (Volunteer (30) days of Firefighter receiving the Clty's Deposits)-$3,700.00 notice the claim was Bulk Water Deposits rejected. Further (Contractor Water information Deposiit)-S529,796.45 regarding the Therapeutic Unclaimed Monies Recreation Program may be obtained Deposits (Trust & from the City Agency)-$690.64 Treasurer, City of V27,5/4/19 Santa Ana, 20 CIVIC CNS-32430011 Center Plaza, Santa THE REGISTER Ana, California 92702. Claims or further information related to Unclaimed Monies may also be submitted by email to accounting(Osonta- ano.or9. DEPOSITED FUNDS WITH THE CITY: 65A-6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: JULY 2, 2019 TITLE: APPROVED ❑ As Recommended RECEIVE AND FILE REPORT ON THE ❑ As Amended ❑ Ordinance on ls' Reading STATUS OF EVALUATING AND ❑ Ordinance on 2ntl Reading AMENDING THE HOUSING OPPORTUNITY ❑ Implementing Resolution ORDINANCE ❑ Set Public Hearing For {STRATEGIC PLAN NO 5,3) CONTINUED TO FILE NUMBER CITY MAN GER RECOMMENDED ACTION Receive and file report on the status of evaluating and amending the Housing Opportunity Ordinance. DISCUSSION On December 4, 2018, City Council received and filed a report on the effectiveness of the Housing Opportunity Ordinance (Exhibit 1), the City of Santa's Ana inclusionary housing ordinance. In that report, staff indicated that the next step were to conduct stakeholder outreach with the private market developer community and nonprofit community before returning to City Council for a Work Study session in early Spring 2019. In addition, staff anticipcated by fiscal year end to bring an amended Ordinance for City Council review and consideration that incorporates revisions proposed through stakeholder feedback and the Work Study session. Since the December 4, 2018 report to City Council, an interdepartmental working group from the Planning and Building Agency and Community Development Agency met bi-weekly to work on amending the ordinance. Staff also conducted an informal survey of other cities to obtain first- hand experince feedback regarding the effectiveness of their inclusionary housing ordinances. On February 13, 2019, staff held an Inclusionary Housing Roundtable with the Planning Directors Association of Orange County (PDAOC) to obtain feedback from developers and other cities on best management practices within the realm of inclusionary zoning, fees and related topics. Four panelists representing two market rate developers, one affordable housing developer and a community land trust participated. The event was attended by nearly 30 participants from cities throughout Orange County. In addition, Keyser Marston Associates (KMA) has been retained to assist in analyzing the feasibility issues associated with the inclusionary housing requirements. The feasibility assessment will include a market analysis, affordability gap analysis, and KMA's proprietary pro forma models. The feasibility assessment will inform the final recommendations regarding the 65B-1 Report on Status of Evaluating and Amending the Housing Opportunity Ordinance July 2, 2019 Page 2 percentage of affordable housing on -site and the depth of affordability to be included in the amended Housing Opportunity Ordinance, supportable in -lieu fee payment amounts, and off -site alternatives to developing the inclusionary units on -site within a market -rate project. Three stakeholder meetings were scheduled in June and July to obtain input from market rate developers, affordable housing developers, and affordable housing advocacy groups. The feasibility assessment will be finalized by the end of August. Staff anticipates to have an amended Ordinance ready for City Council review and consideration before the end of the year. Staff will outreach to City Council over the next two months on the Housing Opportunity Ordinance and this amendment process. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal # 5 - Community Health, Livability, Engagement & Sustainability, Objective # 3 (Facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods), Strategy C (Provide that Santa Ana residents, employees, artists and veterans receive priority for affordable housing created under the City's Housing Opportunity Ordinance or with City funding to the extent allowed under state law). FISCAL IMPACT There is no fiscal impact associated with this action. =iq�� - Minh T ai Executive Director Planning and Building Agency Steven A. Mendoza Executive Director Community Development Agency Exhibit: 1. Staff Report from December 4, 2018 65B-2 EXHIBIT 1 R8QUEST FOR COUNCIL ACTION I ^Vili':J- CITY COUNCIL MEETING DATE: DECEMBER 4, 2018 TITLE: RECEIVE AND FILE REPORT ON THE EFFECTIVENESS OF THE HOUSING OPPORTUNITY ORDINANCE AND NEXT STEPS IN DEVELOPING POLICY OPTIONS FOR FUTURE CONSIDERATION (STRATEGIC PLAN NO 5, 3) RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on la Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Receive and file report on the effectiveness of the Housing Opportunity Ordinance and next steps in developing options for future consideration. DISCUSSION On November 28, 2011, City Council adopted the Housing Opportunity Ordinance (Ordinance) to encourage the development and availability of affordable housing by requiring the inclusion of affordable housing units within new developments or the conversion of rental units to condominium ownership when the number of units exceeds the densities permitted under the General Plan. The Ordinance was amended by the City Council on October 6, 2015 to increase the in -lieu fee among other key changes. (See Exhibit 1 for a more detailed history.) Under the. Ordinance, developers may elect to satisfy their inclusionary unit requirements for a project, in whole or in part, by payment of a fee in -lieu of constructing some or all of the required incluslonary units on -site or off -site. The amount of the in-ileu fee depends on the total number of housing units in the project. In the case of a residential project containing between five (5) and. twenty (20) residential lots or residential units, the fee is five dollars per square foot ($5.00/SF) of the sum total of the number of habitable square feet within the entire project. In the case of a residential project comprised of more than twenty (20) residential lots or residential units, the amount of the fee is fifteen dollars per square foot ($15.00/SF) of the sum total of the number of habitable square feet within the entire project. In accordance with Section 41-1910 of the Ordinance, "Between July 1, 2018 and December 31, 2018, staff shall report' n the effectiveness of the Housing Opportunity Ordinance and provide options for council cons'deration on the components of this ordinance, including, but not limited to, the monetary amount of Inclusionary in-lleu fee per square foot" Staff has prepared the following report on the effectiveness of the Ordinance followed by policy areas staff will evaluate. . L• EXHIBIT 1 Report on Effectiveness of Housing Opportunity Ordinance and Council Options December 4, 2018 Page 2 Effectiveness of the Ordinance On -Site Develocment. Since 2011, a total of 33 units have been developed on -site as a result of the Ordinance,, including 23 ownership units for -sale and 10 rental units: In -Lieu Fees Generated. - A total of $13,886,436 in in -lieu fees have been generated since October 2011 as a result of the Ordinance. These fees were generated from a total of 9 projects that opted to pay the In-Ileu fee instead of building units on -site. If those 9 projects had instead built the inclusionary housing units on -site, a total of 393 low-income units or 263 very low-income units would have been created. By comparison, there were 2,589 market -rate units produced or are under construction. (See Exhibit 2 for more detailed information.) Affordable Housina Units underConstruction/Pre-Construction with In Lieu Fees: A total of 108 units are under construction / pre -construction with an Investment of in -lieu fees generated. This includes a $4,775,000 loan of In -lieu fees to develop 57 units of affordable housing at the Santa Ana Arts Collective and a pre -loan commitment of $1.3 million of in -lieu fees to develop 51 units of affordable housing at the Tiny Tim Plaza project: Units Under Construction / Pre -Construction with In -Lieu Fees Project # of Units TOTAL Santa Ana Ants Collective 57 108 Tin Tim Plaza 51 In addition, $3,131,700 of ir-lieu fees was committed by City Council on September 14, 2018 to' create 200 emergency shelter beds at the Link interim emergency shelter. An update on staff efforts to replenish the In -lieu fees provided for the Link is provided In a separate staff report for the December 4s' City Council meeting. The remaining balance of in -lieu fees generated was made available by City Council on June 19,. 2018 In RFP # 18-056 for Affordable Housing Development. A recommendation is forthcoming by a Review Panel formed by staff on the award of these remaining in -lieu fees. L. EXHIBIT 1 Report on Effectiveness of Housing Opportunity Ordinance and Council Options December 4, 2018 Page 3 FEEDBACK PROVIDED BY THE EDIBT COMMITTEE At the November 28, 2018, Economic, Development, Infrastructure, Budget and Technology Council Committee (EDIBT) meeting, the Committee provided feedback regarding areas of the Ordinance to be evaluated by staff. The feedback provided by the Committee included the following options for future consideration: 1) On -Site Development: a. Require Inclusionary units to be built on -site. b. Require all developments to comply with the Ordinance instead of only those projects that trigger the Ordinance when the number of units exceeds the densities permitted under the General Plan. However, exclude adaptive -reuse projects that are more difficult to develop. c. Remove the option for developers to build 10% of the units on -site for very low - Income families and only permit developers to develop 15% of the units on -site for low -Income families. 2) In -Lieu Fees: a. Establish a more competitive in -lieu fee option with criteria. 3) Density Bonus Concession: a. Make the concession merit -based to provide more very low-income units on -site, serve special needs populations and/or provide deeper affordability. NEXT STEPS AND POLICY AREAS STAFF WILL EVALUATE For the next steps, staff will conduct stakeholder outreach with the private market developer community and nonprofit community before returning to City Council for a Work Study session In - early Spring 2019. Using the feedback from the EDIBT Committee, staff has prepared a non - exhaustive list of five key policy areas to evaluate for the City Council. By fiscal year end, staff anticipates to have an amended Ordinance ready for City Council review and consideration that incorporates revisions proposed through stakeholder feedback and the Work Study session. Following are the five policy areas and options that will be evaluated: L City Density Bonus Concession: The current Ordinance allows second density bonus on top of State density bonus, which can almost double the base density permitted. Staff is unable to negotiate additional project requirements that match the General Principles adopted by City Council on March 20, 2018 in the Affordable Housing Funds Policies and Procedures because the density bonus concession in the - Ordinance allows a developer to receive the concession without any further merit -based requirements or criteria. Therefore, regarding the density bonus concession, staff will study the following policy options for future City Council consideration: 1) No change. 2) Remove the City Density Bonus Concession. L• EXHIBIT 1 Report on Effectiveness of Housing Opportunity Ordinance and Council Options December 4, 2018 Page 4 3) Modify the concession so that a Density Bonus has merit -based criteria to align with policy priorities adopted by City Council on March 20, 2018 In the Affordable Housing Funds Policies and Procedures to provide more very low-income units on -site, serve special needs populations and/or provide deeper affordability. 11. In -Lieu Fee Payment versus On -Site Development Requirement. The current Ordinance allows a developer to opt -out of building inclusionary housing units on -site by paying the in -lieu fee. Since the creation of the Ordinance in October 2011, only 33 affordable housing units have been developed on -site and 108 units are currently under construction. This is a total of 141 affordable housing units. (Staff do not currently have an estimate on how many additional affordable housing units will be produced through RFP # 18-066.) Meanwhile, as' stated above, if the same 9 developers who opted to pay the in -lieu fee had built the units on -site, the city would have approximately 393 low-income units or 263 very low-income units. This is nearly:!two or three times the amount of affordable housing units created. Every private market decision by a developer is based on the economics of their project and their profit margin. Specifically, if it is more cost effective for a developer to pay the in -lieu fee versus developing the. affordable housing units on -site with restrictive rental/ownership covenants, a developer will choose the option to pay the in-Ileu fee. Therefore, regarding the calculation of the In -lieu fee payment option versus on -site development requirement, staff will study the following policy options for future City Council consideration: 1) No change. 2) Eliminate the In -lieu fee entirely as an option thereby requiring the development of units on -site or off -site. 3) Modify the in -lieu fee to be more comparable to other cities, Ill. In -Lieu Fee Payment 77ming. The current Ordinance requires a developer to pay their In-Ileu fee prior to issuance of a building permit, The timing of the in -lieu fee payment has become an issue for some developers of multi- phase and single-phase projects. In one case, a developer requested to phase. their In-Ileu fee payment in three phases such that they could close on their financing. In another case, a developer requested to pay their In -lieu fee at the issuance of their certificate of occupancy Instead of their building permit In addition, for large phased developments, it can be difficult for the City. to administer and a burden for the developer to finance. Therefore, regarding the timing' of the in -lieu fee payment, staff will study the following policy options for future City Council consideration: 1) No change. 2) Allow the payment of In-lleu fees in phases based on a developer's project schedule, to be negotiated by staff. 3) Allow the payment of in -lieu fees at the issuance of the certificate of occupancy or when the building permit is finalized. EXHIBIT 1 Report on Effectiveness of Housing Opportunity Ordinance and Council Options December 4, 2018 Page 5 N. Applicability of the Ordinance - a. General Plan Update Completion. - The current ordinance only applies to projects when the number of units exceeds the densities permitted under the General Plan. As a result, there are various projects that do not trigger the Ordinance. Specifically, this does not allow thel City to require incluslonary housing for residential projects in residential zones. It is anticipated that with the adoption of the new General Plan, all housing projects will be In residen tal zones. Generally, since the adoption of the Ordinance more affordable housing units would have been created If all of the projects had been required to build on -site. Therefore, I agarding the applicability of the Ordinance, staff will study the following policy optio s for future City Council consideration: 1) No change, recognizing that revenues and housing u its will decrease once the General Plan Is update completed. 2) Modify the ordinance to apply to all housing projects. b. Adaptive Reuse. The current Ordinance requires adaptive reuse projects t . provide onsite affordable housing or pay an in -lieu fee. Simultaneously, the City s Adaptive Reuse Ordinance allows developers to convert vacant or underused existing office l or commercial space to residential uses. Certain Incentives are provided to encourage the provision of housing in this way. Therefore, regarding the applicability of the Ordinance, staff will study the following policy options for future City Council consideration: 1) No change. 2) Create a reduced requirement for adaptive reuse project i. 3) Eliminate the applicability of the Ordinance on adaptive reuse projects. c. Non -Residential Uses - The current Ordinance only applies to residential proje s. Some cities require inclusionary housing fees for non-residential projects. Therefore, regarding the applicability of the Ordinance, staff will study the following p ]icy options for future City Council consideration: 1) No change. 2) Modify the Ordinance to create an inclusionary housing f Be for non-residential uses. V- Percent Set -Aside for On -Site Units: The current Ordinance allows developers the option to develop 100/8 units on -site for very low- income families or 15% units on -site for low-income families. If only the higher threshold of 15% is applied, the City will receive more affordable housing units an the 10% alternative. Therefore, regarding the percentage of units to be built on -site, staff V1 ill study the following policy options for future City Council consideration: 1) No change. 2) Modify to allow a reduced percent set -aside for very low-inco �e as well as other housing including Special Needs Housing or housing types that meet o r Regional Housing Needs Assessment requirements. 65B-7 EXHIBIT 1 Report on Effectiveness of Housing Opportunity Ordinance and Council Options December 4, 2018 Page 6 3) Remove the option for developers to build 10% of the units on -site for very low -Income families thereby only permitting developers to develop 15% of the units on -site for low- income families. To facilitate Council consideration of additional policy areas not listed above, staff has provided comparisons of other inclusionary housing ordinances as provided In Exhibits 3 and 4. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal # 5 - Community Health, Livability, Engagement & Sustainability, Objective # 3 (Facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods), Strategy C (Provide that Santa Ana residents, employees, artists and veterans receive priority for affordable housing created under the City's Housing Opportunity Ordinance or with City funding to the extent allowed under state law). FISCAL IMPACT There is no fiscal impact associated with this action. Steven A. Mendoza Minh Thal Executive Director Executive Director Community Development Agency Planning and Building Agency Exhibits: 1. History of the Housing Opportunity Ordinance 2. Detailed Breakdown of In -Lieu Fee Payments and On -Site Units 3. Summary Comparison of other Inclusionary Housing Ordinances 4. Staff Report from the City of San Diego on other Inclusionary Housing Ordinances L. w EXHIBIT 1 History of the Housing Opportunity Ordinance The first version of the Housing Opportunity Ordinance (HOO) was brought before the City Council as a Work Study Session on January 18, 2011. The Initial proposal was conducted as part of the Housing Element update process. The draft HOO proposed that 15% of new housing should be set aside as affordable for 45 years (owner -occupied) and 55 years (rental), This draft HOO would be triggered by any applications for up -zoning, Increases In residential density, Increases In percentage of residential development, conversion of commercial or Industrial to residential uses, and conversion of rental units to condominium ownership due to the Palmer court case. Other development options included the payment of In -lieu fees, substantial rehabilitation of existing apartments, or the construction of off -site units. A Planning Commission work-study session on March 14, 2011 included a technical study by Kathe Head with Keyser Marston and Associates (KMA) that provided a market -based formula for determining the in -lieu fee. On March 28, 2011 the Planning Commission recommended Zoning Ordinance Amendment (ZOA) No. 2011-01, Staff presented this proposal to the Community Redevelopment and Housing Commission on April 5, 2011. On May 9, 2011 an ad -hoc committee was formed and held two meetings on June 7 & 30, 2011 to discuss the proposed ordinance In detail. This discussion included a debate between the merits of a fixed fee vs. a market conditions fee. This proposal required developments of five or more residential units to Include a 15% set -aside of affordable units on -site while accepting in -lieu fees only under unique conditions. On November 7, 2011 the City Council reviewed Item # 75B to adopt ZOA No. 2011-01. The Mayor and Council amended the proposed ordinance and voted 6-1 in favor of Ordinance NS- 2825.On November 28, 2011 the City Council held a second reading and adopted the first version of the Housing Opportunity Ordinance. [In a related action, on December 2, 2014 the City Council passed the Adaptive Reuse Ordinance (NS-2874) which required reuse projects to follow the HOO requirements.] A special meeting to revise the HOO was held by the Planning Commission on July 20, 2015. They voted 3-2 to recommend ZOA No. 2015-03 making the following changes to the ordinance: the fees would be assessed on a square footage basis, all affordability restrictions were to last 55 years, allowance for 15% moderate Income of ownership projects, an explicit exemption for projects submitted prior to the 2011 HOO adoption, adding an exemption for adaptive reuse projects, adding exemptions for retrofitting, and requiring a 1 for 1 sq. ft. match for off -site construction. The City Council reviewed the proposals on August 4, 2015, Following additional revisions, a second reading was held on September 1, 2015 and formally adopted as Ordinance NS-2881. A minor revision clarifying administrative procedures and the applicability of the HOO was adopted as Ordinance NS-2885 on October 6, 2015. This was the last time a revision to the HOO occurred. EXHIBIT 1 O z S�e�abNas��� x 8 F So''o'on�Sn N N N N N N N N N N N C Q 2 W� O M OM N A m i 6 mq£ po via"' N I H a C Li x n O x F� 8 Y qq ssss &b mm ma A N N44NN V1HNN NN VINN VI.NN N I T � �aF'33�3yiz.�.�ht3i wW p2 ape y �°gC$pt6°elE m•os��� c 3` LJ J 65B-10 EXHIBIT 1 b �a a � pse G C y � as Cp$ YS ��y(( yyy yg y5� aMVqyu yyee 995Q CC9 ��52f .iag$l �q e�yg A�&EB gy��J�@j p�g �®9�y�@� pp�3 @ ...iYYYe CC i YYY S iii 6� 8 C E iii lilt Ta P fl dggg py �g k gyp+ g $ gg $ � S y�pm� •$$gg p �� S�,G¢S` Agf- 8gg pg3� 3e �d o 3 p 'E @�yqy" E 65B-11 TI49 CITY OF S,%N ®11ma OFFICE OF THE INDEPENDENT BUDGET ANALYST REPORT Date Issued: July 12, 2018 18A Report Number: 18-21 City Council Docket Date: July 31, 2018 Item Number: TBD Comparison of Inclusionary Housing Programs OVERVIEW To facilitate the affordable housing discussion planned at City Council on July 31, this report provides requested information from Counoilmember Ward's office regarding the various components of inclusionary housing programs in California cities. In addition, information on the effect of recently enacted legislation, Chapter 376 of Statutes of 2017 (AB 1505) was requested. AB 1505 allows cities to require that rental residential development include a certain percentage of affordable rental units and provide alternative means of complience. This bill.supersedes a court decision that deemed inclusionary zoning policies for rental residential development in conflict with the state's Costa -Hawkins Rental Housing Act. BACKGROUND What is Inclusionary Housing? Inclusionary housing refers to programs and strategies that promote the creation of affordable housing when new development occurs, t This includes fee -based policies such as housing impact or linkage fees, which are fees assessed on new development intended to mitigate a resulting demand in affordable housing, Inclusionary zoning is a type of inclusionary housing strategy that requires or encourages a certain portion of affordable housing units to be provided within market - rate projects.2 I Thaden, Emily and Ruoelu, Wang, "Inclusionary Housing in the United States: Prevalence, Impact, mid Practices," Lincoln institute of Land Policy, September 2017. 2 United States Department of Housing and Urban Development, Office of Policy Development and Research, "Inclusionary Zoning and Mixed -Income Communities," httos:&lgwbudiisor v ortftmiodicaWaiVsvrinRl3/hi&blipbt3btml. OFFICE OF THE INDEPENDENT BUDGET ANALYST 202 C STaasrr MS 3A SAN DIEGO, CA 92101 Tat. (619) 22 1,,36-6556 65B-12 EXHIBIT 1 Methodology According to the most recent survey available ofinclusionary programs available,149 jurisdictions in California were identified with inclusionary housing programs.3 This report is limited to the six most populated cities with reported inclusionary housing policies. Chula Vista was also selected to provide a regional comparison to the City of San Diego. The report discusses the most significant elements of each city's policy in a general format beginning with some background, the main or base requirement of the policy, alternatives to the base requirement, and impacts of city policies. FISCAL/POLICY DISCUSSION Recent Legislation — AB 1505 AB 1505 authorizes a city or county to require, as a condition of development of residential rental units, that the development include a certain percentage of units that are affordable to moderate and lower -income households. The new law became operative in January 2018 and supersedes a 2009 court decision in Palmer&Wh Street Properties v. City of Los Angeles (Palmer) that inclusionary zoning for rental residential development conflicts with the state's Costa -Hawkins Rental Housing Act. The Costa -Hawkins Rental Housing Act gives rental housing owners the right to set initial and all subsequent rental rates for a unit built after 1995. In response to the Palmer decision, many jurisdictions suspended their inclusionary zoning ordinances for rental housing development. As shown in this report, many jurisdictions have also changed the structure of the policy to be fee -based and allow, as an alternative to the fee, the production of affordable units within a development project, in order to comply with the Costa -Hawkins Rental Housing Act. A summary of some of the identified impacts from AB 1505 are provided at the end of this report. An overview of inclusionary housing programs is provided below, City of San Diego Inclusionary Housing Ordinance Back rg ound: The City of San Diego's fee -based Inclusionary Housing Ordinance was passed in 2003 and is one of several ways that affordable housing is created and preserved in throughout the city. According to the Inclusionary Affordable Housing Ordinance the purpose of the program is "to encourage diverse and balanced neighborhoods with housing available for households of all income levels." Base requirement: San Diego's Inclusionary Housing Progratn requires that all new residential development that is at least two units is subject to an Inclusionary Affordable Housing Fee. These fees are collected and placed in the Affordable Housing Fund. Instead of the fee, the developer can provide affordable units on or off -site of the project. Off -site units are allowed if they assist in 9 Thaden, Emily and Ruoniu, Wang, "Inclusionary Housing in the United States: Prevalence, Impact, and Practices," Lincoln Institute of Land Policy, September 2017. 65B-13 EXHIBIT 1 meeting the goal of providing economically balanced communities and the goal of providing transit -oriented development. Fee: For residential developments under 10 units, the fee rate per square foot is on a sliding scale and increases for each additional unit, For projects that are 10 units or more, the current rate is $10.82 per square foot. The fee is calculated by multiplying the per square foot rate and the aggregate gross floor area of all units within the development, Alternative: Instead ofpaying the fee, developers of for -sale unit projects may provide 10% of the total number of dwelling units in the project affordable to households earning up to 100% of the area median income of a family (AMI). Exemptions: An exemption is provided for residential development, receiving a financial or other form of assistance, with at least 10% of total dwelling units affordable to, and occupied by households earning up to 65 % of AMI, Impact: Since the inception of the Inclusionary Housing Program, $133.3 million has been collected in fees. In addition, 2,531 affordable units have been built with inclusionary fees and 957 affordable units have been built by developers under this ordinance and through other incentive programs. There are also 907 affordable units in the pipeline to come. City of Los Angeles Measure JJJ—A, ffordable Housing Requirements and In -Lieu ree Back rg ound The City of Los Angeles uses many ordinances and policies to promote housing development for residents of all incomes. The City -had been worldng on a mixed -income housing ordinance but it was stalled with the Palmer decision 4 However, voters approved different affordable housing requirements and an in-licu fee through Measure JJJ in November 2016. Basic Requirement: The measure requires developers of certain residential projects to provide affordable units or pay a fee instead. Projects subject to Measure JJJ are those that are at least 10 units and need changes to land uses or maximum building height that results in an increase in residential density of more than 35%, or allows a residential land use which was previously not allowed. Projects must meet one of the on -site affordability provisions or one of the specified alternative options. In addition, the measure includes various labor requirements related to pay, training, and local hiring for construction done on the project, Affordability Provisions: Affordability requirements vary depending on whether the project produces rental units or for -sale units, For rental projects, affordability requirements also depend on: 1) whether they increase residential density by more than 35 %; 2) whether it creates residential use where it was previously not allowed; and 3) what household incomes are targeted. Lower City of Los Angeles, Development of a Mixed Income Housing Ordinance, report to the Housing, Community and Economic Development Committee February 3, 2010, bttp://cilaep Iacity.ore/onlinedocs12008/08-2614 Ipt elan 2- 10,ndf 5 Tbrough a General Plan amendment or zone change 65B-14 EXHIBIT 1 affordability requirements exist for rental projects that result in an increase in residential density beyond 35%, as opposed those that result in new residential land use. Affordability requirements for for -sale projects increase depending on the household income targeted — the lower the income, the lower the percentage required since they require the greatest subsidy, Table 1 below summarizes these requirements. Alternatives; A developer can satisfy affordable housing requirements by building affordable units off -site of the project if affordability levels are compatible to those required for units provided on - site, and they are provided in proximity of the project. Other alternatives include acquiring and preserving a property containing at -risk affordable units, or paying an "in -lieu fee". In -Lieu Fee: The rental fee varies depending upon the unit size and affordability level. The for - sale fee depends on the size, affordability level, which communityplan area the project is located, and housing type, According to the affordability gaps study, fee rates for for -sale units vary significantly: from a few hundred dollars per market -rate unit to over $400,000 per unit assuming the lowest rate that satisfies the affordability requirements. Additional Incentives: In addition to increased residential density or attaining new residential use for the development, a project under this program that satisfies the affordable housing requirements is also entitled to three incentives included in the state's density bonus program, Table It City of Los Angeles Measure JJJ Affordable Housing and Fee Requirements Rental Projects' ForSale Protects__ difmvtaMe UnY Asrcentaeerr Increase in Residential Density 5%s for extremely low income end 11 for vary low income; or % Over 35% either: 20% for lower income; or 6% for very low income or 40% for moderate income 15% for lower income — R6i4ential Use. -Where Not :: 5% for extremely loww income and. Same as above' .ProvioUtly.Alldwed' •••.c 11%vety low,incom'aor`.^. 20%kilowerindohie. ;' ... Tn-T,fen Fee .. Crt;ase in Residential,Density' Exampl6: $46,350 petorie b'ei3room' Cbuld ruhge between a f0ly hutidred ' Over•3'S% dttitassumm$5%uforeXtremelylow to,'dyer'.$40%1300 par:prmket -rate ' income and:6%forverylowineome-'unit Residential Use Where Not Example, $66,585 per oue•bedroom Same as above Previously Allowed unit assuming 5% for extremely low income and 11% for_ very low income t The affordabilityunitpememages indicate the minimum percentage of affordable units required within a residential development. Affordable unite must have rents or prices set at a level that is affordable to the specified targeted household income, 2 Rental income thresholds: Extremely low-income units target household incomes up to 30%of AMI; very low-income units target households up to 50% of AMI, and lower -income units target households up to 80% of AMI.° a For -sale income thresholds: very low-income targets households up to 50% of AMU, lower -income targets households up to 80% ofAML end moderate -income targets households up to 120%of AM. 6In-Lieu Fee Study for Compliance with City of Los Angeles Measure JJJ, Affordability Gaps Study, March 13, 2017, httus•//nlnnning lacity arc/orditrancesldocs/I'OCILA Measure, JJJ Affordability Gan Analysis 03132017 Edit ndf 65B-15 EXHIBIT 1 m ac : City staff indicate that initial results of Measure JJJ show a significant decline ofproposed housing units through General Plan amendments and zone changes, which may be due to a confluence of factors. However, staff have also seen positive results emerging from a separate program that originated from Measure JJJ, called the Transit Oriented Communities Affordable Housing Incentive Program (TOC Program), The TOC Program promotes affordable housing development located in a one-half mile radius around a major transit stop by providing incentives such as additional density and reduced parking. There are varying levels of affordability required targeting extremely -low income households, very low-income households, and lower income households. Additional incentives could be granted if certain labor standards are met, but this is discretionary, Los Angeles also has an affordable housing linkage fee program which became operational in June 2018. For -sale and rental housing development are exempt from the fee if they include affordable units where at least 40% are for moderate -income households; 20% are for low-income households; II% are for very low-income households; or 8% are for extremely low-income households. The fee per square foot varies by size of the development project, but ranges between $1 in a low market area and $18 in a high market area.? Since the linkage fee has just gone into effect, there is no information available on its impacts. However, city staff estimate that the fee could generate about $110 million per year that would go towards affordable housing, City of San Jose Inclusionary Housing Ordinance Background: San Jose's Inclusionary Housing Ordinance was adopted in January 2010. However, its implementation was stalled because it was challenged by the California Building Industry Association claiming that it was an unconstitutional exaction. In 2015, the city's ordinance was upheld by the California Supreme Court which instead characterized residential inclusionary zoning ordinances as "land use restrictions", and therefore not subject to special scrutiny triggered by exactions.' This ruling allowed San Jose's Inclusionary Housing Ordinance to be reactivated after a grace period, but only for for -sale units (not for rental units) due to the Palmer court decision. San Jose's Inclusionary Housing Ordinance kept the requirements related to rental units in law but made its operation contingent upon the Palmer decision being overturned, or the state legislature authorizing control of rents of inclusionary units. With the enactment of AB 1505, San Jose has only recently been able to fully implement its hiclusionary Housing Ordinance for both for -sale and rental units even though it has been on the books since 2010. Base Requirement: The ordinance requires that all residential development projects that are 20 units or more include 15% of the housing on -site at a cost that is affordable to specified income ?City of Los Angeles, Affordable Housing Linkage Fee, Ordinance Background and Frequently Asked Questions, February 2017. B California Building Industry Association v. City of San Jose, March 10, 2016 httpsV/harvardlawreview ore/2016/03/califomia-buildiniz-indtistry-asmi-v-city-of-san-io accessed July 6, 2018. 65B-16 EXHIBIT 1 levels. Projects that create for -sale units must provide units at an affordable sales price to households earning up to 110% of AMI. Projects that provide new rental units must satisfy the 15% obligation with the following breakdown: • 9% of the total dwelling units at an affordable rent for moderate income households earning up to 80% of AMI • 6% made affordable to very low-income households earning up to 50°/o of AML Incentives: The program offers developers incentives to provide housing on -site such as: an increase inproj ect density that would otherwise not be allowed; reduction in parking requirements; reduction in minimum setback requirements; the ability to provide an alternative unit type as compared to the market rate units; the ability to provide alternative, but functionally equivalent, amenities than market rate units; and additional assistance from the city for such things as selling and renting affordable units to qualified households. Alternatives: The program allows for the alternatives listed below. Offsite: Developers may provide affordable units off -site if at least 20% of the total units in the residential development are affordable. For -sale affordable units must be available to households earning no more than 110% of AMI. Rental projects must also satisfy the 20% obligation, but by providing 12% of the total dwelling units in the project affordable to lower -income households earning up to 60% of AMI, and 8% for very low-income households earning up to 50% of AMU. In -Lieu Fee: Developers may pay a fee instead of constructing the affordable units within the project. The current fees are $167,207 per inclugionary home and $125,000 per inclusionary unit through June 30, 2019. These rates reflect the average city subsidy per unit, which is then applied to the 20% requirement for the proportion of affordable units within the residential development. Other alternatives include: • Dedication of land instead of constructing inclusionary units ■ Purchase or transfer of affordable housing credits between developers • The acquisition and rehabilitation of existing market rate units for conversion to affordable units • Allowing developers to provide affordable units that are restricted by an agreement between the developer and the United States Department of Housing and Urban Development • Allowing a developer to propose a combination of options outlined above, Impact: Since San Jose's inclusionary, program hag only recently begun to fully operate, there is no information currently available on how many affordable units have been created attributed to the city's inclusionary housing program. Housing Impact Fee .Program San Jose also established a Housing Impact Fee Program in 2014 and started collecting fees in 2016. The affordable housing impact fee applies to new small residential rental development (with 65B-17 EXHIBIT 1 3 to 19 dwelling units) at a fee of $17.83 per square foot, The impact fee does not apply to for -sale unit developments. San Francisco Inclusionary Housing Program Background: San Francisco has had an inclusionary housing program since 1992, which was discretionary up until 2002. It was recently amended in the fall of 2017 and is currently transitioning to becoming fully operational by 2028. Base Rec;W ment: All residential development projects that are at least 10 units pay an Affordable Housing Fee. The Affordable Housing Fee is different for each unit type. The fee is calculated by multiplying the fee per unit (i.e. a one -bedroom unit has a fee of $268,960) by the number of units of that type in the project, times the fee rate. The fee rate is 30% or 33% since it reflects the off - site affordable unit percentage requirement for either rental units or for -sale units, Alternatives: As an alternative to paying the fee, a developer can construct affordable units on or off -site of the residential development. Affordability requirements vary depending upon the size of the project and whether the units are for -sale or for rent. These requirements are summarized in Table 2 below. On -site: The city is currently phasing in increases to affordable housing obligations for on -site projects. For small for -sale and rental unit projects (10 to 24 units), the number of affordable units required to be constructed on the project site is 12.5% of all units and must be available for low- income households. This percentage will be increased annually until it reaches 15% in 2024, For large projects (25 writs or more), 21% of all units within for -sale unit projects must be affordable, with certain proportions targeting low-income households, moderate -income households, and middle -income households. For rental unit projects, 19% of all units are required to affordable, with a breakdown similar to for -sale units. Off -site: If developers elect to construct affordable units at a different site than the development, the affordability obligation increases from 12% to 20% for small projects, For large for -sale unit projects, the required number of affordable units is 33% of all writs in the development, broken down by low-income, moderate -income, and middle -income households. Similarly, 30% of all units within a rental unit project are required to be affordable with a comparable breakdown by household income. The following table summarizes the details of San Francisco's Inclusionary Housing Program. 7 M• EXHIBIT 1 Table 2: Summary of San Francisco's Affordability Requirements4l Small For-SAo Units Small Rental Units Large For•Saie Units Large Rental Units Onsite .12.5%;f0rlowincwmc3 12.5%° for low fneeme3 21'%° ... 199V ;? ,foflow;•'.' 5°/°.formodgtnte 40 fdr'inodeSete..•: '. 3% lormidd q i , c ; ` :.' 'i% foYwlidle` Off -site 20%forlowincome 20%for low income 33% 30% 18%for low 18%for low 8%for moderate 6%for moderate 7% for middle 6% for middle r Affordable For -sale units for low-income households earn up to 80% of MA moderate -income households earn up to 105% of AK and middle -income households cam up to 130% of AMI. 7 Affordable rental units for low-income households earn up to 55% of AM; moderate -income households earn up to 80% of AK and middle -income households cam up to 110% of AM. 315 % at full implementation 126% at full implementation 324% at full implementation Impact: It is too early to identify the impacts of the city's new Inclusionary Housing Program. However, the most recent housing inventory report indicates that in 2017, 421 inclusionary units were added which accounts for 28.8% of all affordable units provided through all city programs.9 City of Sacramento Mixed Income Housing Ordinance Backeround: In 2015, the Sacramento City Council modified its Mixed Income housing Ordinance to a fee -based policy in compliance with the Palmer decision. Prior to 2015, Sacramento had a project -percentage requirement of 5% of total dwelling units to be affordable to low-income households earning up to 80% of AMI and 10% for very low-income households with income up to 50% of AMC These units were required to be built on the site of the development project, to the extent possible. The City cites one of the reasons for moving away from the project-porcentage approach was the difficulty of marketing for -sale inclusionary units due to a limited range of qualified buyers.10 Base Reuirement: The Ordinance requires that an affordable housing impact fee be assessed for all now market rate housing units, with the intent of providing housing for a variety of incomes and family types. Residential developments larger than 100 acres are additionally required to develop a Council -approved mixed -income housing strategy. The strategy demonstrates how the projeotprovides housing forvariety of incomes and family types. It may also provide for fee credits for land dedication, construction of affordable units, or another mechanism that leads to affordable housing. 9 2017 San Francisco Housing Inventory, San Francisco Council Report, Report ID: 2015-00668, 65B-19 EXHIBIT 1 Affordability requirements: The ordinance states that multi -dwelling development projects constructed for fee credit may contain any proportion of affordable dwelling units. Affordable units must be targeted to low-income households earning up to 80% of AMI. It also provides that the maximum number of affordable dwelling units in a multi -unit residential development project is 150. Em: The fee is $2.85 per square foot for housing units up to a certain density. For multi -unit dwellings, the fee is reduced to $0 at 40 dwelling units per acre, with the intent to incentivize such development, Dwelling units located in a specified Housing Incentive Zone are charged $1.23 per square foot. The fee is adjusted annually for inflation. Exem tp ion: The ordinance exempts various development projects from paying the impact fee, including projects in which at least 10% of the dwelling units are affordable for a duration of no less than 30 years. Impact: According to the most recent annual report on the Mixed Income Housing Ordinance, $1.7 million in fees and interest have been collected since the implementation of the ordinance in 2015. There have not been expenditures on development of affordable housing yet.'r City of Oakland Affordable Housing impact Fee Back ound: The Oakland City Council adopted development impact fees for affordable housing, transportation, and capital improvement in May 2016 and they went into operation in September of that year. The Affordable Housing Impact Fees are being phased in over three years12 which will largely be completed by fiscal year 2019. The impact fee is intended to compensate for the increased demand for affordable housing generated by market -rate residential development projects within the City of Oakland. .Base Requirement: As a condition of a building permit for new housing units, the developer must pay the impact fee or provide affordable housing units on -site or off -site of the project. Fee: The fee varies by housing type and in which of the three "impact fee zones" the project takes place, The payable fee is the product of the fee per housing unit, and the number of additional housing units. The bottom of the range for the fee per housing unit in Table 3 reflects the zone that has the most affordable housing costs, while the top end of the range reflects areas that are the most expensive. Zone 2 lies between these figures. I City of Sacramento City Council Report, Annual Reports of the Housing Trust Fund, Mixed Income Housing Ordinance, and HOME Investment Partnerships Program, June 26, 2018, of Oakland Transportation, Capital Improvements, and Affordable Housing Impact Fees Summary, 65B-20 EXHIBIT 1 Table 3: City of Oakland Affordable Housing Impact Fees Alternatives: To be exempt from the impact fee, the developer may instead provide on -site or off - site affordable housing units. On -site: Developers can choose any of the following options for providing affordable housing: 13 9 10% of the total number of housing units in the project are moderate -income units; • 10% are low-income units; or • 5% are very low-income units. Off site: For affordable units provided off -site, the requirements outlined above apply and the twits must be located within one half mile of the development project, unless otherwise exempted. Impact: The impact fee report for FY 2017 includes partial -year information on the initial implementation of the Affordable Housing Impact Fee as it is being phased in. The city collected $478,000 in fees and there is an additional $7.2 million in revenue assessed but is not due yet.14 At the time of the report, 10 development projects were including on -site affordable housing in lieu of paying the impact fee. These projects translate to 152 affordable units." City of Chula Vista Balanced Communities Policy Background: Chula Vista's Inclusionary Housing program was adopted in 1981 and applies to all residential development of 50 units or more, It is intended to increase affordable housing in new communities in the eastern part of the City. Base Requirement: The program requires that 10% of the total number of dwelling units in a residential development project are to be affordable. At least 5% must be affordable to low-income households and 5% are affordable to moderate -income households. The policy encourages construction of affordable units on the site of the project for for -sale developments, A developer of a rental project who has not received any city assistance may voluntarily fulfill this obligation to not conflict with Costa -Hawkins. 13 Moderate income units are affordable to households earning up to 120% of AM% low income units are affordable to households earning up to 80% of AMI, and very low-income units are affordable to households earning up to 50% of ME 14 Fees are paid in two installments: 500/6 due prior to issuance of a building permit and 30% prior to issuance of a certificate of occupancy (i.e. project completion). 13 City of Oakland Impact Fees Annual Report Agenda Report, November 2017, 10 65B-21 EXHIBIT 1 The city uses the following income categories for determining affordable rents and prices: very low-income households earn up to 50% of AMI, low-income households earn between 50% and 80% of AMI, and moderate -income households cam between 80% and 120% of AMI. Alternatives: A developer may use any combination of alternatives to satisfy the inclusionary requirements, A developer can elect to provide affordable units off -site. This can be done through construction of new affordable units; acquiring and rehabilitating existing market rate units to affordable units; transfer of affordable housing credits from another developer; and through special needs housing projects or programs such as shelters and transitional housing. In -Lieu Fee; The in -lieu fee is currently set at $124,220 per unit and is multiplied by number of affordable housing units required. It applies to both moderate and low-income households for either rental or for -sale units, The fee is based upon the affordability gap of what low and moderate - income households can afford to pay for a home and the median sales price of a home in Chula Vista. Exemptions: To avoid increasing low-income housing concentrations, the program exempts designated census tracts called "Area of Low/Moderate Income Concentration" in which the median income is below the citywide median income and it also falls within the Low to Moderate Income Boundary as defined by the federal government. Anecdotally, City of Chula Vista staff indicated that they have seen more market -rate development in those areas, which would have the effect of diluting the concentration of affordable housing. Incentives: The policy encourages production of affordable housing for very low and low-income households over housing targeting moderate income households by reducing the required affordable housing requirement. For example, low-income units count for a L5 unit credit when it is provided in place of a moderate -income unit. Therefore, for every additional low-income unit provided more than the requirement, the obligation to provide moderate-incomo reduces by 1.5 units each. Similarly, if very low-income units are provided, each one counts as a 2.0 unit credit in place of a moderate -income unit. Impact: No recent data was available at the time of this report that reflects how many affordable units or fees have been collected because of this policy. However, the Housing Element of the eity's General Plan adopted in 2013 stated that during the 2005-2010 reporting period, the city constructed or entered into inclusionary agreements for the addition of 334 low-income and 183 moderate income housing units in the city.16 Impacts of AB 1505 Because AB 1505 became operative in January 2018, little is known about how cities have reacted or intend to react in response. The bill would allow cities to implement inclusionary zoning policies for rental units that are based in prescribed project -percentages of affordable units, as opposed to the common fee -based structure. The policies included in this review currently have requirements for rental units but are structured in a way that they are in compliances with Costa -Hawkins. Through conversations with jurisdictions in this report, many cities have recently amended their 16 City of Chula Vista, Housing Element of the General Plan, 2013 htU:Rwww.chulavistaca.povthometshowdocument?i d=5503. 11 65B-22 EXHIBIT 1 inclusionary housing policies before AB 1505 was enacted, which took significant political will to get adopted. These cities appear to be currently focusing on implementing these measures and monitoring their progress as opposed to contemplating adopting revised inclusionary zoning policies in response to AB 1505. However, both San Francisco and San Jose have already adjusted their policies in response to AB 1505. Prior to enactment of AB 1505, San Francisco allowed developers to build affordable rental units on -site or off -site if they waive thew Costa -Hawkins rights through an agreement. The city has removed references to this requirement in municipal code as these agreements are no longer necessary. San Jose has had inclusionary requirements for rental units in law for many years but they have not been operative because they were contingent upon a change in the Palmer ruling or a legislative change. The enactment of AB 1505 makes these provisions operative. Also, San Jose used to place a Housing Impact Fee on large rental unit projects but now these projects have been incorporated into the requirements of the Inclusionary Housing Ordinance. CONCLUSION As evident in this report, inclusionary housing programs vary widely in structure and complexity. The policies reflect the unique needs and priorities of each jurisdiction. Los Angeles' Measure JJJ lead to the creation of an incentive program that is starting to see preliminary positive results in encouraging affordable housing near major transit stops. San Jose provides developers numerous incentives to provide affordable units on -site as well as many alterative options. San Francisco targets middle and moderate incomes, because as stated in its Housing Element Plan, "public subsidies tend to fund very low and low-income housing, with very limited grants allocated for moderate -income home buyers." Sacramento's policy places value on higher density development by exempting high density projects from fees, Chula Vista encourages developers to develop in certain areas by not charging fees in areas that already have a high concentration of affordable housing. It also provides additional incentives when units for low- income households areprovided over units For moderate -income households. Finally, San Diego's policy is the most focused policy in comparison to other jurisdictions, targeting low and median - income households. Many of the policies reviewed in this report have been recently modified so it is difficult to assess the outcomes of the programs and whether they are fulfilling their intended purpose, This report can be used as a reference to compare the City of San Diego's inclusionary policy to how other jurisdictions have struchuedtheir policies. Additional research could be done in the future to assess whether the City of San Diego's policy is fulfilling its intended purpose and whether it reflects and addresses our greatest local needs. nri�� ICissee Fisol & Policy Analyst APPROVED: Andrea' e_ vl'm Independent Budget Analyst 12 65B-23 65B-24 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JULY 2, 2019 TITLE: CONTINUED PUBLIC HEARING — ZONING ORDINANCE AMENDMENT NO. 2019-03 TO AMEND CERTAIN DEVELOPMENT AND DESIGN STANDARDS APPLICABLE WITHIN THE TRANSIT ZONING CODE (SPECIFIC DEVELOPMENT NO. 84) ZONING DISTRICT — CITY OF SANTA ANA, APPLICANT (STRATEGIC PLAN NO. 3, 2; 5, 3) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 181 Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Adopt an ordinance approving Zoning Ordinance Amendment No. 2019-03 amending certain development and design standards applicable within the Transit Zoning Code (Specific Development (SD) No. 84) zoning district. BACKGROUND & DISCUSSION At the regular City Council meeting on June 4, 2019, the City Council conducted the public hearing regarding Zoning Ordinance Amendment (ZOA) No. 2019-03. After receiving staffs presentation and the recommendation from the Planning Commission on this matter, the City Council continued the public hearing for further clarifications regarding the boundaries of the Transit Zoning Code (TZC),where the proposed changes are applicable, the decision -making and review process for development projects within the TZC, and the proposed parking options and changes within the TZC. The TZC was adopted by the City Council on June 7, 2010. As a form -based code, the TZC regulates the physical form of development projects and buildings affecting the public realm in addition to traditional zoning regulations relating to uses, parking, and setbacks. Since its adoption in 2010, the TZC regulations have not achieved the overarching goals of integrating new development and the rehabilitation of existing structures in the zoning district, and have not stimulated significant new developments within the TZC zoning district. Feedback from the development community over the years indicates that the existing regulations are not practical and at times, prohibitive in an existing environment with small parcels having limited frontage and depth. 75A-1 Zoning Ordinance Amendment No. 2019-03 — Transit Zoning Code Amendments July 2, 2019 Page 2 The goal of the proposed amendments are to update the regulations and design requirements within the TZC and to incorporate best planning and land use practices to meeting the goals of the TZC. The proposed revisions addresses building heights, off-street parking options, parking driveway standards, open space standards, and building massing and setbacks standards within the TZC zoning district. Updated Report and Clarifications This updated RFCA report addresses City Council concerns and questions and provides a summary of the proposed revisions to the TZC as follows: Transit Zoning Code Boundaries: The TZC boundaries include Flower Street to the west, Civic Center Drive and Washington Avenue to the north, Santa Ana (1-5) Freeway and Grand Avenue to the east, and First Street to the south. The TZC location within the City of Santa Ana is highlighted on the map below in blue (Figure 1). Figure 1. Transit Zoning Code (Specific Development 84) Zoning District & Area of Applicability Transit Zoning Code Sub -Districts Affected by the Proposed Amendments: The TZC establishes eight separate sub -districts. These sub -districts are defined by the type and density of development permitted. The sub -districts are listed in order of intensity below with the Transit Village sub -district allowing the most intensive developments and the Open Space sub -district the least intensive developments. 75A-2 Zoning Ordinance Amendment No. 2019-03 — Transit Zoning Code Amendments July 2, 2019 Page 3 • Transit Village (TV) • Government Center (GC) • Downtown (DT) • Urban Center (UC) • Corridor (CDR) • Urban Neighborhood 2 (UN-2) • Urban Neighborhood 1 (UN-1) • Open Space (0) The proposed revisions will only affect the TV, DT, and UC sub -districts of the TZC and are shown on the map below in dark red, red -orange, and orange without crosshatching respectively. I N w+E. -Ca.MY�CDNI IIMnMwpllpellleW IUIFI•S �.Jn� -Db.nb.n ICI, ! IMMMW�YTm0,U1F11 O�_ _ 4wwnmTC IOCI � y InUUM1W OwIM\�I OE e _ py�,Bpy1061 IMUWIC\YIq M3 OEI � � � �. ��. 84B ` ! R!;r' Figure 2. Transit Zoning Code Boundaries and Sub -Districts Transit Zoning Code Review Authority. The decision -making and review process for development projects within the TZC were established in 2010 with the adoption of the TZC and include a combination of by -right and discretionary processes and procedures. Figure 3 below outlines the established decision -making and review process for the development projects proposed within the TZC. Currently, all General Plan Amendments, Zone Changes, and Code Amendments related to the TZC requires City Council approval. Discretionary actions such as Conditional Use Permits, Site Plan Approvals, and Variances, are reviewed and approved by the Planning Commission or Zoning Administrator. The proposed TZC amendments will not change this process. 75A-3 Zoning Ordinance Amendment No. 2019-03 — Transit Zoning Code Amendments July 2, 2019 Page 4 PUNt6W O[F[PMVRS MRIGB IF AFN¢V ProCESf OVFR-rNE{O¢NIERRE m ............ BYWCNr............ 9'VYS W iAHf ZA AvvuwloxwwunuxcF WIRIMPl1(A9LESLWMRM ,wPfNVAI.WnwFm R NNG PEmvrE els OEVELOPM TIX REVIEV ............................................ WDIK EiI¢WR ACVDN.................................................... AIWORq(FPiIONi CW ArmsrR115Ff F%FFGORAIOGFIUPONS AWOJIGIIONSlO1WW5R SFIECtFUC18U5F5 V.VOUiCFS ZIXIINLCOCF PARC¢µfPy rRACF AUPs Arnmrnsrox¢rawc FSIGPw¢s m'¢uwxus LFNFPRLPWIAMFIiWFNR 2CN..3MVR PUNNIN4RN9US PIINwHGCCFAkisWrcN Kgm ]SYIN¢ roEAL APGP(.LL E RPP �AE pwll CFss Figure 3. Transit Zoning Code Decision -Making and Review Process Summary of Proposed Transit Zoning Code Amendments: The proposed amendments include changes to building heights, off-street parking options, parking driveway standards, open space standards, massing, and setbacks in certain areas of the TZC. These amendments are as summarized below: Building Height— Lined Block Building Type Sub -district Impacted: Downtown (DT) sub -district Building Type Affected: Lined Block Proposed Change: Increase maximum height of Lined Block Buildings from 5 stories to 10 stories in the DT sub -district. Currently, the DT sub -district allows a maximum of 10-stories for a Flex Block building type and a maximum of 5 stories for a Lined Block building type. Examples of each of these buildings types are illustrated below (see Figure 4). The Flex Block and Lined Block are very similar building types. Therefore, staff is proposing a maximum of 10-stories for the Lined Block building type, which is consistent with the 10-story maximum height already allowed for the Flex Block building type. 75A-4 Zoning Ordinance Amendment No. 2019-03 — Transit Zoning Code Amendments July 2, 2019 Page 5 Figure 4. Flex Block Building Type (Left Image) and a Line Block Building Type (Right Image) By increasing the Lined Block building type height to 10-stories, the TZC would maintain the existing ten -story building height limit, but would allow additional types of buildings to be 10-stories in height. The TZC has previously established that Lined Block and Flex Block building types fit well in the DT sub -district, while other building types such as the Tower on Podium building type may be too large to fit on the small downtown blocks. Off -Street Parking Options — In -Lieu Options and/or Park -Once Program Sub -district Impacted: Transit Village (TV), Downtown (DT), Urban Center (UC) sub -districts Proposed Change: Allow required residential guest and nonresidential parking standards to be met by any combination of the following: • On -site parking • Participation in a Park Once Program • Payment of an In -lieu parking fee. Currently, the TZC requires developments in all sub -districts to meet their parking requirements on site. The residential parking requirement of 2 spaces per unit must be provided on -site. However, non-residential and residential guest parking standards in the Transit Village and Downtown sub- district can be met by participating in a Park Once Program and paying a parking in -lieu fee. Both programs have not been defined or established and will require review and approval by the City Council prior to implementation. Parking in -lieu fee programs allow applicants for development projects to pay a designated fee (or "in -lieu") instead of providing off-street parking spaces ordinarily required by the TZC. The purpose of an in -lieu program is not to impose an additional fee or burden on development, but to provide an alternative for projects having difficulty meeting minimum requirements on -site due to space constraints, financial feasibility, or both. Alternatively, a Park -Once Program allows people to park their car once and circulate throughout a downtown via transit or by walking. This program encourages utilization of existing parking structures, enhanced pedestrian mobility, and business viability. The proposed amendments to the TZC would expand the future parking requirement options through a combination of onsite parking, paying an in -lieu fee, and/or participating in a Park Once 75A-5 Zoning Ordinance Amendment No. 2019-03 — Transit Zoning Code Amendments July 2, 2019 Page 6 Program. This means that an applicant would be able to satisfy guest or non-residential parking requirements by providing onsite parking or by paying an in -lieu fee, and/or participating in a Park Once Program, if these options were adopted by the City Council. In addition, the amendments would extend the parking options currently allowed in the Transit Village (TV) and the Downtown (DT) sub -district to the Urban Center (UC) sub -district. At this time, the amendments are not proposing to establish either parking option program. Once developed, staff will bring a Parking In -lieu Fee Program and a Park -Once Program to the City Council for review and adoption. The City Council will be the final authority for considering and approving the use of the in -lieu fee alone or in combination with a Park Once Program to satisfy on -site parking requirements for individual projects. Off -Street Parking Options — Historic Buildings Sub -district Impacted: Urban Center (UC) sub -district east of Minter Street Buildings Impacted: Buildings or structures listed on the Santa Ana Register of Historic Places, the National Register of Historic Places, or within the Santa Ana Downtown Historic District Proposed Change: Exempt designated historic structures in the UC sub -district east of Minter Street from providing additional onsite parking The TZC currently exempts historic buildings within the Downtown (DT) sub -district from having to provide new parking if the building is converted to a new use, as long as the building is not increased in size. The proposed amendment would expand this exemption to apply to existing and future designated historic buildings located within the Urban Center (UC) sub -district, which is adjacent to the DT sub- district. The proposed amendments would affect approximately ten existing buildings that have been designated historic within the UC sub -district. These include the following buildings: • Dr. Howe -Waffle House —120 West Civic Center Drive • Grand Central Market—110-122 N. Sycamore and 190-117 N. Broadway • Phillips Block Building — 301-309 West Fourth Street • United Presbyterian Church—113-115 East Santa Ana Boulevard • Smith -Tuthill Funeral Parlor —518 North Broadway • Grand Central Building —125 North Broadway • Knights of Pythias Hall — 420-424 North Broadway and 300-322 West Fifth Street • Zerman Building — 201 West First Street • Empire Market — 202-208 North Broadway • Episcopal Church of the Messiah — 614 North Bush Street 75A-6 Zoning Ordinance Amendment No. 2019-03 — Transit Zoning Code Amendments July 2, 2019 Page 7 Parking Driveway Standards Sub -district Impacted: Transit Village (TV), Downtown (DT), Urban Center (UC), Corridor (CDR), Urban Neighborhood 2 (UN-2), and the Urban Neighborhood 1 (UN-1) sub -districts Proposed Change: Allow administrative approval of driveway widths to meet Fire Protection and Trash Service Requirements. Currently, the TZ requires 1-way driveways to be within 8 to 12-feet wide and 2-way driveways to be within 20 to 25-feet wide. However, on urban sites trash and fire trucks can have difficulty maneuvering within the maximum 25-foot driveway permitted by the TZC. The proposed amendments would modify the TZC text to allow staff to approve alternate driveway widths to satisfy Orange County Fire Authority (OCFA) and/or refuse collection requirements on a case -by -case basis. The amendment would provide administrative relief in the event that driveways need to be constructed wider than what the current code allows, and would create flexible options to provide access to parking structures and refuse collection areas in a single, co -located location within a development. Upper Story Setback — Downtown (D7) Sub -District Sub -district Impacted: Downtown (DT) Buildings Impacted: Buildings with more than 6 stories Proposed Change: Eliminate the 100-foot setback The Downtown (DT) sub -district requires a 100-foot setback from the property line for portions of buildings above 6 stories. However, many lots in the downtown area have a lot depth of only 120 feet and blocks within the DT sub -district have average depths and widths of 250 feet by 250 feet. This 100-foot setback requirement from the public right-of-way severely limits development potential and building design. The proposed amendment eliminates the 100-foot setback requirement for portions of buildings over 6 stories tall. This amendment would establish a development standard that allows lots with only 120-feet depth to be redeveloped with more practical designs. Lot Width and Depth Standards and Text Amendments Sub -district Impacted: All Buildings Impacted: Flex Block, Lined Block, and Stacked Dwellings Proposed Change: Establishes a Minimum Depth for Flex Block, Lined Block and Stacked Dwellings of 100-feet The TZC currently specifies minimum lot depths of at least 130 and 170-feet, which exceeds the typical lot depths of 125-feet currently found in the downtown area. The proposed amendments would modify the development standard to specify a minimum 100-foot lot depth for Flex Block, Lined Block, and Stacked Dwelling building types. Specifically, the Flex Block minimum lot depth would be amended from 130 to 100-feet, the Lined Block minimum lot depth from 170 to 100-feet minimum, and the Stacked Dwellings minimum lot depth from 130 to 100-feet minimum. These amendments would create a more realistic development standard that addresses current lot sizes and shapes in the downtown area. In addition, it would provide additional standardization of TZC development standards by eliminating internal inconsistencies within the plan. 75A-7 Zoning Ordinance Amendment No. 2019-03 — Transit Zoning Code Amendments July 2, 2019 Page 8 The TZC also specifies the minimum lot dimensions in multiple sections. The proposed text amendments would modify each building type's subsection to refer to the lot width and depth standards in Table BT-1, Permitted Building Types and Lot Depth and all other references to minimum lot depth throughout the document. This change would ultimately reduce opportunity for inconsistencies among multiple pages and code sections. Open Space Standards Sub -district Impacted: All Buildings Impacted: Flex Block, Lined Block, and Stacked Dwellings Proposed Change: Allows opens space areas to be located in the front, side or rear yard areas. The TZC specifies that required open space areas for certain building types may only be located in the rear or side yard areas. The proposed amendment would modify the development standard to allow construction of open space areas on any side of the building, including the front. This amendment would allow development of open space areas along the front of buildings and would provide greater public benefit, visibility, and security of open space areas when located at the front of a building. Massing Standards Sub -district Impacted: Downtown (DT) Buildings Impacted: All Buildings Proposed Change: Allows opens space areas to be located in the front, side or rear yard areas. The TZC requires that Flex Block, Lined Block, and Stacked Dwelling buildings become increasingly smaller in area as they become taller in height. Between 3 and 5 stories the buildings may only be 75-80 percent of the ground floor's volume; and portions above 6 stories may only be 30-40 percent of the ground floor's volume. This requirement results in buildings with a bulky base that steps back progressively with height, similar to an Aztec pyramid. The proposed amendments would modify the development standard to allow massing of 85 percent of the ground floor's volumes for buildings containing 3 or more stories. This amendment would create more realistic development standards that take into account the downtown area's smaller -than -average lot depths. In addition, the amendment would account for engineering and design challenges of buildings when step -backs are required on upper levels. ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the proposed project is exempt from further review per Section 15061(b)(3). Environmental Review No. 2019-35 will be filed for this project. This exemption applies to projects covered by the general rule that CEQA applies only to projects that have the potential for causing a significant effect on the environment; where it can be seen with certainty that there is no possibility that the activity in question may have a significant effect on the environment. The activity would be consistent with Final EIR No. 2006, 75A-8 Zoning Ordinance Amendment No. 2019-03 — Transit Zoning Code Amendments July 2, 2019 Page 9 prepared for the Transit Zoning Code (SD No. 84) and certified by the City Council on June 7, 2010, through Resolution No. 2010-024. STRATEGIC PLAN ALIGNMENT, AND PUBLIC NOTIFICATION & COMMUNITY OUTREACH Strategic Plan Alignment, and Public NotificatidWA Community Outreach Strategic Plan_ Alignment7�'. Approval of this item supports the City's efforts to meet Goal No. 3 - Economic Development, Objective No. 2 (create new opportunities for businessrJob growth and Goal(s), Policy or encourage private development through new General Plan and Zoning Ordinance Policies policies) and Goal No. 5 - Community Health, Livability, Engagement & Sustainability, Objective No. 3 (facilitate diverse housing opportunities and support efforts to reserve and improve the livability of Santa Ana neig hborhoods). Public Notification & Community Outreach The proposed amendments are limited to the Transit Zoning Code boundary area. The TZC is not located within the boundaries of any neighborhood associations. However, the adjacent Downtown and Lacy Neighborhood Association representatives were contacted and informed of the proposed amendments. In addition, a notice was published in the Orange County Register. At the time of this Required Measures printing, no correspondence, by phone, written, or electronic, has been received from any members of the public. Furthermore, no public comments or input were received during the adjourned regular Planning Commission meeting on May 14, 2019. Newspaper posting was originally published in the Orange Newspaper posting County Reporter on May 24, 2019. The item was continued from the June 4, 2019, City Council. FISCAL IMPACT There is no fiscal impact associated with this action. 75A-9 Zoning Ordinance Amendment No. 2019-03 — Transit Zoning Code Amendments July 2, 2019 Page 10 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal No. 3 - Economic Development, Objective No. 2 (create new opportunities for business/job growth and encourage private development through new General Plan and Zoning Ordinance policies) and Goal No. 5 - Community Health, Livability, Engagement & Sustainability, Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). Minh Thai Executive Director Planning and Building Agency Exhibit: 1. Draft Ordinance 75A-10 EXHIBIT 7 LS 7.2.19 ORDINANCE NO. NS-XXXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADOPTING ZONING ORDINANCE AMENDMENT NO. 2019-03 AMENDING SECTIONS 41- 2010, 41-2011, 41-2012, 41-2013, 41-2014, 41-2015, 41- 2022, 41-2023, AND 41-2024 OF THE SANTA ANA MUNICIPAL CODE IN THE TRANSIT ZONING CODE/SPECIFIC DEVELOPMENT (SD) NO. 84 ZONING DISTRICT TO MODIFY HEIGHT, MASSING, OPEN SPACE LOCATION, DRIVEWAY STANDARDS, LOT DIMENSIONS AND AMENDING VARIOUS OPTIONS TO SATISFY REQUIRED PARKING THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. Various sections of Chapter 41 (Zoning) of the Santa Ana Municipal Code (SAMC) have been revised periodically over the last several years to respond to changes in development, to adopt new permitting procedures, and to comply with changes to State and Federal laws. In a continuing effort to establish high -quality development standards and to create a user-friendly environment for residents and the business community within the City, the Planning Division is proposing revisions to various sections of Chapter 41 (Zoning) of the SAMC specifically found in the Transit Zoning Code (Specific Development No. 84). B. After a thorough analysis of the current code requirements in the City, staff identified several sections of the code for amendments necessary to ensure clear, uniform, and legally consistent regulations that are practical for the City and developers to implement through high -quality and safe building designs. The proposed amendments will enable the City to implement a regulatory framework that protects the health, safety and welfare of the City and limits undue strain on homeowners, business operators and developers. C. At its adjourned regular meeting on May 14, 2019, the Planning Commission held a duly noticed public hearing and voted to recommend that the City Council adopt Zoning Ordinance Amendment No. 2019-03. D. At its regular City Council meeting on June 4, 2019, the City Council by a vote of 6:0 continued the public hearing for Zoning Ordinance Amendment (ZOA) No. 2019-03 for 30 days. Ord. NS 2019-XXXX Page 1 75A-11 E. The City Council, on July 2, 2019, held a duly noticed public hearing on this zoning ordinance and amendments, and has considered all testimony presented thereto. Section 2. The proposed ordinance has been reviewed with respect to applicability of the California Environmental Quality Act ("CEQA") and the State CEQA Guidelines (California Code of Regulations, Title 14, Section 15000 at seq.). The project is exempt from CEQA as it can be seen with certainty that there is no impact on the environment [Section 15061(b) (3)] and a Notice of Exemption will be filed upon adoption of this ordinance. Section 3. Sections 41-2010, 41-2011, 41-2012, 41-2013, 41-2014, 41-2015, 41-2022, 41-2023, and 41-2024 of the Santa Ana Municipal Code in the Transit Zoning Code/Specific Development (SD) No. 84 zoning district are hereby amended and attached hereto as Exhibit A and incorporated by reference as though fully set forth herein. Section 4. If any section, subsection, sentence, clause, phrase or portion of this ordinance for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council of the City of Santa Ana hereby declares that it would have adopted this ordinance and each section, subsection, sentence, clause phrase or portion thereof irrespective of the fact that any one or more sections, subsections, sentences, clauses, phrases, or portions be declared invalid or unconstitutional. ADOPTED this day of 2019. APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By:Ii— Lisa Storck Assistant City Attorney Miguel A. Pulido Mayor Ord. NS 2019-XXXX Page 2 75A-12 AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, NORMA MITRE, Acting Clerk of the Council, do hereby attest to and certify that the attached Ordinance No. NS-XXXX to be the original ordinance adopted by the City Council of the City of Santa Ana on , 2019, and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date: Acting Clerk of the Council City of Santa Ana Ord. NS 2019-XXXX Page 3 75A-13 CITY OF SANTA ANA SPECIFIC DEVELOPMENT NO.84 TRANSIT ZONING CODE 13 MAY 2019 Prepared by. Moule b Polymides Architects and Urbanists for Cityof Santa Ana 75A-14 ?f R A N.S I T ZONING CODE :Table A. Contents and Organization I TABLE OF CONTENTS AND CODE ORGANIZATION This Code Is organized as Identified below: 00 Purpose and intent 13 01 Applicationof 13 Article 013 organization 13 03 Nonconforming 1:3 building and uses 03 Affordable Housing 1A Develoment Incers- lives 0a The Industrial over- 1A lay Zone IFDZ) 05 AppOadon for Dls. 1:5 cretionaryApproval 1 A Permitting Process 1d6 1 Bs Revlew Authority and 1:6 Permit Types TABLE A: CONTENTS AND ORGANIZATION Division 2. Divison 3. flegulating Plan Urban Standards by Zones El Zones Established 41-2006 Zones Established Figure It: Regulating Plan 41-2007 Uses Permitted 41-2000 ope2tionalStan- dares Building and Parking Placement 3:1 Building Height and Profile, Encroachments, and Parking Summary 41-2010 Tramit Vlllage(TV) 33 Zone 41-2011 Downtown(OT)ZOne 3A; 41-2012 Urban Center(UQ 35 Zone 41-2013 C oIdar(CDR)Zone. 3:6 41-2014 Urban Neighbarhoad2 3:1 (UN 2)Zone. 41-2015 Urban Neighborhood l 3d1 (UN 1) Zone Building Types, 4:1 General Provisions 31-li Permitted Building 4.1 Types 5 General Require- 43 mentsfor All Types BT-B: Permitted Height 43 by Story Type BT{Determining 4:4 Permitted Building Sm. lT4.Open Space Area 4:4 it Toweron-Podium 45 2 Flex Block 4.7 Lined Block 49 Stacked Dwellings 4:11 t5 Hybrid Court 4:13 Courtyard Housing 4:15 IZ Live/Work 4:17 Rowhause 4.19 Tuck-0ndar Housing k21 Bungalow Court 423 it Dupt x Tdplex.and 425 Quadplex 12 House 49 Frontage Types 429 FF-I: Frontage Types 4:29 Permitted by Zone Arcade Frontage 431 15 Gallery Frontage 431 Shopfront Frontage. 431 11 Forecourt 433 Stoop 433 Frontyard/Porch 433 1:1 TRANSIT ZONING CODE SPECIFIC DEVELOPMENT 04 City of Santa Ana, California 7 5A-1 5 Division 4. Architectural Standards, coma 41-2040 Architectural Ssandirdsi 435 E Style, Massing, Pmpor- Nom, and Materials Table ASA Permitted Architec- 435 [oral Styles by BuiMirg Type .fuel Style Guidelines 435 •Main Street 437 Commercial • Mission Revival 439 •Art Deco 4,41 •F01kVicmrian 4:43 •CraWman 4AS •California 4:47 Contemporary Table A: Contents and Organization, cont'd CONTENTSTABLE A: AND ORGANIZATION Division 5. On -Premise Signs 41-2010 Purpose and Intent i �41-201 Application of Division 5:1 General Provisions and 5:1 �41-2052 definitions 141-2053 Sign Standards 5:1 Table l: Permitted Sign Types by 52 Frontage 41-2054 Sign Design 53 41-2055 Sign Maintenance 33 41-2056 Major Development 53 Identification Signs 141-2057 Preservation of&Ist- 53 Ing Historic Signs 141-2058 Building Identification 53 Sign l 41.2059 Building Directory SA Sign 41-20W Service EntryWall Sign SA Special Sale Sign 5:4 �41-2061 41-2062 Credit Card Signs 5:4 41-2063 Construction Signs SA �41-2064 Window Signs 5:4 I' Table SO Allowed Sign Types: 55 f Illustrated Table 2: Permitted Sign Place- 55 event Table 3: Requirements by Sign 5:7 Type Street Network Concepts 'Subdivision Guidelines Bbcks and Streets 6:1 . purpose •Guidelines Table 6A: Block Guidelines 6:1 Table 66: 10ustrative 62 Sequence Street Network Concepts i Purpose 63 • Street Alignment and Adjustments i• New Street Types 1 Figure 7-1: Street Network 63 I Plan Table 7A Concepts for Spe- 65 ci&Streets L-_--- _ _- Division 7 Definitions I 41-2W0 Defintions 7:1 TRANSIT ZONING CODE 12 SPECIFIC DEVELOPMENT 84 7 5A-16 City of Santa Ana, CallforNa (TRANSIT ZONING CODE :General Provisions ARTICLE XIX. THE TRANSIT ZONING CODE, SPECIFIC DEVELOPMENT NO.84 Division 1. General Provislons Sec 41.2000. Purpose and Intent (a) This article provides detailed regulations for development and land useswithin the specific development area, and describes how these regulations will be used as part of the Gtys development review process. This article is Intended to provide for the Integration of new development and rehabilitation of exist- ing structures with new and existing public transit infrastructure. This article will provldefor. (1) A mixture of development and open spaces that situates commerce work places residences and civic buildings within walking distance of transit and one another. (2) Seveb that meet the needs of many transit modes Including public Wnsn, pedestrians, cyclists and automobiles (3) Developmentthat Is maximally transit supportive. (4) New and remodeled buildings to work together to define the pedestrian. oriented space of the public streets to support and strengthen the existing character of the neighborhoods In which they arc located. (5) The repair and stabilization of the area's existing urban klmQ characterized by an Interconnected gridded street pattern and a mixture of architectural styles and uses, In order to support the successful expansion of public ton sit and Compatible development Sec 41-2001. Application of Article (a) The Transit Zoning Code as authorized by Chapter 41, Division 26, Section 41-S93 et seq, of the Santa Ana Municipal Code, is subject to the standards and regulations contained In this Amick for the express purpose of establish. Ing land use regulations and standards All other applicable chapters, artides and sections of the SAMC and any other regulations adopted by the Cry Council shall apply unless expressly stated or superseded by this Article. All terms contained herein shall be defined by the SAMC, unless specifically defined In this Article. (b) Proposed development inducting the construction, reconstruction or struc- tural attention of a structure, subdivbbns, and new land uses within the spe- dfic development area shall comply with all the applicable regulations estab- lished by this article. Sec 41-2001.5 Organization (a) Regulating Plan and Zones Established: Sections 41-2006 through 2008 defines the zones within the Specific Development (SD) boundarie; the par- cels Included within each zone, and describes, zone by zone, the standards for buliding placement, design. and use consistent with the permitted uses IdenU- red In Table 2A @) Use Standards: Table 2A Identifies the land use types allowed by the City In each of the Zones established by the Regulating Plan. A parcel within the Specific Development (SD) boundaries shag be occupied only by land uses Identified as allowed within the applicable zone and the type of City approval required by Table 2A. - (c) Urban Standards by Zone: Sections 41-2010 through 2015 regulates the fea- Nres of buildings that affect the public realm. The urban standards regulate building and parking placement. height and profile, and vary according to the parcelss zone applied by the Regulating Plan. Standards for hems not explicitly described in this section, Including but not limited M walls and fences, mechanical equipment, trash bin enclosures. heliport and helipad, underground utility, installation of dish antennas, loading areas, parking pot design standards, refer to Chapter41 ofthe Santa Ana Munkipal Code and the Otywlde Design Guidelines (d) Architectural Standards: Sections 41-2020 through 2039 regulates the man- ner In which Individual parcels and blocks are developed to create diverse and pedestriancrienmd development through the use of three main com- ponents (1)Sections 41-2020 Nuough 2032 building types (e.g. duplex, rowbouse, courtyard housing) (Z)Sections 41-2033 through 2039 frontage types (eg, front yard/porch stoop, arcade shopfrom) (3)Section 41-2040. (Table 43A) arNitectural styles (e-g, Main Street Commercial, Mission Revival. Art Deco Folk Victorian, Craftsman, California Contemporary). (e) Sign Standards: Section 41.2050 regulates all signaller within the SD bolmd- aim to be consistent with the character described for each Zone (f)subdivislon Guidelines: Establishes guidelines for the creation and mainte- nance of a finely gained and walkable network of blocks punctuated by Integral and varied open spaces (g) Street Network Concepts Identifies conceptual location and g udelines for the street network This section rprovides guidelines the rights4rwayalignment and width in plan and section with the corresponding detalls (h) Definitions: Sections 41-2080 dentifin and defines the terms used in this Code. 1:3 TRANSIT ZONING CODE SPECIFIC DEVELOPMENT 64 City of Santa Ana, California 7 5A - 1 7 1.0 -Applicability of Code, coni'd Sec 41-2002. Nonconforming buildings, structures and uses (a) A rionconforming building, structure or use shall comply with Article VI as modified as follows: (1) A Wilding or structure that does not conform to the architectural style or story height requirements at the time of the adoption of this Article shall not cause the structure to be nonconforming. (2) Sections 41681.1 through 41681A shall not apply to this Article. (3) Rehabilitation, enlargement or exterior structural alterations of any noncon- forming structure or structure occupled by a nonconforming use except for structures Occupied by single family and two-famly dweifnga, may be rehabilitated as follows: a. Rehabiliubonlimitedtoshucturalornomswct nlaltemtions without any building expansion Is permitted if.. 1. All dgnage on the structure and the site on which it is located shall be brought into conformity with the ssgnage requirements of this Chapter. 2. All outdoor storage shall be screened by a solid screen wall not to exceed 8 feet in heighL Outdoorstorage shall notexceed the height of the screen wall 3. There shall be no increase in the number of dwelling units unless the site on which the structure is located complies with the off-street parking and open space requirements of this Chapter. 4. Architectural massing, features and detailing shall be modified to bring the structure Into closer compliance with the architectural standards of this code, as deemed appropriate by the Executive Director of the Planning and Building Agency, or their designee. b. Rehabilitation may Include expansion when the total floor area of all expansion occurring in any five-year period does not exceed ten (10) percent of the floor area as it existed at the beginning of the five years, Provided that the following conditions are met I. All ssgnage on the structure and the site on which it is located shall be brought Into conformity with the requirements of this chapter. 2. There shall be no loading or unloading of vehicles between the hours of 10 pm and 7 am. 3. All outdoor storage shall be screened by a solid screen wall not to exceed 8 feet in height Outdoor storage shall not exceed the height of the screen wall 4. There shall be no enlargement which would intrude Into any required yard S. There shall be no enlargement which would result in a new noncon. formity with the requirements of this Chapter. 8. Off-street parking shall be provided in conformance with the requirements of this Chapter. 7. landscaping shall be Improved to bring the site on which the struc- ture Is located Into closer compliance with the landscaping require. ments of this Chapter, as deemed appropriate by the Executive Director of Planning and Building Agency, or their designee. 8. Architectural massing, features and detailing, shall be modified to bring the structure Into closer compliance with the archltectural standards of this Chapter, as deemed appropriate by the Executive Director of Manning and Building Agency, or their designee. (4) Rehabilitation, enlargement or exterior structural alterations of buildings occupied by single family and two-family dwellings Is permitted subject to the following: a. Structural alterations and additions may be made where the total floor area of all such expansions Occurring in a five-year period does not exceed forty (40) percent of the Floor space of the building as h existed at the beginning of said time, provided the number of dwelling units is not Increased; and no new non -Conformances with the requirements of this code are created. b. Structural alterations and additions which exceed forty (40) percent of the total floor area as it existed at the beginning of a five-year period; or remodeling which Involves the demolition of more than fifty (50) percent of the building shall be permitted; provided that the following conditions are met 1. Off-street parking shall be provided in conformance with the require. ments of this Chapter. 2. No new nonconformhies with the requirements of this Chapter are created. 3. A minimum ofeight hundred(800) square feet of usable, continuous, non{ront yard openspace, excluding driveways and parking areas is provided. Any open space with a minimum dimension of fifteen (15) feet by fifteen (15) feet shall be deemed continuous open space. c Where rehabilitation of a building Involves more than fifty (50) percent ofa building wall which encroaches Into a front or side yard setback and Is demolished or is structurally altered, the remainder of the building wall shall be demolished. Any subsequent building wag shall conform to all provisions of this Chapter. d. An existing two<ar gauge with a minimum dimension ofeighteen(18) feet by eighteen (18) feet exterior dimension shall be considered con. forming. e Remodel shall mean toreconstroctorto make overin structumorstyle, but shall exclude re -roof, window replacement exterior finish replace- ment and repair or similar modifications. Sec 41.2003. Affordable Housing Development Incentives. Any affordable housing proje¢ may use any or all of the following Incentives Pursuant to an Affordability Covenant Permit (a) Parking Design Incentive: Allows for tandem parking not to exceed 30 per. cent of the required parking per residential unit (b) Private Open Space Incentive: For purposes of meeting the private open space requirement the private open space incentive allows for encroach ment Into required front or side setbacks for porches that project from the main building facade up to 50 percent of the required setback, provided that the remaining setback area is not less than 5 feet (c) Density Bonus Incentive: The state density bonus law, (California Government Code sections 65915 through 6S918, as it may be amended from rime to time) allows developers who guarantee thata portion of their residential development will be available to low Income, very Iow4ncome or senior households to construct additional units beyond that permitted by the general plan land use element This Specific Development does not place a Emit on the numberof units allowed provided that the project com- piles with the specified limitations on height setback% Roe, area open space, massing and otherzcning regulations. a. For purposes of this section, the maximum density allowed slag be based on the highest number of the density range shown on table BT-1. b. All requests for density bonus shag follow the procedures and regulations established by Article )(VLL TRANSIT ZONING CODE 1:4 SPECIFIC DEVELOPMENT 84 7 5A-1 8 City of Santa Ana- California TRANSIT ZONING CODE : Applicability of Code, coned Sec 41-20114.The Industrial Overlay (WZ) Zone (a) The Industrial Overlay Zone "Z) Is applied to areas coned MI or M2 and occupied with an industrial use at the time or the adoption of this Article.The coning forthe IndMdual parcels shall be determined by Sectional District Map number 7-5-9 as it appeared on May 1, 2010. (b) The WZ allows the MI and M2 regulations to apply to said parcel until such time as the property comer applies to modify the mning district The Regulating Plan Identifies the boundaries of the applicable mning district lie. Transit Vllliage, Urban Center, Condor, Urban Neighborhood 1 or Urban Neighborhood 2) within the Transit Zoning Code. (d A property owner may apply to develop the parcel consistent with the app8- able zoning district within theTansit Zoning Code.The applicant shall Receive all the necessarydfe approvals Including, the approval ofthe ovedaymne site plan pursuantto Article 81, Division 28 priorto development (d)Theuses In the WZ shall be subject to the regulations ofthe M1 and M2 cones (SAMC 41, Article lq Divisions 18 and 19), as applicable. Sec 41-2005. Application for Discretionary Approvals (a) Site Plan Review shag mean specific development plan and shall comply with Sectors 41-593A through 593.6. Sections 41-593A through 593.6 shall only apply to structures over four (4) stories In height (b)Conditional use permits, variances and minor exceptions Conditional use permits variances and minor exceptions shall be subject to ArticleV, except for the permit thresholds for minormceptions shall be as Identified In Table 18. 1:5 TRANSIT ZONING CODE SPECIFIC DEVELOPMENT 84 City of Santa Ana, California 7 5A - 1 Q V vuxxacoasavevozanuvat Bn%wveoa5s 1 OIER-1HE(MRRfAISV1IY I ---- ............ n nnn......... vlesxu%Pu Avnxnrs+xcavu.v� Wm1aVNYAHESGXMPnS IFMWN aVMGmT vuxxHa may WaQss Applicability of Code, cont_d DEVFWPlAEMPtAN u�gw Acomcacamiunw muZZ TABLE IB: REVIEW AUTHORITY ANDPERMITTYPES'151 cc Chy Colnecli PC Planning Commission HRC Histodc Resource Commisdon ZA Zaning Administrator Planun: ExecuDve DvectaA M cwtheirdesignee [1] Review Authority The Resew Author y Men- tified in Table Illhas the II. Variance aumodry to grant approval Requests that exceed the Ilm- of, onmake a recemmerda- ItsIdenUfieel in Table 10. but Non to the rat highe Review that are withm the Intent of Authonry on The permH types this code. are to be processed as desnibed. byPlanwgwimarecommen- dation for resew and anion R1 Development Approval by the Planning Commission, Applicatloiu that she contis. subject to the mc,iisM find. tent with the applicable sun. Ing, in The SA dads of this code and as M- ther permitted by Table ZA, N] CaleAmesdmmt aretubeapproeedadmWsta. Approval of a Code gvetp Amendment, subject to Me retched findings In the [3110odificadonofSUMasds S)WIr daT be considered by L Minor Ecceptsos the Oty Council upon recom. Upon determination by mendatlon by the Planning Nanning chat the Minns, at Commissbn. authalted by TaNe 1%and Is consistent much the required [51 Wag Fees findings In the SAMC. the Application submimed pursu. Identified standards may ant to Thus code shall be filed be modified by The Zoning per the Nanning Division's Achablixeto, procedures and pmces5ing fees In effect at me time of apPilcation MEAL I I xvvawu Aumwmr mu ary munn IEG4f PP0[FSS I I FFPI'JIxIME(5 yvua Punning w Hannirg Commiufon VoluntaryLot Meryer Lend Use Certificate For'LUC uses In Table ZA Unit use S buBdbg type Inter. — Mina, aceptl na[3) maximum minor (allmdt mx arethe orexaption permlttedl (Hlayldm/Depth INb w Sesbxb Is% 0)Bu3Sg Height Ig% NI Butweg Siulwanhp 15% Hlmiwway Aoaer IS% 09open5pere Ana IS% m Sign HdghVWdm loss, wwaataMFenes If% CondlUonal Use Perom for CUP' uses In Table ZA, as aum dud by me Nanning Commisslm Conditional UU Permit fo,CUP'uses In Table 30. exorytu nosed above itive Tray Map >apasceb Varance reLlueHbin encess of firma estab. limed br mina, exception I Hbtorlc StruRwes 75A-20 TRANSIT ZONING CODE IS SPECIFIC DEVELOPMENT 64 City of Santa Ana, California T R A N S I T Z O N I N G C 0 D E : Regulating Plan and Zones Establshed Division 2. Sec. 41-2006. Zones Established (A) Purpose. This section establshea the mnes applied to property within the pan area by the Regulating Plan. The Regulating Pan divides the plan area into Separate cones that are based on a transact of intensity within the plan area that ranges from the most urban types of development and and use to the least urban types, with most mnes providing for a significant mixture of and uses within them. This approach differs from conventional zoning maps that tyDically divide cities into zones that rigidly segregate residential, commercial, industrial. and intutw tlonal uses into separate areas, and thereby require residents to drive for nearly all daily activities. The use of zones based on development intensity (instead of and use zones) as the spatial basis for regulating development directly reflects the functions of, and interrelationships between, each part of the plan area. The zones also effectively Implement the City's urban design objectives for each part of Me plan area, to establish and maintain attractive distinctions be!N een each zone This Is why some parcels are coiled with more than Orle corm. In such cases, the zoning is divided along a clear boundary such as the middle of A block. The zones of this Regulating Plan allocate archltMuol types, frontage types, and land uses within the plan area, as well as providing detailed standards for building placement, height and profile. The diagram to the right identifies the 9 zones applied within the plan area as they elate to existing rights ofv ay and parcels. (b) Zones established. The following zones are applicable to this specific plan, and applied to property within the boundary as shown on the Regulating Plan. (1) Transit Village (TV) Zone. The Transit Village zone is intended to provide standards for compact transit - Supportive mixed-use/residential development This zone is characterized by a wide range of Wilding' intensity, including mixed -use tower -on -podium Wild- ings, flex blacks, liners, stacked flats, and courtyard housing. The zone accom- modates retail, restaurant entertainment, and other pedestrian -oriented uses at street level with offices and flats above in the mixed -use building types, at high intensities and densities. The landscape palette is urban, with shading and accent street trees in parkway strips along Santa Me Boulevard, and In sidewalk tree wells where on -street parking is provided. Parking is accommo- dated on -street in structures with liner buildings and underground. (2) Government Center (GC) Zone. This area accommodates a wide variety of civic uses, including Federal, State, and local govemmeM offices and services, Nbraries, museums, community cen. ters, and other civic assembly facilities. Building types vary According to their public purpose, are programmed by the various government agencies for their specific sites, and therefore arc not coded by the Transit Zoning code RDaaA and SD $48), The landscape style is urban, emphasizing shading street trees in sidewalk tree wells, and in landscaped public plazas. (3) Downtown (OFT) Zone. This zone is applied to the historical shopping district or Santa Ana, A vrtak pedestrian -oriented area that is defined by multi -story, urban building types (flex blocks, live+vurk stacked dwellings, and courtyard housing In the Downtown edges) Accommodating a mixture of retail, office, light service, and residential uses. The standards of this zone are intended to reinforce the form and character represented by pre -World War II buildings and recognized as a National Historic Dlstrkb through restoration, rehabilitation, and context - sensitive infiB The standards also facilitate the replacement or improve- ment of postrar development that eliminated the pedestrian orientation of various downtown blocks (for exampa, parking structures with no features of pedestrian interest along their entire lengths). The landscape style is urban, emphasizing shading and Accent street trees in sidewalk tree wells. Parking is accommodated on -street and may also be in structures with liner buildings, underground, and within block centers in surface lots not visible from streets. N) Urban Cerstez (UC) Zane. This wine I applied to the area surrounding the Downtown, which serves as a transitional area for the surrounding lower intensity neighborhoods and to other areas when mixed -use and multi -unit residential buildings create a pedestrian -oriented urban fabric. The zone provides for a variety of non-res- idential uses and a mix of housing types at medium intensities and densities. Besides Accommodating community serving businesses, this zone may also serve the daily convenience shopping and service needs of nearby residents. Building types include mixed -use Flex Blocks, stacked flats, live work, row - houses, and courtyard housing. The landscape is urban, emphasizing shading street trees in sidewalk tree wells. Parking is accommodated on -street and may also be in structures with liner buildings and underground in areas adjacent to the DT zone, and in surface lots away from street frontages. Rpn Z.1 Regullating Plan with Exiting sBOW I�1��i a . 250 500 1(100R O 71 (5) Candle (CDR) Zone. This zone is applied to properties fronting existing commercial corridors and provides standards to improve pedestrian -orientation in a transit -supportive, mixed use area. Mixe fuse flee block and live -work building types arc at or new the sidewalk and Accommodate street level retail, service, and office uses, with office and residential above. The landscape style is urban, emphasong shad- ing street trees in sidewalk tree wells. Parking is accommodated on -street, and in screened surface lots between buildings, or away from streets, with no more than half the site frontage occupied by parking. (6) Urban Neighborhood 2 (UN-2) Zone. This zone is applied to pnmanly residential areas intended to accommodate a varety of housing types, with some opportunities for live -work neighborhood - serving retail, and cafes. Appropriate building types include single dwellings, duplexes triplexes and guadplexes courtyard housing, cowl ouses. and hn, work. In some areas, the more Intense, hybrid court building type is allowed where additional intensity is warranted while maintaining compatibility with neighboring properties I. Regulating Plan). The landscape is appropriate to a neighborhood, with shading street trees In parkway strips, and shallow - depth landscaped front yards separating buildings from sidewalks. Parking is on -street and in garages located away fern street frontages. (7) Urban Neighborhood 1 (UN-1) Zone. This zone is applied to existing primanly residential areas and is intended to strengthen and stabilize the low Intensity nature of these neighborhoods. zU TRANSIT ZONING CODE SPECIFIC DEVELOPMENT 84 City of SOMA Ana, California 7 5A-2 1 Regulating Plan and Zones Established, cont'd key Appropriate building types include single dwellings, duplexes, tri- Transit Village (W) ■ Specific development Boundary plexii and quadplexes, and live -work. The landscape Is appropn- ate to a neighborhood, with shading street trees in parkway grips Government Center(GQ IU Industrial Overlay Zone (I-0Z) and landuaped Front yards separating buildings from sidewalks. Parking is on -street, and in garages located away from street front- Downtown (DT) ■ WZ-MI ages. Urban Cents (lK) I-0Z#li (8) Industial Overlay (I-OZ)Zone, Thel-0Z is applied to areascunently zoned M l or M2, arts occu,id Corridor (CDR) ■ with an industrial use, to allow the types of land use activity and development permitted by existing Mt and M2 zoning to continue Urban Neighborhood 2 (UN-2) until such time that the owner chooses to apply the new zones a I rxxi ahe'e Hybrid identified in Figure 2,1. In order to determine if the M I or M2 unit c.opeban°wea use activity and development apply to a particular parcel. the IOZ is Urban Neighborhood I UN-p further identified as FOZ-M1 or POZ-hQ Until the property owner applies to modify the zoning district, property in the FOZ shall be Open Space (0)nl ■ regulated by the pronsoms of the Mt and M2 zones (SAMC al, Article III, Dwi... s 18 and 19), as applicable. (9) Open Space (0) Zone. This zone identifies areas reserved for community parks and other open spaces. Allowable structures In this zone are limbed to those (11 Identified, but not regulated by this Cade. necessary to support the specific purposes lathe particular open It . to Chyno.bements as identified In space area (eg.. SpOrt-court enclosures and multi-wir oie build- SAWChaplw41. ings in active parks, and trails within passive parks). TRANSIT ZONING CODE ZZ SPECIFIC DEVELOPMENT as 75Ann City of Santa Ana, CagfomM TRANSIT ZONING CODE Uses Permitted Sec. 41-2007. Uses Permitted. Table 2A - Use Standards (A) Allowable Land Use Types. A parcel ot build- ing within the Specific Development area shall Permit Required by Zone be occupied by only the land uses allowed by Land Use Type the table entitled Use Standards (hereinafter Use Standards Table) within the rone applied to UC UN-2 UN-1 the ske by the Regulating Plan . refer to Key to one Symbolsd m ng page tor mine escrlptronan usenod s (b) Garage sales arc allowed in compliance withSection 41-193. RESIDENTIAL (c) Temporary outdoor activities are allowed in compliance with Section 41-1955. Live -Work Usel Joint Wirg-working quarter P(2) P(2) P(2) P(2) CUP CUP (dl Youth amusement rides are permitted in Care Homes CUP CUP CUP CUP CUP CUP compliance with Section n-366 forC1 districts. Single Dwelling - — — -- P P (e) Drive -through facilities shall not be permit- ��mily Dwellings - - NO I Pill , PIU Ply IF P red. Sec.41-2008. Operational Standards MCREATION, EDUCATION AND ASSEMILY (A) All Property shall be maintained In A safe, sanitary and amactive condition Including, but Commundy, assembly j P(1) P(1) P(1) P CUP CUP not limited to, structures, landscaping, parking Health/fitness facility I IF P P P CUP — areas, walkways, and trash enclosures. - Lioary,museum P P P P P CUP (b) All business xtivdies shall be conducted f Schools P(D P(1) P(1) P CUP CUP and located within an enclosed building, except as allowed by Section 41-195 of the SAMC SWdio P P I P I t:U► CUP and except that the following business activi- theater. cinema or performing arts ► P ► 1 — ties may be conducted outside of an enclosed -- �Cammercial building. R"reatium (Indood- CLIP M CW — — (1) Newsstands (2) Flower Stands (0 There shall be no manufatturing, P—Att ling, compounding, assembling or treatment of any RETAIL. material or product, othm than that which is clearly incidental to a particular retail and ser- General retail, except with any of the following features ► -► P P P(2) — vicegeneralmtemrise. and where such goods Floor area over 20,000 per tenant CUP CUP P — CUP — are sold on the premises. — Ba4ng establishments P P P P P(1) — (d) There shall be no work inside of a structure Auto or motor vehicle service — — ► IF — that generates noise that exceeds 60 d8 CNEI measured At the..mmin wall of the unit. (A) Storage of goods and supplies shall be lim- ited to those sold at retail on the premises or utilized in the course of business. SERVICE GENERAL (f) Public utility structures including electric Banquet facility/catering-sus. to41. 199.1(a)tMo�gh(d) CUP CUP CUP T cup") =L^I distribution and transmission substations shall Child day care- more than 8 and up to 14 children P(3) P(3) P P LUC(2) LUC be screened by a sulk wall at least eight (8) feel high, except as restricted by Sections 3645, Child day care center P(3) P(3) P P CUP CUP 3646, and 3612. Mull day care center -subject to 41.1"Z of the SAMC P (3) P (3) P P P -- (9) Any activity permitted shall be conducted Hotel, end. transient residential hoN AM long term stay P P P P --- in Loth a manner as not to have a detrimental Mortuaries, fun" homes — — CUP P -- -- effect on penmar ed adfxmt Uses by reason of refuse matter, noise, tight or Vibration. Personal servka P P P P P(2) P (21 Personal services - restricted — — CUP CUP CUP — IN Small scale industry uses shall require a --- solid wall orfence not kssthan eight (8)feet In Tattoo/Body Art Establishments- subbed m 41.1993 of P P P P --- --- height along any rear or ske lot line. the SAMC -_ - (i) All business xtiviMs including, but not lim- ited to, compounding, processing, packaging Or assembly of anicka of merchanch. and treat- ment of products shall be conducted within a completely enclosed building. No ancillery vehicle maintenance or repair shall be allowed on sae. U) Loading areas shall not be visible from streets. tootling areas not facing A street shall be setback at lean mirty two (35) feet from the property line. 23 TRANSIT ZONING CODE SPECIFIC DEVELOPMENT E4 AS lid City of SanAna, California 7 5A— /^/� / V Uses Permitted, cont'd Table 2A - Use Standards Permit Required by Zone Lantl Use Type N-2 UN 1 SERVICES -BUSINESS FINANCIAL -PROFESSIONAL tank financial services Business Support Service Chnic urgent care Doctor, dentist, chimprectoc etc, office Extended care I Professional / administrative service office SMALL SCALE INDUSTRY Artisan/craft product manufacturirsg Furniture and fixture manufacturing, cabinet shop Laboratory - medical - analytical Manufacturing -fight Media Production-oKkeccmrefronttype(oosourdsragel Printing and publishing TRANSPORTATION, COMMUNICATION, INFRASTRUCTURE Hekstops Parking facility -public a commercial Transit station or terminal I Public utility structure, excluding wifeless comunira- tion facilities MISCELLANEOUS Any structure over four (a) stories in height Businesses operating between 12 and ] am Akohollc beverage Wes or consumption Bey to Zone Symbds Transit Village Downtown Urban Center Rey (1) Use permitted only on second or upper floors, or behind retail or ser- vice ground floor use. (2) Permitted only as part of a vertical mixed use proleLt with upper floor residential (31 Permitted only as Part of a mixed use project with a commercial or residen- tial component P P P ► — P P P P P(2) P (2) CUP P — — P(p Pill P(l) P - I. P P P P CUP P(I) POI PC P P(2) P(2) CUP CUP CUP -- CUP-- P (3) -- P 131 -- -- -- - P(1) P(1) P -- -- P(3) 1P(3) — CUP --- _- P IF NO — - -- P(3) — to - ar - Nunn; SPR SPR Spit SPR SPR — CUP CUP CUP CUP CUP CUP CUP CUP CUP CUP CUP CDR Corridor UN_2 Urban Neighborhood 2 Urban Neighbofhond I P use is permitted subject to compliance with all appli- cable provisions the Santa Ana Municipal Code LUC use Is Permitted subject to the approval of a Land Use Certificate. CUP use is Permitted subjett to Me approval of a Conditional Use Permit SPR use is permitted subject to the approval of Site Plan Review. — use not permitted In particular zones. (k) No business activity that generates noise or vibration shall be Conducted between 900 Pm. and TW a.m. Monday through Friday and OW p.m. and 10W a.m. Saturday and Sunday. (I) Operational standards for automoble servking. (A No automobile servicing shall be con- ducted before 200 a.m. or he, aW p.m. Monday through Friday and before tOW a.m. or after aW Dre. Satruday and Sunday (2) All work shall be conducted Inside an enclosed structure. (3) Outdoor or overnight vehicle storage is not permitted. 75A-24 TRANSIT ZONING CODE 2:4 SPECIFIC DEVELOPMENT 34 City of Santa Ana, California TRANSIT ZONING CODE :Urban Standards by Zones Division 3. Building and Parking Placement, Building Height and Profile, Encroachments, and Parking Summary A. Requirements 1, Purpose. This Division identifies the standards and requirements for new build- Ings, or buildings to be modified, M each zone within the Code area to ensure that proposed development is consistent with the City's goals for building form, character, and quality within the Code area. The zones are organized by inten- sity from the most intense (TV) to the least intense( UN -I). Unless stated other- wise, all requirements arc expressed as 'minimums and may be exceeded (e.g., 2 parking spaces required and 3 provided) in compliance with all applicable provisions of this code and Chapter at. 2. Applicability. Each proposed improvement and building shall be designed in compliance with the standards of this Division for the applicable zone, except For public and institutional buildings, which because of Their unique disposition and application are not required to comply with These requirements and are reviewed by a special permit and procedures. 3. Requirements by zone. Each proposed building shall be designed according to the urban standards Identified per the zone In which she property Is located. B. Summary of Zones At right, in Table 3A, are the six zones (see Note below) organized in descend- ing Order accorddg to their role and intensity within the Code area and as they appear In this Chapter: -Transit Village (TV) • Downtown (DT) • Urban Center (UQ • Corridor (CDR) • Urban Neighborhood 2 (UN-2) - Urban Neighborhood I (UN-1) Note: the Government Center District and Open Space Zones are identified in this Code but regulated by the Santa Ana Municipal Code. Table 3A: ZONE SUMMARY OF STANDARDS Anaae r GaIWry v Shopi,om v rorecnun r Stoop 8uiW."Sedh", I In heel 1arY,nd Gtoi,I sme Steel 0 10 l 1. s,dr, yam a Re rrd Is Alley neon ram 3 111 Grand Ale -Mks ISaNmcwmn ROW Anode r Gauery Y Foreaourc _ Y Stoop Y BuINin95ehbr[k+ In Net Font yam o Side Sneet a10 nae yam o Re.F yard _ IS uNy re,nrwa I' Parking per DU ou/5g + Parking per DU DUI e o Sq Ft Fr liven or Sq Ft s4Ft Gwen Residential 3 015 Residential 2 0.15 ❑re -Wald 3 Live ..,k 2- A lid no I 1/a00 IrvLNufee wv - Non_R dent 1 1/aoo yes In-L irT yes - yes ppRPa@1 gygppilbl Rey WTabN 3A it shaded tear means not permmed' In the zone. means not applicable in the zone. (al Max Stories for A zonesrefer to the total number of stones permitted per Zone. The massing for all buddirgs are subject to sate and massinq staNads, as dexrlbed in Guilt Type Standards for each bhradirsg type section at -NM), as indicated In The example ti below. 3:1 TRANSIT ZONING CODE- SPECIFICDEVELOPMENTfa otes conunu on neat page City of S.Nts Ana. California 7 5A-2 5 Urban Standards by Zone, cont'd Intent ared Character of UC Zone Flex Bock 5 Lined Blrck s Stacked Dereltngs 5 Live-Woh I 3 TutkiMder Fadage Types Allowed (see Chapter 41 M staramsl Shopoord Y Faeroun Y Sloop Y Frontw d & Porch Y �auleNN smaaa ( Infeet Front Yard o Side Snees 0-I0 Side yaE 0 M yaM Is ABayAW )tad 3 P.Avy, per W/Sq a W or SqH Ft Wnt R¢sitlenlul l 0.15 beeWeekl 0.Is N nA Sid nri I Ir3CO Nli[uhs as Ini and Character of CDR Zone Duple.r rTri olex Duadplev Mouse Frontage Types Allowed bee Chapter 4Z for starartlsl Gallery Y Shopiront Y Forecourt Y R;;;'. $e1Whs ------------ to feet frontymd 5-ispl We5111, 0-101 We yam o Rear ard 15 11 I (SurAve - MM ls' hom Sundt[ MW. Intent and Character of UNZ zone Building Types Maz SIPrNSIaI (see Chapte 44J for=Is) I k 9ak AlYrllallle 3 TurR4RtM 5 per"ApaCourt Z 'Duplex/Triple,' 3 QudPlex House = 'Irl rve Xryuunnp Nanlwalx:xaa blYn Frontage Types All. (see Chapler4.2 for saiMamsl Shopfronl Y FOry, in Y Stoop Y Fonryard A Ponh _ Y Front ,it 10(n Intent and Character of UN Zone Buddlrtg Types I Max Stories (see Chapter 4.1 for Stara du x8lock -� L ted Stock Troves DeveRNs qubdd Court -=.nri Hoodn9 L- Work Srrtgalow Coua � Z Dupte✓rripN. ' i house j Frontage Types Alkawed (see Chapter 4 i for standards) Stoop Y Fr hand & Porch y BUIMIy SetbMs In leeF Front yard 20 Side Sneel 10 Side yard laory 5 Side sheet 10 3 story 5 Side yard 5[1] 3 story 8 4 story Il Rear yard 20 Rear yard 15 Alley rear yard 3 Alley rear yam 3 nl or woes [1] Gant Aw: Min ufmn anent Low Pahin9 Per DU WFI� 1. Per -4 So ParyJrg par W/Sp Ft or Sq Ft Guest Wasq Ft Guert Wor Sq Ft twen Residential l 025 Reverend 0 a21 Resltlential ] O35 Uye Wmh l 025 DveLryrk 3 025 Live Work ] 035 Ron Residential 1R00 NorAesidennal 1/300 Nm Nendendal x'SadtI - r:I �LI a Inlieu Fet no M 75a-12. - I�IhI sf: Per ux Notes: In ueu The above table is a summary of the requirements by zone. Rehr 9ntivu161 - to the following chapters of this code for the full requirements per _ building type. The Zones are arranged on a continuum of intensity wiM the most intense at left and the least Intense at right. Each cone is aimed at generating of maintaining a distinct character through the alloca- tion of appropriate building and frontage types and the placement of those types on parcels. TRANSIT ZONING CODE 32 SPECIFIC DEVELOPMENT E4 7 5A-2 6 City of Santa Ana, California TRANSIT ZONING CODE Urban Standards - Zone Requirements Section 41-2010. Transit Villacie (TV) (a) Permitted buiding types and mini- (b) Building Setbacks. I (c) Frontage Requirements. and maximum height Table TV1, entitled Building Types and Mimimum are Maximum Height Identifies the approved building types and the minimum and maximum height that is permitted for each building type within The TV Zone subject to compliance with all applicable standards. Table TV -I. Building Types and Minimum and Flex Block Lined Block Stacked Dwellings H".'6 CO, t Courtyard Housing Live -Work 11 3 3 3 3 3 25 S 5 � see encroacnmem� I l id+ I I I 1 vl Ic jl 8 i jsee ennaarh I ! IT �LL 6 -� Table TV-2 identifies the minimum setbacit -� required and where noted, maximum setbacks :vied 1 permitted. 5 The setbacks shall apply to all stories of a building. 3 TableTV-2-Building5etback Standards. not allowed Tuck -Under Housing 3 3 1 6:.. 11.ed not allowed) ! ta) Front yard 0'[a1 (bl 10 ..hallowed notallowedl 1161 Street Side O'lal [b] 10' TO puadple. (lcl Stdeyad 0' Not House not allowed notalbwed (lot Rearyard IS' Not applicable (d) Parking. (1) Driveway Standards. Table TV<identifies the or m and waitimr.m wu3rh of dassewave Permitted parking on driveways. 20' a. Table TV -5 identifies the minimum off-street parking spaces that shall be provided. All free - buns shall be rounded up to the rsext whole number. Table TV-5- Off -Street Parking Standards Reskential lbl 12/unitmin IO.IS/unit[ guest servo housin, will be parked at I space per unit minimum. b. Vehicular access to the off-street parking Is per- mitted only from an alley or side street when present Vehicular access to the off-street Park- ing may be taken from pdmxry street only when an alley or side street is not present. 3:3 TRANSIT ZONING CODE SPECIFIC DEVELOPMENT 84 City d Santa Ana, California lal 1n situations where the existing sidewalk Is 10 feet Or ksz In winch, at the duaretkes or the Chy of Santa Ana, a smack greater than een- died in the above table may be required an effectively rewh In a 10 foot wide acewalk. NI setback at Wand Me. Is 1 S' minimum -2S' maximum measured from the rlghtcfivay as it Mlit, In In 1/2009. 2d H €8 1p 4 ■ ParMng Permitted c. Parking setback standards. Table Ti identifies the minimum setback standards for the off-street parking. The setbacks shall apply to all stories of a building. Table Tv- Parking Setback Standards. I M (lI,Fr lyard b.40`A desgn in I O' bt deptM1 1 IM15keel side 10'min. O'min. I I(2dl Rear yard I i0 cola 1 TORO. I 75A-27 F — pow FPropedyUrs Per Tabke-SethaackUnre TV -I Frontage height and otherre- quirements per Section 41-2033 Per Table y______ TV-3 if parcel has Sale street frontage The ground flour fronting a street or other right- of-way (not including alleys) shall comply with the standards for the applicable frontage type. Sections 41-2033 though 41-2039 and the Table TV -3 enti- Ded Permitted Frontage Types. Table 111-3- Permitted Frontage Types Arcade min.50 ':. Quay mia 50 Shopf., min. 75 - Forecourt Max. 50;remamder of frontage per permit red types (e) Encroachments. 12c - 242.b 2 2a,b i _ 2b fCURB lat—MmYcleardcurb (U Outdoor dimmg Such encroachments Per approval of PEA (Planning IS Building Agency) and PWA Directors, separate permit and agreement per SAMC. (2) Eremachmeno- Awnings, Sgnage, Balconies, Bay windows and Frontage Types may encroach into the required setback subject to the standards ardentified in Table TV-2, entitled Encroachments. Table TV-2 Encroachments OA eaept awnings, and gab' min e' ntn 1E- krY antl arcade frontage clear Iypes t2b) except awnings, and gab m 12 24' Nor and arcade frontage nmax clear types Did awrgngs. and gantry and min rMNYST r facade frontage types l0 daA side yam WA G Rear yam to on r fil ' pl Fava permlrtH rol'ofprmPzrrylare- Urban Standards -Zone Requirements, cont'd (a) Permitted building types and (b) Building Setbacks. minimum and maximum height Table DT-I, emitted Building Types and Mimimum and Maximum Height identifies the approved building types and the minimum and maximum height that is permitted for each building type within the DT zone Subject to compliance with all applicable standards, Including Table DT-3 entitled Building Height TableDT-1. Building Types and Minimum and Maximum Height, Hex Bbck 2 Lned Bbck 2 S3g Stacked Dwellings 2 s._ J d mCotprd Housing 2 5� �11 Live -Work 2 3 1 In a d Tuek Under Housng 2 3 II`d II ed talkwed nexalloved House I ratallowed I mtalkwed Table DT-2ldentlfies the M.N. setbacks required and, where rated, maximum setbacks Permitted. The setbacks shall apply to all stories of a building. Table DT-2. Building Setback Standards ', o+llFlwerud aNl 0' i(1M %!!I 14a aW t0 amrd I' no sOMaraquiremem (c) Building Height and Frontage Require- ments. } Rower --- SeRa[k Llrc Frontage heghtaM gMrreaua! mints per section 42 21---------- NeonNlxa tde slrM(llge (1) Building Height Table DT 3 "titled Building Height Identifies the maximum building height permitted based upon the M width and as per- mitted by indMdk# building Type ` Table DT-3. Building Height ara. 1 51 to 125h 1 4 sfaties I 1(HE Reayard or Manoui¢m®i 12)Thn ground floor Table DT-4. Frontage Types Ild AiryW Y Mert9urement hooting a,al right of floodinge .. (al M st.fians where the adstng sldewa%Is 10 my loot including Arcade Min. 50 feet or less in width,atthe .1 the City alleys) shall comply of San,ta Ana, a utback greaterr than ldentlflN Meton with the frontage Gallery Min. 50 (d)Parking. in the above ode may be required to effenizeiy requirements per Sbopfrou MM.75 resoit In a 10 loot wide still Section 41 Q039 and per the Table mk ,,. Forecourt Max, 54 noran, (I)DrWeway Standards. Table DT-S identifies the Nutted frontage dcr of fro^tWe minimum and maximum width of driveways and Peg laerminrd Permitted parking on driveways. Requirements. ry� Table DT-S Driveway Standards a Encroachments a. Table DTb identifies the minimum off-street Parking spaces that shall be provided. All trac- tons shall be rounded up to the next whole num- ber. Table DT-b. Off -Street Parking Standards. minimum. It. The parking requirements found in Table DRO shall apply only to new buildings, additional building area on existing buildings or cum version of existing Wilding area to a new use. Conversion of Wilding area of an historically designated building to a new use, where the building envelope Is not increased In size shall have no Parking requirement until such time at the City determines that 9S percent capacity on the five existing City controlled parking struc- tures in the downtown has been reached. ■ Parking PermittM c Vehicular access to the off-street parking is per- mitted only from an alley or side street when present. Vehicular access to the ssR-streetpark. ing may be taken from primary street only when an alley or side street is not present. d. Parking Setback Standards - Table DT-y, entitled Parking Setback Standards identifies the mini - mum setback standardsfortheoff -street parking. Table DTJ. Parking Setback Standards 12a1 Front Yard mi141)%kt O'min depth UblSaeetslde 10'min Orion, Ddsideyad onto O'min (2d)ReMyard lamin 3'min (2.) Alley yard 3'mM 3'min 75A-28 (1) Outdoor dining - Such encroachments per approval N PEA and PWA Directors, separate permit and agreement. (2) Encroachments. Awnings, Signage, Bakonies, Bay windows and Frontage Types may encroach into the required Setback subject to the standards indMOfied in Table DT-B, entitled Encroachments. Table DT-e Encroachments (2a) except awnings, and get. mina.max 18, kry, and arcade homage dear _.. types kbl except awnings, andgal mMtr .24e kry, and artade fmnlnpa that typesOc) awnirgS, and gallery, and min sy"r artade hmtage types Itla4r afa S de Yard R s"hil V n 1 bw+amd ro r a P�aprny am. TRANSIT ZONING CODE 3.4 SPECIFIC DEVELOPMENT 34 City of Santa Ana, California TRANSIT ZONING CODE :Urban Standards- Zone Requirements (a) Permitted building types and minimum and maximum height Table UC-1, entitled Building Types and Mimimum and Maximum Height Identifies the approved building types and the minimum and maximum height that is permitted for each building type within the UC zone subject to compliance with all applicable standards. Tablel-I Building Types and Minimum and Maximum Height Flex Work 2 S Lints Block 2 5 Stacked Dwellings 2 5 oA Courtyard Housing 2 5 Uve WOlk not allowed not alloeetl Tuak-Undea Housing .._ 3 '.:Alowed nor allowed Hallowed For allcI (d) Parking (1) Driveway Standards. Table UC<identifies the minimum and maximum width of drhweways and permitted parking can driveways. Table UC4. Driveway Standards 8' a. Table UC-S identifies the minimum off-street parking spaces that shall be provided. All (rac- oons shall be rounded up to the next whole number. TRW UCddf-SYsrR RAig krdrda --- 2/w11tmM 10.15 I Non-BandentialI t/3meft I building area on elinticto builUlnas or con version of ex zt lu building a ea to a new use, Conversion of buddine areaof an historically de,agnated build no buildirw to a new use. where the envelope is not increased in sae shall have no oarkino recruitment until such time as Vehicular access to the off-street parking is Per minted only from an alley or side street when present Vehicular access to the off-street pad (b) Building Setbacks. see encmildarent, Id I �1a�1�papa flrpgMhrrrerlb 1 II lean Fay lb ' Table UC-2, entitled Building Setback Standards Identifies the minimum setbacks required and where noted, maximum setbacks permitted. The setbacks shall apply to all stones of a bu l ldi ng. Table UC-2. Building Setback Standards. 0a1 Frontyard o !e1 0' Ilbl SVeetSide n'Fal 10' fmi Weevil 0 Noregml nm Rearyad is Noregmt Ia1 In dtwtbos h. the existing,A.e Ikis 10 feet or kn in width, ar the d'ocretion of the Cry of Santa Ana, a setback greater than Idea ti0ed m the above table may be aequned to effectively result in a 10 foot wide sidewalk. F77 Padmg Permitted ed Parking setback standards. Table UC6 iderill. fies the minimum setback standards for the Off-street Parking. Table UC6, Parking Setback Standards. Ral Foreld mMse%btdeptn 5'min Rol Shearlde s'mar s'man RtlNdeyad T— scum (2d)rer Wad 5inin s'min 12el alley yard a'Mn Jmin (c) Frontage Requirements n� ao.W nwaery lane a Sebku- Fmnrige height and older rv,.r ment, pn Seclm 41 2ay---------- irpartal has ode .feem, The gfaaadllmr fronting a street or other rightly -ply (cut including all shag comply with the standards for the applicable frontage type, Sections 41-2033 though 41-2039 and the Table UC-3 entitled Permitted Frontage Types. Table t1C-3. Permitted Frontage Types shop(,.,, min 65 Forecourt max 50: remainder of frontage per allowed types Stoop '.. ..So FrontyartlRorch max 100 (e) Encroachments aNvxede RnW. Pro im, Law Frcroa[nmem Far sNbalxW table ben. 2' X +12AI, ID r—wnraerMa.n (1) Contract dining - Such encroachments per approval of PBA and PWA Directors, separate permit and! agreement. (2) Encroachments. Awnings, Signage, Balconies, Bay windows and Frontage Types may encroach into the required setback subject to the standards mdenhfied in Table UC-], entitled Encroachments. Table UC-1. Encroachments (2a) e¢ept awnings 'min B'dear macIs- libl except awnings reel war mix2a' d-r Rd awning, mkt within 2' '.. lacks, acurb 5ideyard WA 0' Rearyad '{mane 117 5. ICY yard maawlll l 3' I n faw aaawd m 3' d popertY acre. SPECIFIC DEVELOPMENT 84 City of Santa Ana, California 75A-29 Urban Standards -Zone Requirements Urban Standards - Zone Requirements, cont'd (a) Permitted building types and maximum height Table CDR 1, entitled Building Types and Maximum Height identifies the approved build- Ing types and the maximum height that Is per- mltted for each building type within the CDR zone subject to compliance with all applicable standards. Table CDR-1, Building Types and Maximum Height. no, Al""t Flex Block 3 ji s it notallowed Slacked Dwellings not allmeed Hybritl Court notallowed Counyad Housrrg notallowed IaneAltale 3 Rowhouse notallowed luck -Under Housing notallowed Bungalow Court notallowed Dupkx/Triplex/Quad-I notallowed (d) Parking. (1) Driveway Standards. Table CDR4 identifies the minimum and maximum width of driveways and permitted parking on driveways. Table CORA, Driveway Standards I -way 9' 2�evaY 20' '(jV lal boost as modified to meet fire and trash sernc nts (2) sNFstreet parking standards Table CDR-5, entitled Off -Street Parking Standards Identifies the minimum off-street park- ing spaces that shall be provided. All fractions in the parking calculations shall be rounded up to the next whole number. Table CDR-5.OH-Shalt parking Standards (b) Building Setbacks. �eie.erc,g.elmntt� I area 1°'it i I I I I »l 7i l b-t SWe Table CDR-2, entitled Building Setback Standards Identifies the minimum setbacks required and, where noted, maximum setbacks permitted. The setbacks shall apply to all stories of a building. Table CDR-2.Building Setback Standards. (ta) Front ryrd 5'1alfin) 15'[b] (to) Street side 5 [al d 17[c] (III Sldeyard 0Not applicabk� EOdl Rcanyud - IS' Nertapplicabk Del Alley yard 3' Not applicable [a) losituafions rAMRaseY6ana ddewalk is 10 rear or kss in width M the eiscretbn of dw City of Santa Anar a seMack greater than dare rifled In Me inner, table now be req Wred to eRanreb result'm a so loot wide udewaa. fill Setback at Grand Ave is 20' min 30' max maa. lured from R OW as it exists in 2009. Ic) SeMark at Grand Ave. is 15' met - 25' may met cored Rom R O W as it wish In 20(ye ■ parking Permitted (4) Parking Setback Standards. Table CDR6, end - tied Parking Setback Standards identifies the minimum setback standards for the off-street parking. Table CDR6. Parking Setback Standard, (c) Frontage Requirements. a6% '^'PralrartY urn ( JI-SnbxkLFn Net I hwA ad°""' r�-^----- 4 _ _ _ _ CDII-1 t I TaMa_t.__ Co" I 'i wr «I cut We ------------ beet hostage The ground floor fronting a street or other right- of-way Inot i enrols lg alleys) shall comply with ttK standards for the applicable frontage type, Sections e1-2033 though /1-2039 and the Table CDR-3 entitled Permitted Frontage Types. Table CDR-3- Permitted Frontage Types WEery minas iere0)IRt meW. remainder of hostage pen . abwetl types , shopiront minis - (a) Encroachments (1) Outdoor dining. Such encroachmenu per approval of PEA and PWA Directors. separate Permit and agreement. (2) Encroachments. Awnings, Signage, Bakonies, Bay windows and Frontage Types may encroach Into the required setback subject to the stan- dards indentified in Table CDR-y, entitled Encroachments. uwwak a 2/wMnw sacs/wit Table CDR-2. Encroachments NanAaFWwOd I/MpaeR Ilan fmn'v+id sro. sr or to width u ul Frog nab so i..am [a] Permanent Special Need Horsing Including Dbl street sme — - - - senior housing will be soaked at l space per cont Or15�deyerd - 12ai Front (2c)B'clear i min. Odl R. yard (zb) sde street (2010 ' z' ' Acc icular to off 131 VehicuWr spent w en present. ces Vehicular access lad Alryyid Dd dear street Parking is permitted only from an alley -- S1de or side street when present VehicuWr access to Yard Not aODl came O the off-street may be taken from primary street Yard toeave Ill T only when an alley or side street is not Present. A3eyryd roeave [11 3' DI Eaw anmmed in 3' of "opme Ise, TRANSIT ZONING CODE 3E SPECIFIC DEVELOPMENT •A 7 5A-30 City of Santa Ana, California TRANSIT ZONING CODE Urban Standards - Zone Requirements Section 41-2014. Urban Neighborhood 2 UN-2 (a) Permitted building types and maximum height. Table UN2-1, entited Building Types and Maximum Height identifies the approved building types and the maximum height that is permitted for each building type within the UN-2 zone subject to com- pliance with all applicable standards. Table UN2-1, Building Types and Maximum Height. ele, ee.r. :.,n"'W lined Bln: p. not Mlmved Hybrid Coud 51a1 Courtyard Hommg 4 Lae Work 3 Nowhouse 3 Tack -Under Housing 3 Bungalow Court 2 - Duplew9npIaoQuad 3 Flex House 2 ill See ReguktlnO Plan for allowable bcid'. (d) Parking (1) Driveway StandardsTable UN24 identifies the minimum and maximum width of driveways and permitted packing on drweways. Table UN24. Driveway Standards l way 8Or 12' width of 2a ran Excem As modified to meet fire and trash service remunnsl,nt, Table UN2-5, entitled Off -Street Parking Standards identifies the minimum off-street parking spaces that shall be provWed. All fractions in the parking calculations shall he rounded up to the nest whole number. Table UN2-S. Off-street Puking Slandai Residmtbl lal 2/unR min O35/unit Live -Work 2/uMtmin 0.15/unit Non-Aktudential 1/3001111 (s1 Permanmt spend Need Fares, od.dirg senor Ilousilg, de be Parketl at 1 spa¢ per unit min. (3) Vehicular access to the off -sheet Parking is Permit led only from an alley m side street when present. Vehicular access to the oft -street may be taken from primary street only when an alley or side street Is not present. 3:7 TRANSIT ZONING CODE SPECIFIC DEVELOPMENT 84 City of Santa Ana, Calsomia (b) Building Setbacks. 1p Q Union Sete Table Eli entitled Bedding Setback Standards identifies the minimum setbacks required and, where noted, maximum setbacks permitted. The setbacks shall apply to all stories of a Wilding. Table UN2-2. Building Setback Standards. Ilal Frontyald 10'1.1 25'min firand Ave 2ooar.u.w.) Ilbl at uitle tall Not Ppleat (tel 5tl Yartl s'-1/Salary f 3abry 13 a, nor 0d) Rlo,is. If Not pptkabk (1 1 Alley yard r W PPIicaOk W Inutuationswhere Meinustklgsidewabl1/0 Cly f leas in Ana, a settard, neti, than ke oty of Santa An;a ut miry eler[han as ��. owns the above table may bee siuked l0 effectively rerun in a 10loot wide sidewaaL ® Parking PHmittN (4) Parking Setback Standards -Table UN24, entitled Parking Setback Standards Identifies the minimum setback standards for the off- street parking. Table UN2-6. Parking Setback Standards Iyl From raid 50%bt la min MPh n3515treet side la Mn Ia min OC Side yard S'mM S'on eldt lieuyw float 5'min OelANyyad 3'min 3'min 75A-31 (c) Frontage Requirements. .on —.I.-napensune i;e-semackune hdi alh �ITabk IUN1-I: Able _--_- UN2J r_. I apa-i a1RM The grosad floor fronting a street or other right-of-way (not including alleys) shall Comply with the standards for the applicable frontage type Sections 41-2033 though 41-2039 and the Table 1.1142-3 entitled Permitted Frontage Types. Table UN2-3, Permitted Frontage Types Shophont rtin65 frnemun mail SU. remande, offromageper allowed types Sloop max50 Fronlram; Poch may 100 (e) Encroachments __ Alwstake —.I �PropwN Lirw Lxmadmenepn ' seltu[k Lue to lrbelow i—e 2, T —41 2b 1. Outdoor dining - Such encroachments per approval of PBA and MA Directors, separate Permit and agreement. 2. Encroachments. Awnings, Signage, Balconies, Bay windows and Frontage Types may encroach into the required setback subject to the stan- dards indentiBed in Table UN2J, entitled Encroachments. (21b) e C nt awn ngs min IT .24' )ear (20 awnma,s _ min I0'dNr r Side yard WA 0' �Rear --Ailey yard meawlll IF rear yard meavan) f [ I I live allowetl to 3' d prepe" line. TRANSIT ZONING CODE Section 41-201 S. Urban Neighborhood 1 UN-1 (a) Permitted building types and maximum height Table UNI-1, entitled Building Types and Maximum Height identifies the approved build- ing types and the maximum height that is Per- mitted for each building type within the UNI zone subject to compliance with all applicable standards. Table UNI-I. Building Types and Maximum Height- -- hredaloIX I not apwetl _Live -work Rowh.u. net .Rowed 2 (d) Parking (1) Driveway Standards. Table UNI4 identifies the minimum and maximum width of driveways and Permitted parking on dmeways Table UN 14. Driveway Standards 1-way I IT 12, «width of 2D (2) Off-street parking standards Table UNI-5, entitted Off -Street Parking stan- dards identifies the minimum off-street park ing spaces that shall be provided. All fractions In the parking calculations shall be rounded up to the next where number TableUN 1-5, Off -Street Parking Standards. Mon-Peslsi 1201. I sao w N l 2.a (r Will - le] Permanent Special Need Housing Including senior heus- In%wa be parked at 1 wate per unit min. (3) Vehicular access to the off-street parking is Per- mitted only from an alley or side street when present. Vehicular access to the off-street may be taken from primary street only when an alley or side street is not present. Urban Standards -Zone Requirements, 6n st (b) Building Setbacks. Table11141-2, entitled BuRklinq Setback Standards Identifies the minimum setbacks required. The set- backs shall apply to all stories of a building. Table UN1-2.Building Setback Standards. (1 a) "'.i Front Yard 30' life _i_StreeI side lr 0G sMe rand r tt4 Rear yard 1p' o,( Alkyyard )' spent Skk ® Parking Permitted! (a) Parking Setback Standards-TableUNtb,enti- tled Parking Setbxk Standards identifies the minimum setback standards for the off-street parking. Table UN d. Parking Setback Standards (a)Front yard 2M lot depth (b)Street side 10, min, (c) Side yard o'min (d)Rear yard O'min (a)Alley yard Tmin 75A-32 (c) Frontage Requirements a C'^o«.Iyl.ar '�I" wswaaun I 2. Iprtornate rm.hikhandader mwxs pwsecupnu The ground floor fronting a street or other right-of-way (not including alleys) shall comply with the standards for the applicable frontage type, Sections 41-2033 though 41-2039 and Me TableUNI-3 entitled Permitted Frontage Types. Table UNt-3- Permitted frontage Types Stoop max 50 Lfmntyard/Porch ma. IN (e) Encroachments 1. Outdoor dining - Not permitted. 2. Encroachments. Awnings. Sgnage. Balconies, Bay windows and Frontage Types may encroach into the required setback subject to the standards indentified in Table UN1-7, entitled Encroachments. Table UN1-2. Encroachments (2a) P«dr .5, weal 2039 Lau 114-indeebaleory _max 2' Io nave 111 (21) 9hyaN u2' 1.'aeltl flan ms' _ Ioe.113 ABeygaryaN 3' m«se ill I11Eawak-N te>ofpe eaty NIIa TRANSIT ZONING CODE 3r SPECIFIC DEVELOPMENT 94A a 848 City of Santa Are, California TRANSIT ZONING CODE ;4.0- Architectural Standards Division 4. Architectural Standards/Building Types. Sec. 41-2020, Building Types, General Provisions. (a) Each proposed building shall be designed in compliance with the Standards of the applicable building type. (b) Subject to the requirements of the applicable zone, a proposed building shall be designed as one of the building types Permitted by the applicable zone by Table BT-1 entitled Permitted Building Types. Q `1 , hh,k ORowhouse Table 6T-I. hymned luMdirg Types _ Y=Permitted —NotPermitted NUR so.a omwr wr one. savnaa sm... Building Type 1-0, Iae raipe In Building Types Allowed by Zone 111 The degree of mixed use depends on the particular m Ixl j zone in which the building is boated. — TV DT Ilc CM UN-2 UN-1 A.Tbwzr-ohrudium rts YES n so z OgP 8 'I1 r - t2)In dwelling units per acm(du/ac). Each type is sub- " )ect TU the maximum Stories allowed in each Zone LNexNock rts YES m-ao Saalpl Mn n- Y Y ♦ Y - - - - and Meparticular building size and massingrequire- GDmdBIIXk rts YES '4f-SO Ha10T min IZa'-m mend 0. ftxked DweWrgs rts 9 A-m 'mIn lis'zW r r T - LHybridCoun YES 14 u-m Ilsa- ISB-mP B - Yp - t31 Measured along the front property line of the lot E Courtyard Housing YES r6 m-w IaTdII IN-a11 B ♦ r T r - (4) This building type can be used on lots that have 4 UveM'ark No rET 12-Is ma'-mI W-tn S T Y ♦ r r Y resulted from a legal subdivision provided there is a K Rowhause rts ITS T-la Ipo'-zoo 11-ISe a V minimum frontage of 40 feet. tsel-um r YES rts - Il 19 - - ys'mw M'-2517 B Y r r r - 161 Allowed on specific locations only. 'J. Bulgalow coon rts ru ' 10-I5 1le Mn Iatl-tar B - r r x. Duple rplehl M INS 1a-Is lox xxx i !-tn B r rm t61 Wadplex not Permitted in the UNA zone. Ouadplex L. House Iq M S a too' mIn aaao' i Y Y i ITI Cne 81ock perm tted [O a maxmum of 10.s[odes In M.NOt15F L KBUNGRLO'N ATHOSINDFA LBOWHOUSE N.ISVE\ a P1UADPIIP Is FLEX COURT NOOSING WORX 4 ❑ ❑ 4.1 TRANSIT ZONING CODE SPECIFIC DEVELOPMENT 04 City of Santa Ana, California 7 5A-33 4.0 - Architectural Standards, cont'd Below: This diagram identifies the range of building types used m the Code. The individual types are arranged on a continuum of intensity with the least intense at left and the most intense at right Each type is allowed as identifiecion table HT -I and its requirements are described on the following pages. O F. COURTYARD HOUSING e Tuck -Under laud, • Hybrid Court • OupWnpklOuadplex Ber br lintratwe Ran Oeagram: ', grrHAcmi(WaLup access) ® Point-GccaslN.Ik prces0 - Pomi-Access (Tower) sae Sectlnn BA ardefinitions A E. HYBRID COURT WALK-VPACCESS D. STACKED DWELLING i_ll�i � Fr • C- UNEO BLOCK VIIBLIC PARI(ING WM4f oa OTHER FACELEBS STRIKT➢RE Is House • L FLEX BLOCK • A.TOwHIOMIOpYM TRANSIT ZONING CODE Al SPECIFIC DEVELOPMENT FA 7 5A-34 City of Santa Ana, California TRANSIT ZONING CODE : Architectural Standards (c) All building types are subject to the following: (1) Lot width and Depth: a. The width and depth shall be determined as described below: All buildings shall be designed to an Individual lot as required in Table 87-1, The lot is for design purposes and may be made permanent through the regular process for parcel of ract maps. Lot width and depth shall be determined as described below. 1-Front (Lot Width): Primary (Principal) Frontage 2- Side (Lot Depth) 3- Rex (Lot Width) r' 3. f3 lyl I I 2 C I Z Z 1 i ! ✓.3 2 3y - ItZ 1 1 2 ly1 b. On comer lots fronting two streets, either street frontage may be used to comply with the lot width/frontage required per building Type. c. Lots that have muited from a legal subdivision but am less than 40 feet of width may be developed with standards that apply to lots 40 feet in width. (2) Access Standards: a. Where an alley is present, parking and services shall be accessed through the alley. b. Where an alley is not present, parking and services shall be accessed from the street through or alongside the building as permitted in the zone and this division. c. For corner lots without alley access, parking and smim shall be accessed horn the side street through or alongside the building. (3) Parking Standards: a. Entrances to garages, subterranean structured garages or driveways shall be, located as close as possible to the side on rear of each lot. Is. Surface parking Lots shall not encroach into any required yards. (4) Service Standards: a. Services, including all utility Access, above ground equipment and trash enclosures shall be located on alkyl Is. Where alleys do not exist services,mcading i ibty access, above ground equipment, and trash enclosures shall be located in compliance with the building location standards for the zone and this division. c. No trash enclosure shall be located in required landscapa areas, within direct view of streets Or in traffic or pedestrian aides. d. Services and their appurtenances shall be screened from and shall not I located in required setback or landscaped areas. e. Each residentlal unit shall have access to on -site laundry facilities. I. Each development shall provide a trash area. g. Murnple family, commercial and industrial developments with common parking areas shall provide trash enclosures per 41 L23. In, Residential development providing individual trash combiners shall provide an area that measures a minimum of 3 S' x 71 outside of required setbacks and yards, to store and place out for pick up. I. Individual trash bins located in a garage shall not encroach Into the required parking area (5) Open Space Standards: a. Balcomes are permitted in any setback yard as provided in the encroach- ment requirements ot the applicable zone. It. Private patios may be provided at the side and rear yards. c. The area of any patio coven, gazebos and other roofed shade structures with at least 2 sides fully opened to the outside may be counted towards the required open space. d. Coridas, walkways, pastor,driveways, parking courts, lobbies and other such spaces shall not be included in the required open space cal- culations (6) Landscape Standards: a. All setbacks, yards and shared common open spaces shall be land 'taped. b. A landscape Wifer of not less than 5 feet shall be provided to separate any parking lot from an adjacent property c. Surface parking lots shall be landscape par the City Commercial area landscape standards. (7) Frontage Standards: a. Frontage shall comply with the applicable standards set forth in Sections 41-2033 through M39. (8) Building Size and Massing Standards: a. Buildings shall be constructed with a varied massing approach. Each building type contains an allowed massing by story table identifying the maximum ratio for each building story, Table BT-Aidentifies the infor- mation contain within each of these allowed massing by story tables. Allowed Massing by Stay slolly GAx Ax. i ] e a Nrtwltage 100 Pememage numisomft'aodf ofg..d percentage of the ground fact by Boor foptort a the build "city Iy area that b permitted for this particular Rory_..._.. IS, The maximum permitted ground Boor footprint shall be determined as described in Figure IIII c Story heights 1. A story means a habitable level within a building from finished floor to finished ceiling. Specific requirements for a story in various con- figurations are identified in Table Bi-2 Permitted Height by Story Type: Type LPWbn M116mum IFU Matl�n (fitl All building types, wdudiy house. duplex Upper FIRANS) 9 14 triplex and quadpkx AN building types, wdushN house. duplex Ghuind Floor 10 16 in*, aM quadpkx House, duplex triplex UpperFlo« a 14 And! quadplex House duplex Inri Ground Floor 9 12 and Wail Wrage Upper floorlsl a 14 --- G floor Equal aadlxara Garage Fi (podium) ground foor o/WYdinq 16 «kineir .uxh.d 2. A basements shall not be considered a storyfor the purposes W determining building height where the finished surface of the floor above the basement is less than six feet above grade plane 3. Attics shall opt be considered a story for the purposes of determining building height. 4. Aboveground gauges occupying a level shall be considereda story for the purposes of determining building height. d. Dwelling Unit Types There are three basic dwelling unit types. I. The flat is a single story unit. 2. the loft is a double -story heingt unit that may have a meaaanme. 3. A townhouse is a two a more story unit. Them dwelling units types may be used in any combination through- out a building, as permitted by the various buildings types. (9) Accessory Dwellings: a. Second dwelling units shall comply wish the requirements established in Section 41-194 of the Santa Ana Municipal Code. (10) Accessory Structures: a. The area occupied by accessory structures shall be included In the floor area ratio calculation. b. An accessory structure shall rot encroach into any required open space or setback except that a detached garage may be located 3 feet from the rear and interior side proparty line. 43 TRANSIT ZONING CODE SPECIFIC DEVELOPMENT 64 City of Santa Ana. California 7 5A-3 5 4.1 -Architectural Standards, cont'd RUM W4L Maintaining PWMM\d BaalldBg Un IGwlrl Row Foeysred) alnd vahane suect oe Fa 20 Step 1: Existing Site • • . • • • • • • • • • • • • 110 Step 2: Apply Lots • • • • • ^ ^ ^ • • • • • •) Step 3: Apply Building Setbacb • • • • • • • 1 a. B existing site meets subsection 1 or 2a. Per allowed building types identified 31. Per the standards In Division 3. apply II below, applyiabler 6A, Subdivision in Table BIT 1, select building rype(s), the required setbacks to the logs). Guidelines to generate a block(a): I. Site is not in compliance with Fig- 21b. Apply lot standards for each selected 3b. The result Is the allowed biding ure 2.1 or as adjusted by Street building type and identify loin) to placement area on the lot(,). Network Concepts, section B,C. receive a building. ii. Site exceeds the block dimensions per Table 6A, Subdivision Guidelines. I b. B existing site already complies with the subdivision quidel'mes and street networt concepts, proceed to step 2. Step 4. Apply Wen space wquirementx See Figure BGC 4a. Per the Open Space Standards Ofthe applicable Building Type, subtract the required area to tit (e.g., 155d). Lot Ito receive a building) (-) minus setbacks required (-) minus open space area required (_)equate 10 Ground Floor Footprint 4b. Apply Ground Floor Footprint to the allowed massing scenario to identify the maximum square footage permitted for the building. Blunratire Example: Plan Diagram Two adjacent county" hpekg euBNrgs lens gunner. Example: A.mwmetric Diagram Two adjacent caxtya d trWsuq twitling, I • •)o Step 5. Apply individual design 5a. Design the building(s), per the individual requirements of the selected building typeu) in Division 4. The example above (plan and axonometrk diagrams) shows two courtyard housing lots being designed for one courtyard housing building each. FIgw1 Pi open space Area 147 ®1)in determining In< grounJ W Mosinee, regwrM apen,ye un 6e vubnanN i, Pon the blrn rimthe epen,pne u n aWixV,e .' or on s podium cubing rw4uNn LMacIu mEOwn fwre aluMMw Eunyae'. Sae pen weh aaM \ nired po0ym w,uLlmenean aaraweAlaee aas w,, n wn b rmv.en Peer, I alu,unive E-iniNk Subenar garage wIh fe.s 0 1,1ere , n wn a nqui,ed open Ilurl nrve rumple. 1+ 1- garage MM de l Ngwage rerrrq a wrt d rquvrE open 75A-36 TRANSIT ZONING CODE 44 SPECIFIC DEVELOPMENT 84 City of Santa Ana, California TRANSIT ZONING CODE : Architectural Standards -Building Types fiktstriebw Axonometrk Diagram Mushadve Phota Ttwwr on Podium Illustrative Photo: Tower with stoop front Left Illustrative Photo: Tower -on podium Sec. 41-2021.Tower-on Podium Building Type (a) Toweron-0adium is a mus"vel building organized around a central core with the first two to five Boors expmaed as a podium building. (b) Lot Width and Depth. .Themnimum and maxi mum lot Nth and the minimum lot depth shall be as prescribed' T bielyi (Perm'tted fluddino TvossEL (0 Access Standards (1) Entrance to the tower shall be through a street level lobby. (2) Entrance to each ground floor unit shall be directly from the street at least every 50 feet The entrance to each Podium floor unit shall be directly from the podium. (3) Access to all other units shall be through a lobby and elevator. 14) Access to each unit above the third level, not accessed through a podium, shall be through a central interior corridor of at least 6 feet in welsh with recessed doors or seating akmes/ofi sets at least every IDO feet. (S) Each level of the building shall have access to the garage via an elevator. (6) Entrance to the residential Portion of Me building shall be through a dedicated street level lobby, or through a dedicated Podium lobby accessible from the street or through a side yard. (d) Parking Standards (1) Required Parking shall be in a completely concealed garage. tithe garage is partially or wholly on the ground, then it shall be lined by a commercial or residential units. (2) Dwellings shall have vid iced access to their Parking stalls). (e) Service Standards (1) utility meters shall be screened from view from the street and shall not be located within any required landscape or setback area. (2) Mail boxes shall not be located in any required open space, landscape or setback areas or detract from the primary, entrance to the development. (f) Open Space Standards (1) A quadrangle -shaped common open space (hereinafter quad') of at least 20 percent of Me lot shall be located on the ground level, on a podium or on a roof garden. The quad shall be open to the sky. (2) Minimum dimensions for the quad shall be 6o Irwin each direction. Pefmined frontage types and architectural projections are permitted on all sides of the quad provided that the overall minimum dimension of quad is maintained. (3) Private open space shall be provided for each residential unit and shall be no less than SO square feet with a minimum dimension of 6 feet in each difection. (4) Private open space may be substituted for additional common open space or common inte- rior space, the size of which will be equivalent to the displaced private open space. The mini- mum dimension of this space shall be 20 feet in each direction. (g) Landscape Standards (1) A minimum of four (4), 36-Inch box canopy trees shall he planted per quad. (2) Where side yards are present, one (1) 24-inch box tree per 30 lineal feet to protect privacy of neighbors. The trees may be placed in groups in order to achieve a particular design. (3) Smaller quads in interior courtyards will require shade tolerant plant materials. (4) Six (6). five-galion size shrubs, ten (10) one -gallon size herbaceous perennials/shmbs and turf or acceptable dry climate grourN cover shall be planted for every required tree. (h) Frontage Standards (1) Arcades, galleries, shophom and foracourt may not encroach Into the required minimum dimension of a quad. (1) Building So. and Massing Standards (1) Bul Nings shall be composed of bases and towers. Bases shall be 2 to 5 stories with towers rep- resenting a proportionally smaller footprint as specified in Table BT-3, entitled Maximum Ratio for each Towar-on-Podium Story and composed as bundles of different heights to enrich the Skyline of the City. (2) Buildings may contain any of 3 types of dwellings: flats, townhouses and lofts. (3) Units may be as repetitive or unique as deemed by individual designs. (4) Buildings may, be composed of one dominant volume, flanked by secondary ones. (5)The Towmrs APodium shall comply with the height ratios established in Table BT-3: Table Bf-3. Madhnurs Ratio for Eachlrovsam mPosium Story shad.um Wtlo Meac6Towerbn m5rory STORY Ground Floor ,, E-20 (or middle 3/5 of the 21-25 (or top 115 of she builklanol %cfgroulN Asm 100% IN SOAII] 35% [1I For any Percentage less than 100%, the Percentage refers to the percentage of the ground floor footprint of the building area that is Permitted for this particular story. W AccessoryDwelYngs. Accessorydwellings shall nwtbe pemMed. (k) Accessory Structures. Accessory structures shall not be Permitted. 43 TRANSIT ZONING CODE SPECIFIC DEVELOPMENT 84 City of Santa Ana, California 7 5A-37 Architectural Standards - Building Types, cont'd '11-1-11-URATpN E%AMVLEs .pint access podium (walk-up access permitted) wer(point-access) ouM Floor access --- equired per frontage type sWa rdS Below: Examples of allowed Toneroniodium sae coMgurmions PERMITTED USES IDev mfl., ortow on Fodrun are avarlabk ares.nw:denU rn.nebea»ru,, Iod,-,. remenu m table 3A. LAnd Use Snnda,ds. KEY_ _ USE o OFFICE ORT COMMERCIAL I RETAIL R RESIDENTIAL 75A-38 TRANSIT ZONING CODE A4 SPECIFIC DEVELOPMENT as City oT Santa Ana, CaIII.Onm TRANSIT ZONING CODE :Architectu2l Standards -Building Types Illustrative Axonometric Diagram Illustrative Photo: Flex Nock with shopfront frontage Sec. 41-2022. Flex Block Building Type (a) Flex Block Is a building generally of a single massing element designed for occupancy, by retail, service, or office uses on the ground floor, with upper floors also configured for those uses m for ) k m. YYYY (b) LOt Widthand Depth. of The minimum and nn+_v'm of width nd he m'ri mum la dedh dull be as prescribed in Tableli-t (Permitted Building TvneS1 (c) Access Standards a (1) The main entrance to each ground floor unit shall be directly from the street. (2) Enhance to the residential Portions shall be through a dedicated Strcet-kvel lobby, or through a dedicated podium lobby accessible from the street or through a side yard. (3) Access to each unit above the second level, not accessed through a podium, shall be through an interior conidor of at least 6 feet In width with recessed doors or seating alcoves/offsets at at least 1 DO het. (4) Each level of the build ing shall have access to the garage via an elevator. (it) Parking Standards (1) Required parking "it be accommodated in an underground garage, surface parking, luck under parking, or a combination thereof. (2) Dwellings shall have Indirect access to their parking stallo) (e) Service Standards (1) Utility meters shall be screened from view from the street and shall not be located within any required landscape or Setback area. (2) Mail boxes shall not be located in any required open space, landscape or Setback areas or detract from the Primary entrance to the development. g a D a s e ha I��gas c u�ar o In front as a forecourt. This area shall be equal to 15 percast d the lot and shall be open W the sky. Courtyards may be located on the ground a m a podium. Side yards may alw be formed to probde outdoor patios connectN to ground Boor commercial uses to serve u 0 1 s�. 2 Inimum courtyar dimensionssa be 40 ee[�ien the lo^9 ulsdthecourtyard norh ented EW and 30 feet for a NS orientation. Courtyard proportions shall not be less than 1:1 between the width of the courtyard and the height of the building for at least 2/3 of the court's perimeter. Horizontal shifts in upper floors adjacent to a court may not exceed 1/2 the height of each upper floor. (3) In 40 foot wide courtyards, frontages and architectural projections are Permitted on two opposing sides of the courtyard provided that an overall minimum width of 40 fear is main- tained. Frontages and architectural projections are permitted on one side of a 30 foot wide courtyard provided an Overall minimum width of 30 feet is maintained. (4) Private open space shall be provided for each residential unit and shall be no less than 50 square feet with a minimum dimension of 6 het in each direction. (5) Private open space may be substituted for additional common open space or common inte- rior space the size of which will be equivalent to the displaced private open space. The mini- mum dimension of this spare shall be 15 feet in each direction. (g) Landscape Standards (1) Where rear yards are present, at least one (1) 36-Inch box canopy tree per 30 lineal feet shall be planted directly In the ground. (2) Courtyards located Over garages shall be designed to avoid the sensation of forced podium hardscape. (3) Sideyard trees shall be placed to create a particular Sense of place at a rate of one (1) 2a-mch box tree per 30lineal feet. (4) Where a front yard is present, at least one 11) 2a-inch box tree Per 25 lineal feet shall be plant - 0.The trees may be placed in groups in Order to achieve a particular design. (5)One M6 mlb box specimen tree is required per courtyard that meets the minimum dlmen- slons. For courtyards that exceed the minimum dlmentlnns, two or more 2ainch box smaller size trees may be substituted for the 36-inch box tree. (6) Six (6) 5-gallon sized shrubs. ten (10) one -gallon size herbaceous perennials/shrubs and turf or acceptable dry climate ground covershall be planted for every required tree. (7) Where rear yards are present, at least one (1) 36-inch box canopy tree per 30 lineal feet shall be planted directly in the ground. (h) Frontage Standards (1) Entrance doors and social rooms, such as living rooms and dining rooms located on Me ground floor, are oriented fronting toward Me courtyards) Or street when fronting to one. (I) Bulking Size and Massing Standards (t) Each unit shall have at least one side exposed to the outdoors with direct access to common or private open space. (2) Buildings may contain any of three types ofdwellings: flats, townhouses and lofts. (3) Units may be as repetitive or unique as deemed by individual designs. (4) Buildings are allowed to be composed of one dominant volume. (5) The Flex Blab shall comply witht the height ratios utablished in Table BTi entitled _ Maximum Ratio for Each Flex Block Story. Ta leR aximum Ra' STDR3' Ground Floor 6,10144 %of ground floor 100% 100% nu%fow rRI Ii1W Faaq pemaeaq. ku Men t0aa6,the percentage Merl toted pert<nbgedMegrouM floor IootWlnt dMe bunking area that b pamared fa this prticuDr rtory. lk Accessory Structures Accessory structures shall not be permitted. 4:7 TRANSIT ZONING CODE SPECIFIC DEVELOPMENT 84 City Of $.or. An., California 7 5A-39 Architectural Standards - Building Types, cont'd XEY TO CONF IGURATION EGMPLES ■ Point access podium(walk-up access allowed) Ground Floor access required per -- frontage type standards ® Min. 100 It setback from all rights ofwayfor stories 6-10 PERMITIEO 011 S The various floors of Hex aloes are available for the .— muntifi,d In the diagram below subject to the requirements in Table 3A Land Use Sunsmds. KEY USE O OFFICE _�pba ff6m. aspermrhe3 URr COMMERCIAL RETAIL aid tic. � R RESIDENTIAL ul re I 1 I I � gelow: Eaamples of allowed Flex Block she configurations STREET STREET yI Min 13V in 130' I I I 0 _.. o I r • I I • O • --.• • O I I 1 �I �I w < s- Parking a e I I I I I I I I nmssranve Plan umgram - L Iam PIP A STREET Min130' �f I 1 I I I I 8 I I � Parking Q Court I I I I Ilh,[irlfluw nnlanr m Framnl � --•'� STREET IRu danve Plan ougram -Example R STREET Min 130' I I I I I I I I 1 I I I I�I I<I I I I 1 I I I I TRANSIT ZONING CODE of SPECIFIC DEVELOPMENT Ea 7 5A-40 City of Santa Ana, CaNfurnia TRANSIT ZONING CODE : Architectural Standards -Building Types Illustrative Axonometric Diagram: Lined Block Nlus[ative Plato: Lined block with shopfron[ frontage Sec. 41-2023. Until Block Building Type (a) Lined block Is a building that conceals a public garage or other faceless buildings, designed for occupancy by retail service, or office uses on the ground floor, wish upper fc ors also configured s a (b) Lot Width and Depth. .The on m and maximum lot - - b[ h Iv-L he �•+� lo Tab1eBT-I Ipe insid BCild' T I k aAccess Sta»�r s (1) The main entrance to each ground floor shad be directly from the street. (2) Entrance to residential portions of the building shad be Through a dedicated street level lobby, or through a dedicated podium lobby accessible from the street or through a side yard. (3) Access to each unit above the second level, not accessed through a podium, shall b , through an interior corridor of at least 6 feet in width with recessed floors or seating akoves/offsets at least artery IN kart. (4) Each level of the building shall have access to the garage via an elevator. (d) parking Standards (1) Required parking shall be accommodated in an underground or above ground garage, tuck under parking, or a combination thereof (2) Dwellings shall have indirect access to their parking stall(s). (N Service Standards (1) Utility meters shall be screened from view from the street and shall not be located within airy required landscape or setback area. (2) Mall boxes shall not be located in any required open space, landsope or setback areas or detract from the primary entrance to the development. IT e (I a om oar s <e sir 11 e• d sig a as c u ar ri M hunt as a forecourt. This area shall be equal to I S percent d the lot and shall be open to the sky. Courtyards may be located on the ground or can a podium. Side yards may be famed to p vie o p No c n ct d[ g ou d oo c 1 er ial (2) Minimum cwrtyard imeas on she I be 10 feet when t e ong axis o Me courtya b oriented EW and 15 feet for a NS orientation. Courtyard proportions shall not be less than 1:1 between The width of Me courtyard and the height of the building for at least V3 of the court's perim- eter. Horizontal shifts in upper floors adjacent to a court shall not exceed 1/2 the height of each upper floor. (3) In 20 foot wide courtyards, frontages and architectural projections are permitted on two opposing sides of the courtyard provided Mat an overall minimum width Of 20 feet o main- tained. Frontages and architectural projections are permitted on one side of a 15 foot wide courtyard provided an overall minimum width of 15 feet is maintained. (4) private open space shall be provided for each residential unit and shall be no less than 50 square feet with a minimum dimension of 6 feet in each direction. (5) private open space may be substituted for additional common open space or common inte- rior space Me size of which will be equivalent to the displaced private open space. The mini- mum dimension of this space shall be 15 feet in each direction. (g) Landscape Standards (1) Where a front yard is present, one (1) 24-box size tree per 25 lineal feet shall be provided. The Likes may be placed in groups in order to achieve a particular design. (2) Six (6) 5yallon size shrubs, ten (10) one -gallon six herbaceous Derennials/shrubs and turf or acceptable dry climate ground cover shall be planted for every required tree. (3) Courtyards located Over garages shall be designed to avoid the sensation offorced podium handi. (4) Trees in the front yard shall be of small scale that do not exceed 12-1 Sr height at maturity and suitable for buih-In concrete planters or containers with a 36-Inches minimum width. (5) One 36-inch box specimen tree is required per courtyard that mesa the minimum dimen- sions. For courtyards that exceed the minimum dimensions, two or more 24-inch box smaller size trees may be substiuted for the 36inch box heir (6) Where rear yards are present, at least one (1) 36-inch box canopy tree per 30lineal feet shall be planted directly in the ground. (7) When side yards are present, at least one (1) 244nch box tree per 30lineal feet shall be plant- ed to protect privacy of neighbors. The trees may be placed in groups in order to achieve a particular design. (h): Frontage Standards (1) Entrance doors are Oriented fronting toward she courn ard(s) or the street when fronting to 0) Building Size and Massing Standards (1) Each unit shall have at least one side exposed to the Outdoors with direct access to common or private open space. (2) Buildings may contain any of three types of dwellings: flats, townhouses and lofts. (3) Units may be as repetitive or unique as deemed by individual designs. (4) Buildings may be composed of one dominant vdume. (5) A Lined Block shock comply with the height ratios established in Table Bi entitled Maximum Patio for, Each Lined Block Story. (11 foranypercentagelesslhan IW ,thepercentagemi rstothepercentagedthegrouts Boor foolodnt of the bulking area that ispersonnel!far this particular story Table story CT-5 maw. R W p d aadl lased abdO Q) Accessory Dwellings. Accessory dwellings shall not be permitted. (k) Accessory Structures. Accessory structures shall not be permlaad. 19 TRANSIT ZONING CODE SPECIFIC DEVELOPMENT Ba City of Santa Ana, California 7 5A-41 Architectural Standards -Building Types, cont'd UN EXAMPLES ❑ Point access Dodium(walk-up ..as allowed; ❑ Walkup access Portion of Wilding Ground Floor access ---� required per frontage type standards PERMIT'TEI The varwmt Bloca art aoalybk hr Efeu ,kcr Ofied in EM diagram 1,6..suhTert b the regueemenls n Table }A, Land Ufa So,asa, MY USE 0 OFFICE OFT_ COMMERCIALIRETAKL R RESIDENTIAL Lni a dens, of ,e inNhy mne rA Mbk T I nN cm Illustrativ_ Section Configuration Diagram Below. Examples of allowed Lined Bktdssate conRgummns STREET Min OO Max per block standards I Surface ParkiTsg,Park- Once Garage. Retailer, Cinema, etc. Min Sly Ilustrative Plan Diagam- Example A STREET Min In' M. pert I I I I I I I t Surface Parking, Park -Once Garage, J6 I PettleA Cinema, Min 30' I STREET i. per blgckstandards STREET ax Per black standards I :30' l I ccess 6I I I Ilustr tiw: Plan Diagram- Examgle D 75A-42 TRANSIT ZONING CODE Ad II SPECIFIC DEVELOPMENT as Ory of Santa Ana, CERfornia T R A N S I T Z O N I N G C O D E : Architectural Standards - Building Types Illustrative Photo: Racked Dwellings i _rt WAR TERRI _ e Illustrative Photo: Stacked Dwellings with a stoop entry Illustrative Photo: Stacked Dwellings with stoops Sec. 41-2024. Stacked Dwellings Building Type. (a) A Stacked Dwelling is a structure of singe -flow, or multi -flow dwellings of similar configuration either above or below that are stacked. -� Y YY'YYYYYY"�VWY` (1) Entrance to the residential portions of the bulking shall be through a street level lobby, court- yard access, or through a combination of streeVpodlum lobby directly accessible from the street. (2) The main entrance to each ground floor unit shall he directly from the street Secondary access shall be through an elevator and corridor. (3) Access to each unit above the second keel, not accessed through a podium, Is through an ksu- nor corridor of at least 6 feet in width with recessed doors or seating alcoves/offsets at least every 100 feet. (4) Each level of the building shall have access to Me garage Via an elevator. (d) Parking Standards (1) Required parking shall be accommodated in an underground garage, surface parking, tuck under parking, or a combination thereof. (2) Dwellings shall have indirect access to their parking stall(s). le) Service Standards (1) Utility meters shall be screened from view from the street and shall not be located within any required undsope or setback area. (2) Mail boxes shall not be located In any required open space, landscape or setback areas or detract from the primary enhance to the development. 11 YY h< co m n pen spa�e shall be tt-iheieeiv.MlrjmC tleig s c x�rds. un open space shall be equal to I S percent of the lot and open to the flog. Courted hegr rsdoronapodnni Side yards may be formed as commonusnc erdion. Co0�ed do"pro the lorry all no be'leedk an 1:1 bn and 30/eel for a NS orientation. Courtyard proportions shall not be loss than 1:1 between the width of the courtyard and the height o1 the bu l ldl ng for at least 2/3 of the court's perimeter, Horizontal shifts in upper floors adjacent to a court shall not exceed 112 the height of each upper floor. (3) In ao foot wide courtyards, frontages and architectural projections are permitted on two opposing sides of the courtyard provideda minimum courtyard width of 40 feet is maintained. Frontages and archtitectural projections are permitted on one side of a 30 foot wide courtyard provided a minimum courtyard width of 30 feet is maintained. (4) Private open space shall b , provided for each residential unit and shall be no less than 50 square feet with a minimum dimension of 6 Feet In each direction. (5) Private open space may be substituted for additional common open space or common interior space, the size of which will be equivalent to the displaced private open space. The minimum dimension of this space shall be 15 fee in each direction. (g) Landscape Standards (1) front yard trees shall not exceed the height of the buildings at maturity, except at the margins of the lot where they may be used to frame and separate the building from As neighbors. The hers shall be planted at the rate of one (1) 24-irwh box free per 25 lineal feet of front yard. The trees may be placed in groups in order to achieve a particular design. (2) In the may yard, at least one (1) 364oc1, box canopy tree per 30 lineal feet shall b, punted directly in the ground. (3) Courtyards located over garages shall he designed to avoid the sensation of forced podium hardscape. (4) One W nch box specimen tree is required per courtyard that meets the minimum dimen- sions, for courtyards that exceed the minimum dimensions, two or more 24-inch box smaller size trees may be substituted for the 3&inch box tree. (5) $ix (6) Syalkm size shrubs, ten (10) one -gallon size herbaceous Perennials/shrubs and turf or acceptable dry climate ground cover shall be planted for every required tree. (6) Side yard trees shall be placed to create a par0cular sense of puce at a are of one 24r nch box free per 30 Imeal Wt. (h) Frontage Standards (1) Living rooms, dining rooms and bedrooms are oriented fronting toward the courtyard(s) or sheet Service moms are oriented backing to corridors. (b) Stoops up to 3 feet in height may be pled above subterranean parking, provided the area (0 Building Size and Massing Standards (1) Buildings may contain any of 3 types of dwellings: tuts townhouses and khs. (2) Units may be as repetitive or unique as deemed by individual designs. (3) Buildings may he composed of one dominant volume flanked by secondary ones. (4) Each unit shall have at least one side exposed to the outdoors with direct access in common or private open space. (5) A Sucked Dwellings shall comply with the height nation established in Table BT4 entitled Maximum Ratio for Each Stacked Dwellings Story. T" [11 For any pertmtage less than 100%, the percentage re ers to the percentage tithe Semo aver or ot foprint of the building area that Is permked for this pr i<uur story Ri _ RIMtlISRRn IutleMaW I Aatlad Dsseflgs Sorry f10RT bovkFbw ..-._. M agranrrd IODIa 1809s T5 {Swill Re859a 0) Accessoy Dwellings. Accessory dwellings shall rat be permitted, (k Accessory Structures. Accessory structures shall not be permitted. 4:11 TRANSIT ZONING CODE SPECIFIC DEVELOPMENT 84 City of Santa Ana, California 75A-43 0) Accessoy Dwellings. Accessory dwellings shall rat be permitted, (k Accessory Structures. Accessory structures shall not be permitted. 4:11 TRANSIT ZONING CODE SPECIFIC DEVELOPMENT 84 City of Santa Ana, California 75A-43 Architectural Standards - Building Types, cont'd KEY TO CONFIGURATION EXAMPLES 1 Non-walk-vp Point aaess Portion of building Ground Floor access -�� requiredP rf ArtRe type standards PERMITTED USES T t-nousfi-rs of Slacked 0w01ng1are.-Lbk for In, —,o—In din the dlag2mC Ic- pct to ore lepuk¢ments lntabk 3A, land Use Sl-dEnd, emwnwwnn*wea KEY USE erwrrawl. tte O OFEKF y C/IIT COMMERCIAL /flETAIL �l P RESIDENTIAL - ---'- •�ts+PrS'LrN_L mar IIIL IUWIve Section Conh,.I0.1 Diagram BelOV,: Enmpks of allowed Stacked DVYEIIing *. Confiquations 79 l l i I i l l LF l <I II i r i l i i s�nlln Is i PRIMARY Se _ to ribv Wn D.9.EY- Xam e T ALLEYWNERE OCCURS iI Max200 PRIMARY STREET usvatwe n iaa,,�n. F. �minr T ALLEIF"ERE OCCURS PARKING I 1 --------------------- Min 125Man 200 PRIMARY STREET illustw.. PWES lagr.ni 1.1inniNK 75A-44 TRANSIT ZONING CODE 4:12 SPECIFIC DEVELOPMENT PI City of Santa Ana, Calitornb T R A N S I T Z O N I N G C 0 D E : Architectural Standards - Building Types Illustrative Asonometdc Diagram Sec. 41-2025. Hybrid Court Building Type. (a) Hybrid Counts a building composed of two building types, the stacked dwelling and couryard housing, arranged around a courtyardls), This building type combines a point -access portion of the stacked dwelling Wilding type (access through a double loaded corridor) with a walk-up Portion of the courtyard housing building type (access directly from the street W Courtyard). The building may be designed for occupancy by retail, service, or office uses on the ground floor, wait tapper ROOS also configured for those uses or for residences 1-� Lot Width AM Depth Is . TheIDINmYm real MaA- rnumn b width and the lot depth hall be s prescribed in TahlaU-1 fRwsNNed " --' l-.> J� "�i "Jam_ (c) Access SbMards (1) The main entrance to each ground floor unit shall be directly from the street. (1) Entrance to the residential portions of the stacked dwelling element shall be through If dedicated street level lobby, or through a dedicated podium lobby accessible from the street or Through a side yard. (3) Access to each unit above the second level in the stacked dwelling element not accessed from the podium is through an interior, double -loaded corridor of at least 6 feet in width with recessed doors or seating alcoves/offsets at least every 100 feetfor other units, access shall be directly off a common courtyard or through stairs serving up to 3 dwell - IN'. (4) Elevator access shall be provided between the garage and each level of the stacked dwell- ings portion of the Wilding. Illustrative Photo: Hybrid Court access to the i (d) Parking Standards (1) Required parking shall be accommodated in an underground garage, surface parking, tuck under parking, or a combination thereof, (2) Dwellings shall bave Indirect access to their parking stall(s). let Service Standards (1) Udi ty meters shall be screened from view from The street and shall not tee located within any required landscape or setback area. (2) Mail boxes shall not be located in any required open space, landscape or setback areas or detract from the primary entrance to the development. (f) Open Space Standards (1) The common open space shall be designed as a central courtyard or Partial, multiple, separated or interconnected courtyards. This area shall equal to 15 percent of the lot and shall be open to the sky. Courtyards may be boated on the ground or on a podium. Side yards may be formed as common use gardens. 12) Minimum courtyard dimension is 40 feet when the long axis of the courtyard is oriented EW and 30 feet for a NS orientation. Courtyard proportions shall not be less than I:I between the width of the courtyard and the height of the Wilding for at least 213 of the court's perimeter. Horizontal shifts in upper floors adjacent to a own shall not exceed 112 the height as each upper floor. (3) In 40 foot wide courtyards, frontages and architectural projections are permitted on two opposing sides of The courtyard provided that an overall minimum width of 40 feet is maintained. Frontages and architectural projections are permitted on one side of a 30 foot wide courtyard provided an overall minimum width of 30 feet is maintained. (4) Private open space is required for each residential unit and shall be no less Than 50 square feet with a minimum dimension of 6 feet in each direction. (5) Private open space may be substituted for additional common open space or common interior space, the size of which will be equivalent to the displaced private open space. The minimum dimension of this space shall be 15 feel in each direction. (g) landscape Standards (1) Where a front yard is present, one (1) 24-irlch box tree pan 25 lineal feet shall be planted. The trees may be placed in groups in order to achieve a particular design. (2) Courtyards located over garages shall be designed to avoid the sensation of forced Pnd1- um hardscape. (3) Side yard trees shall be placed to create a particular sense of place at a rate of one (1) 24inch box tree per 30 lineal feet. (4) Oise 36tinch box specimen tree is required per courtyard that meets the minimum dimen- sions. For courtyards that exceed the minimum dimensions, two of more 24Anch box smaller size trees may be substituted for The 3 ftsch box tree. (5) Six (6) 5-gallon size shrubs, ten (10) one -gallon size herbaceous perennials/shrubs and tart or acceptable dry climate ground cover shall be planted for every required tree. (6) In the rear yard at least one (1) 24inch box canopy rise per every 25 lineal feet planted directly b The Wound. (7) Front yard sees that be of small scald that shall not exceed 12-15' height at maturity And are suitable for built in concrete planters or containers with a 36 minimum width. th) Frontage Standards (1) Entrance doors and social rooms, such as living rooms and dining rooms are oriented fronting toward the courtyandD) or the street when fronting one. Service rooms arc ori- ented to the degree possible backing to corridors in the Stacked Dwellings portion and to side yards, service yards and rear yards In the courtyard housing portbn. (2) Stoops up to 3 feet in height may be placed above subterranean parking, provided the area adjacent is landscaped and the stoops are scaled to the street and Wilding. (i) Building $ize And Massing Standards (1) Each unit shall have at least one side exposed to the outdoors with direct access private or common open swe. (2) Buildings may contain any of three types of dwellings: flats, townhouses and lofts. (3) Units may be as repetitive or unique as deemed by individual designs. 4:13 TRANSIT ZONING CODE SPECIFIC DEVELOPMENT 94 City of Santa Ana, CMlfomM 7 5A-45 Architectural Standards - Building Types, cont'd (a) The Stacked Dwellings portion of the building may be composed of one dominant volume Ranked by secondary ones. The courtyard housing portion o/ the building shall fdlow the courtyard housing standards. (5) A Hybrid Court shall comply with the he ght ratios established in Table III entitled Maximum Ratio for Each Hybrid Cants Story. Table PT-] Mukoum Falb of Fad HYbrld Gu rt Sbry STUDY Ground Floor is % of ground Roor by stony IODee I 1gG% "AS 50% 405k (1) For any percemage sees than 100%, the Per.emage rxars to the percentage of Hfe around! Poor footpdmt of the building ma tux b permitted for this pankWar story. (1) Accessory OwMknga Accessory Dwelkngs shall not be permitted. (ld Accessory Structures. Accessory, structures shall not be permitted. Detached garages shall be permitted KEY TO CON r i, ❑ nOnadlkup (point) access portion of building ❑ Vralkup access portion of building Ground Floor access — — — — required per frontage type standards • Minimum of l access point required tram street directly ro courtyard (total number of access points as determined by PBAI. Below: Exampks of allowed Hybrid Court site configurations PERMITTED USES The various floors of H>GM Courts are me:n'ale for the aces xenon. in the diagram below suep[l to Me r exanna lm bible 30. LarW UU lairduas. .rv�aria.0 asa.—xx KEY USE„rt 0 OFFICE j aaxix .+,ax j MP URT COMMERCIAL/RETAIL- onan f a R RESIDENML . It .1 ere M Single Court STREET Min lafl' Ma 350'_ _ I 1 r �g f Illualrabve Plan Diagram - Example A STREET Mm 160' Mae 3SV f F L F r ' Illmtrxive Plan Diagram - EKample C Illustrative Section Configuration Multiple Caen STREET w iscr Max350' f a fi < •, sE Illustrative Plan Diagram - Example B 75A-46 TRANSIT ZONING CODE a:la SPECIFIC DEVELOPMENT to City of Santa Ana, California TRANSIT ZONING CODE ;Architectural Standards -Building Types Yuoauw Photm COwryerd with fountain and Individual gar - Illustrative Phom: Courtyard with zaguan finking two court- Sec. 41-2026. Courtyard Housing Building Type (a) Courtyard Housing is a building type consisting of residences that may be arranged in bur pos- sible configurations: townhouses, townhouses over flaLL fiats, and flats over Bats. The structures are a nex to each other on one or more courts that are part or whol o n to the street (b) Lot Width and DepM. ' ell hallbei(XIN, 1. IN The mini mum and maximum lot wWth nd N I lot deoth alsaI be,, mqObed In Tabl BT-1 Term fled 8, ld'na Tvoesl (c) Access Standards (p The main entry to each ground floor unit shall be directly o8 a common courtyard or from the street. (2) Access to second story units not accessed directly from a podium shall be through stairs, serving up to 3 units. (3) Elevator access, it any, shall be provided between the garage and courtyard/podium only. (d) Parking Standards (1) Required parking shall be accommodated in an underground or aboveground garage, surface parking, tuck under parking or a combination thereof (2) Dwellings may have direct or indirect access to their parking stalys), or direct access to stalls enclosed within the garage. (a) Service Standards (1) Utility meters shall be screened from view from the street and shall not be located within any required landscape or setback area. (f) Open Space Standards (1) The common open space shall be designed as a central courtyard or partial m lusher separated or interconnected courtyards. The common opne space shall be at least 15 percent of the lot and must be open to the sky. (2) Courtyard proportions shall not be less than 1:1 between the width of the courtyard and height of the building for at least 2/3 of the coat s perimeter. Horizontal shifts in upper Boors adjacent to a court shall not exceed 1/2 the height of each upper Boor. In a project with mukiple court- yards, at least two of the courtyards shall conform to the patterns above. (3) In 40 foot wide courtyards, frontages and architectural projections are permitted on two oppos- Irg sides of the courtyard provided that an overall minimum width of 40 feet is maintained. Frontages and architectural projections are permitted on one side of a 30 foot wide courtyard provided an Overall minimum width of 30 feet is maintained. (4) Courtyards shall be connected to each other and to the public way by zaguans or pasaos (5) Private open space is required for each residential unit and shall be no less than SG square feet with a minimum dimension of 6 feet in each direction. (6) Private open space may be substituted for additional common Open space or common interim space, the size of which shall be equivalent to the displaced private open space. The minimum dltension of this space shall be 15 feet in each direction. (g) Landscape Standards (1) Landscape shall not obscure front yards on adjacent lots or the shopfront of ground floor flex space. Front yard trees shall not exceed 1.5 times the height of the porch at maturity, except at the margins of the lot, where they may be no more than 1.5 times the height of building at maturity Trees shall be planted at the rate of one (1) 36-inch box tree per 25 lineal feet of front yard. Trees may be placed in groups in order to achieve a particular design. (2)ln the rear yard, at least one (1) 24-inch campy tree per 25 lineal feet shall be planted directly in the ground. (3) One 36-inch box specimen tree is required per courtyard that meets the minimum dimensions. For courtyards that exceed the minimum dimensions, two or more 24-inch box smaller size trees may be substituted for me 36-inch box tree. (4) In courtyards over garages, one (1) 24Anch box size tree of small scale 02-15' height at maturity) or similar tall shrubs shall be used In planters with a 36' minimum dimension. (5) Side yard trees shall be placed at a rate of one (1) 24-inch boa tree per 30 lineal feet for privacy of neighbors. (6) Six (6) 5-gallon size shrubs ten (10) one -gallon size herbaceous perennials/shrubs and tuff a acceptable dry climate ground cover shall be planted for every required tree. (h) Frontage Standards (1) Entrance doors and social rooms such as win, roans and dining rooms are oriented toward Me courtyard(,) and the hunting street. Service rooms shall be Oriented backing to side yards, ser- vice yards and rear yards to the degree possible. (2) frontages and architectural projections or features such as towers, loggias and entry stairs shall not encroach into the required minimum dimension W a courtyard. (5) Stoops up to 3 feet in height may be placed above subterranean parking, provided the area adja- cent Is landscaped and the stoops are scaled to the street and building. (i) Building Size and Massing Standards (1) Buildings shall be composed of one, two and three story masses, each designed to house scale, and not necessarily representing a single dwelling. (2) 34" buildings shag be composed of single story and stacked units. In this Case, the visibility of elevators and of exterior corridors at the third stay shell be minimized by incorporation into the mass of me building. (3) Buildings may contain any three types of dwellings. Bats, townhouses, and lofts. (4) Units may to be as repetitive or unique as deemed by individual designs (5) 4 and 5-story muses shall be minimized inside courtyards and apparent m atseet homages (6)The intent of these standards Is to provide for courtyard housing projects with varying building heights. Courtyard housing shall comply with the height ratios established in Table ST-8, entitled Maximum Ratio for Each Courtyard Housino Story Table fT4F MNdnRlrn Red. eF Fads casetyeld l4wRYg sly STORY CeoVnd poor 2 l 4 S slofgraexl Boor by w I00% ,ro% aswll nif, 40% [II For any perttnta,.less than IDml the percentage relers I Me pwanUW of the ground Boor footprint a Me building area that is permhted M this particutir story. (I) Accessory Dwellings: AccessorydwelBngs"llnotbeperMtEed 4:15 TRANSIT ZONING CODE (k)Accessory Structures shall not be permitted. Detached garages shall be pennbte0. SPECIFIC DEVELOPMENT e4 City of Sent. Ana, California 7 5A-47 Architectural Standards - Building Types, cont'd KEY To wYnGUFATION Exarei,ES ❑Walkapacross Portion of Ground Flavor access required perfrontage type standards Illustrative Section Configuration Da, i r rm l,.r, .r PEPMITIED USES Theva uS Pinions ofm vaiNble forth u Ses idannfi"ni tM d.c. below rw nsE to oe reruwsen b in n[Un SA; Land Uae Standa.ds. KEY USE o OFFICE CAT COMMERCIAL I RETML R RESIN"AL Illustrative Section Configuration Dlagram:5ub[erranean Below:Examplesofaibw courtyard RousingsitecorAgwa0ons Single Court Multiple Courts STREET yl Min T30Max 250' I- .............. F : I Q T^ < 1 � f I r-- I I I 1 I I 6 Illustrative Plan Diagram- Example A STREET Min 130' Max 250 I 6.. ... ..........US n I- I c I I I I I Illustrative Plan DWgnm-Example C STREET Min 130' Max 250' 1- j .. E� i R 13� NQ 1 C S I f � I I I I I I Illustrative Plan Diagram - Example B —�.. STREET y Max 250' I I 1 a I � F I< � I � I ` d I F t I I I I mustrative Plan ulagram -trample u y Min 130' Max 250' DRIVE I-T r - r o w Q' _ 36 DRIVE ' Iua.nN.n. nn„nianem.Gv.mnlc[ 1 Required access to courtyard dew* from street (minimum I access point, total number Of access points as determined by PRq. TRANSIT ZONING CODE 4:16 SPECIFIC DEVELOPMENT 64 7 5A-48 City of Santa Anne, California TRANSIT ZONING CODE :Architectural Standards -Building Types Illustrative PhotoLhe+vork type with office and retail front M. Sec. 41.2027. Live/Work Building Type. (a) Uve Work is an integrated residence and work space (located on the ground Moor), occupied and urllzed by a single household in an army of at least 3 such structures, or a structure with at least 3 units arranged side by side along the primary Frontage, that has been designed o sbucturalty modified to accommodate joint residential occupancy and work activity. (b) Lot width and Depth. 1N minimum and nd maximum width and the I 1 m lot depth shall be laiic! in T hIeBT-1 (Permitted Building Types) (0 The main entrance to the ground floor work space shall be accessed directly from and face the street. (2) The upstairs dwelling shall be accessed by a separate entrance, and by a stair or elevator. (3) For lots without alleys, garages and services shall be accessed by a driveway B to 10 feet in width with 2-foot planters on each side when serving a private 2-car garage and 18 to 20 feet In width with 2-foot planters on each side when serving more than one private 2-ur garage. (4) Accessibility should be accommodated between a pair of units and not in the front yard to the degree possi bit (d) Parking Standards (1) At least one required parking space shall be in a garage, attached to or detached from the dwelling. (2) Additional required parking spaces may be enclosed, covered or open. (e) Service Standards (1) Services (including all utility access, aboveground equipment and trash contamersl shall be located on an alley when present or in the rear of the lot for those lots without alley -access. (f) Open Space Standards (1) For all buildings, except for hose with a tuck -under garage, the private open space shall be in the rear yard of each unit. The private open space shall be no less than 15%of the area of the lot or portion of the lot allocated for the unit. The private open space shall be of a regular geometry and open to the sky. The minimum dimension of each rear yard shall be 15 feet. (2) For buildings with tuck -under garage, one primary common open space of a regular geom- etry shall be provided. This common open space shall he equal to 15 Percent of the lot and shall be open to the sky. The minimum dimension For the common open space shall be 30 feet in each direction. Additionally, private open space shall be provided for each unit The private open space shall be equal to 50 square feet per unit Private open space may be sub- stituted for additional common open space or common interior space, the size of which will be equivalent to the displaced private open space. The minimum dimension of the substi luted common open space shall be 15 feel in each direction. . . ■ • • Bit Ma U UM ■ (g) Landscape Standards (1) Landscape shall not obscure front yards on adjacent lots or the shopfront of ground Boor flex space. Front yards trees shall not exceed 1.5 times the height of the porch at maturity, except at the margins of Me lot where they may be no more than 13 times the height of building .. at maturity, Trees shall be planted at the rate of one (1) 3t mh box tree per 25 lineal feet of front yard. Trees may De placed In groups in order to achieve a particular design. (2) In each unit', rear yard, at least one (1) 244nch canopy time shall be provided for shade and J Privacy.(3) Side yards trees shall be placed a rate of one (1) 24-inch box tree per 30lineal feet to protect the privacy of neighbors. -V (4) Six (d) 5gallon size shrubs, tan (10) one gallon size herbaceous perenniab/shrubs and turf o acceptable dry climate ground cover shall be planted for every required tree. Mushauve Photo: live -work type with shopfront Frontage (h) Frontage Standa is (1) Each live/work unit shall be designed so that social areas (e.g., living room, family room, din- ing room, etc), rather than sleeping and service roons are oriented toward the fronting street or to the courtyard. (i) Building Size and Massing Standards (1) Buildings shall be composed of 2 or 3story volumes in compliance with the standards for the aPplcabk zone. (2) Buildings on toner lots shall be designed with two front facades. (3) The minimum unit Frontage shall be 21 feet. (4) A five/work sh13 comply with the height rations established in Table ITT-9, entitled Maximum Rath for Each LKwWork Story. Table BT-9 laatllwm RMb d each Llve/1Vark Slwy AR Zones Except UN-1 A uNFZZ&NN; 3terY faountl Noon 1 3 lom6 1g0% Igo% wd, U IALVQZa Bporby kry 100% ao%[ll f0N [t) For any percentage leis Man llRnb, the percentage refers to Me percmtagedMe ground floor footprint dthe Wilding area Mat is aenitted b [his partkukr story 0) Accessory Dwellings. Accessory dwellings shall not be permitted. (k) Accessory Stmctums. Accessory structures shall be permitted. 4:17 TRANSIT ZONING CODE SPECIFIC DEVELOPMENT 84 City of Sant. Ana, California 7 5A-49 Architectural Standards- Building Types, cont'd KEY TO CONFIGUMMN EXAMMFs 1 ❑ Walk-up access portion of building Ground Floor access --- required perfrontage type standards 8ebw: Examples of allowed DVebWork type site configurations T ❑ 8 Street Illustrative Plan Diagram: Street access -Example D PERMITTED 11 to The various floors of bye Work building, are available for the uses identified In the diagram below subject or the requirements in table IA: Land Use Standard, Or USE O OFFICE CRT COMMEKIM./kETML Uppef dories as F - RESIDENTIAL rpermitted byaone and table BT-9 Illustrative Sedinn Cnfigu ration Oiagram Alley Access T ❑ F Min 21 Street Illustrative Plan Diagramizample A Al�a� T f �:Man 75Max 125 1 Street Illustrative Plan Diagram- Example B Alley Access 8 F -EMIn75' Max125 Street Illustrative Plan Diagram- Example C 75A-50 TRANSIT ZONING CODE 4:18 SPECIFIC DEVELOPMENT to City of Santa Ana, CaRbmb TRANSIT ZONING CODE : Architectural Standards -Building Types Illustrative Photo: Rowhouse building with stoop frontages Illustrative Photo: Rowhouse building with stoop frontages Sec. 41-2028. Rowhouse Building Type (A) Rowhouse is An individual structure on a parcel wish a private rear yard and individual garage Assessed from an alley, occupied by one primary residence in an army Of at least 3 such rtructures as structure of 3 multiple townhouse unit types Arranged side by side along the primary frontage. (b) Lot Width and Oepth. The min mum and maximum lot oth shall be as prescribed in TabigBI-I (Perm tied Building Tyces). .r ,u.������� fd Access Standards (1) The main entrance to each unit shall be accessed directly from and face the street (2) Garages and services shall be Admitted from An alley. (3) Accessibility should be accommodated between a pair of units and not In the front yard to the degree possible. (d) Parking Standards (I) Required mUdemial unit Parking shall be In A garage, which may be attached to or detached from the dwelling. (2) Additional required parking spaces may be enclosed, covered or open. (a) Service Standards (1) Services, including all utility access, aboveground equipment and trash containers shall be located on an alley when present or on the rear of the lot for those without alley access. (f) Open Space Standards (1) Private open space shall be located in the rear yard of each unis. The private open space shall W rw less than 15%of the area of the lot or portion of the lot allocated for the unit The ph - vote open space shall be of a regular geometry and open to the sky. The minimum dimension for the private open space shall be 15 feet in each direction. IS) Landscape Standards (1) Landscape shall rot obscure front yards on adjacent Inds. Front yards heel shall not exceed 15 times she height of the Porch at maturity, except at the margins of the lot where they may be no more than 1.5 times the height of building at maturity. The trees shall be planted at the rate of one (1) 3&ineh box tree per 25 lineal feet of front yard. The trees may be placed in groups In Order to achieve a Particular design. (2) At least one (1) 24-imin canopy tree shall be provided in each Private open space for shade and piwacy. (3) Side yards Veer shall be placed a rate of one (1) 24inch box tree per 30 lineal feet for Privacy of neighbors. (4) Six (6) 5Kgallon sue shrubs, ten (10) one -gallon size herbaceous perennials/shrubs and turf or acceptable dry climate ground cover shall nd planted for every required free. (h) Frontage Standards (1) Each rowhous , ground level shall be designed w that social areas such as the living room, family room, dining room, rather than sleeping and service rooms, are oriented toward the fronting street Or to the courtyard to the degree Possible. (i) Building Size and Massing Standards (1) Buildings shall be composed of 2 or 3-story volumes in compliance with the standards for the applicable Sons, (2) Buildings on corner lots shall be designed with two front facades. (3) Each rovvhouse building shall have direct access to yards. (4) In a 3-story Wilding, a townhouse dwelling may be stacked over a ground floor flat. In this case, the flat shall be accessed by Its own hunt door at the frontage, and the townhouse dwelling shall be Accessed by a separate front door and a stair. (5) The minimum unit frontage shall be 21 het. (61 A rowllouse shelf comply with the height ratios established in Table ST-10, entitled Maximum Ratio for Each Rowhouse SMry. Table lrt-to Maximum RadopfeAcA Rowhouse Seery '' ARZaner Except UN-1 A UN-2 Zones Eery Ground floor 2 3 Moor by Nary 100% 10096 1001s Lai a UIN Zones I0036 1 tlMyll SO% 'Via 111 FOr ally percerRage bzthan to09k the pen:enugereMsto UN percemagedthe _.I 1 r` tE I11 r aleilaR �' - R1f ' +y I 1 +iiii R • 9nopnd floor bapim of the bulMing arts Nat N pannirted br Nis particular story. j) A cessory DweMngc Accessory dwellings are not permitted, except In compliance wish SAMC lotion 41-1Sit, Second Dsvellirsg Units. (it) Accessory Structures: Accessory structures are Permitted. Illustrative Photo: Rowhouse Building with direct sidewalk access 4.19 TRANSIT ZONING CODE SPECIFIC DEVELOPMENT 94 City of Santa Ana. California 7 5A FF51 Architectural Standards - Building Types, cont'd NEYTOCONFIGORATION'-NANPLES Walkup access Portion of building Ground Floor access required Perfrontage type standards Tap Row: Enmples of allowed Rowhouse site configuratiwN Bottom Row: E,amples of accomodadng Accesdbaty Per Standard (dUl. STREET I IG0 to Zoo I� see ab __ _ 4 ` va2".. 51aMaraK e+. r— 0-- PERMITTED USES The varimaFarm of R.housee are available for the uses ldennfied In the diagram helm,, Subject to the requirements In table 2A land Use Standards. KEY USE 0 OFFICE CAT C011 It I It nr••,-/. upper staries as permitted by sore may-- and table BT-10 t 1�1--H I � nbshative Section Configwatioo Diagram sIREEi Bh h see 24'auess !�' nandams - E ; T ........... L— Illustrative Plan Diagram - Wroole 8:6 Rowhouses in I buildinu r - 1 ,a H 51a 14'acU � y IanaamK e Lyea- I 7k�a I � misoled site plan 75A-52 TRANSIT ZONING CODE 430 SPECIFIC DEVELOPMENT da City of Santa Ana, Carl ... I. TRANSIT ZONING CODE : Architectural Standards -Building Types Illustrative Photo. Tuck -under with stoop frontage Illustrative Photo: Alley providing IP—,P and garage aaess 11 7 e / t fl Illustrative Photo. ArcMtMure of two separates h6uMer tuiM- ingx combined at the alley access Hat separates the twt dribirgs Sec. 41-2029. Tuck -Under Housing Building Type. (a) Tuck -under housign is an individual structure on a parcel with no private rear yard and where its garage is tucked under the rear of the houw and accessed by an alley. The structure is occupied by one primary residence arranged with at least 4 such structures or at least 4 multiple townhouse (b) Lot Width and Depth. feet; The minimum and maximum lot Width end the Mrn,m,M lot depth shall be u, ,ibd in Tabli (Perm Third Build no Ttuell (1) The ..in entrance to each unit adjacent to a street shall be directly from and face the street The main entrance to all other units shall be from a courtyard. (2) Garages and services shall be accessed from an alley. (3) A back entry from the alley, and beside each garage shall be required for each unit. These entries are to be set back into the lot at a minimum distance of 5 feet so as not to be flush with the alley -facing garage doors. (4) Buildings at a street caner may span across the alley provided emergency access is main- tained and all required clearances are maintained. (5) Accessibility should be accommodated between a pair of units and not in the front yard to the degree possible. (it) Parking Standards (1) Required residential unit parking shall be in a garage that is attached to the dwelling. (2) All garages shall be accessed from a parking court separate but adjacent to the alley right way. (3) The garage for the dwellings at the end of the structure shall not a accessed directly from the alley, They should be access from parking Court. (4) Additional required parking spaces may be enclosed covered, or open. (el Service Standards (a) Services, including all utility access, aboveground equipment am trash containers shall be located on an alley when present or on the rear of the lot for those without alley access. (f) Open Space Standards (1) One primary common open space of regular geometry is required. This area shall be equal to 15 percent of the lot and shall be open to the sky. The common open space may be located on the ground or on a podium. The minimum dimension for this area shall be 30 feet in each direction. (2) Private open space shall be provided for each residential unit. The private open space shall be no less than 90 square feet with a minimum dimension of 6 feet in each direction am shall be open t0 the sky. (3) Private patios are permitted in front yards, subject to encroachments permitted! per zone, in building interiors, and on upper floors (4) Single loaded courtyards adjacent to alleys or interior lot lines shall be at least 20 feet in width. The length of such courtyard shall equal to the length of the building frontage. (5) Up to 50 percent of the private open space may be substituted for additional common open space or common interior space, the size of whi will be equivalent to the displaced private open space. The minimum dimension of this space shall be 15 feet in each direction. (9) Landscape Standards (1) Landscape shall not obscure front yard on adjacent lots Trees shall be planted at the rate of one (1) 36-inch box tree per 25 lineal feet of front yard. The trees can be placed in groups in order to achieve a particular design. (2) Where rear yard setbacks are present at least one (1) 2Hnch campy tree per unit shall De provided for shade and privacy. (3) Side yard trees shall be placed at a rate of one (1) 24-inch box tree per 30 lineal feet for privacy of neighbors. (4) Six (6) 5-gallon shrubs, ten (10) one -gallon size herbaceous perennials/shrubs and turf or acceptable dry climate ground cover shall be plantM for every required tree. (h) Frontage Standards (1) Each dwelling's ground level shall be designed so that social areas such as the living room, family room, dining room rather than sleeping and servNe rooms, are oriented toward the fronting sheet to the degree possible. 0) emitting Size and Massing Standards (1) Buildings shall De composed of 2 or 3-story volumes in compliance with the standards for the applicable mine. (2) Buildings on corner lots shall De designed with two front facades. (3) Each building shall maintain setbacks from property lines and in compliance with the stan- dards for the applicable zone, providing as mutt, direct access to yards as possible. (4) The minimum unit frontage shall be 21 feet. (5) A tuckunder shall comply with the height ratios established in Table BTA 1. entitled Maximum Table Rsl MatlrMeN AMM of eAdh rMdhwM spry Story Ground Flee 2 7 9k aground Boor by "hey 1005s "UM Maas IU Taranypercentage lessthanathat is ppercentage refersrtthe story. eNMe grate lbw footprint of the budding area that is permmed for Mis particular story. 0) Accessory Dwellings Accessory dwellings shall not be permined. (it) Accessory Structures Accessory structures shall not be mounted. 421 TAANSIT ZONING CODE SPECIFIC DEVELOPMENT 84 City of Sent. Are, Ca@ornia 75A-53 Architectural Standards -Building Types, cont'd NFY TO CONFI(WRATICN E NUPLES ❑ Walkup access portion of building Ground Floor aceess — — — — required per frontage type stamdards(section Bolow:Examples of a6owed I d clar typedh con6gorMbns PERMITTEDUSES The rurkan fi.1s of Tuak Under housing me available for she uses identified in thediagram below subjeatto the requirements in Table 2A, Land Use Standards. Upper stories KEY USE �as permittetlb mire and Fault O OFFICERT 11 LINE COMMFNMVflETMI e R RESIDENTIAL Al ss 1oc'It1n"m M 2, '^ 1 1 I 1. 2 3 14 i 1 � ; 2 , 3 i & i 4 i Il l u stralive Plan Diagram: With drive One illurtnmive Section Configuration Diagram & 1 2 3 4 Alley 11 2 3 1 3 1�L—L- F n �3 MmW Maa250' L �I E� Primary Street Illustrative Plan Diagram: S units in i Willing. Alley 1�34 1 11 1 F Min 94' Max 25Y Primary Street Illustrative Plan Diagrams 6 units in I building wile Damao. Alley + 1 1 1 1 1 2 3 4 S 6 7 6 9 10 F r 1 I N -1 Max 250' 6 Primary Street Illustrative POn Diagram. 10 unitsin 2 buildings 75A-54 TRANSIT ZONING CODE 4; SPECIFIC DEVELOPMENT 84 City of Santa An., California TRANSIT ZONING CODE :Architectural Standards -Building Types Illustrative Axonometric Diagram Illustrative Photo: Individual houses fronting the court Sec41-2030. Bungalow Court Building Type (a) Bungalow court is a configuration of single units arranged around a common, shared courtyard that is wholly open to the street. The Individual buildings are arranged next to each other to form theb n al w urt builDin t e. On It width and Depth. . The minimum and m_r rman lot width Andth lot him all be cubed In TaWeBT4 IPxmitted BWld'na Tvoesl. (c) Access Standards (1) Entrance to units shelf be directly from the front yard or from the courtyard. (2) Where an alley Is not present parking and services shall be accessed by a driveway 8 to 10 feet wide, with 2-loot planters on each side when serving a private 2-car garage, and 18 to 20 feet In width with 2-foot planters on each side when serving more than one private 21ar garage. (3) On a corner lot without access to an alley, parking and services shall be accessed from the side street (d) Parking Standards (1) Required residential unit parking shall be within individual garages, which shall contain up to four cars. (2) Garages on comer lots without alkyl shall front onto Me side street and shall have 1 or garage doors and driveways no more than 8 feet wide that are separated by planters at least 2 feet wide. (3) Garages shall not front the primary street. (4) Additional required parking spaces may be enclosed, covered, or open. un Service Standards (1) Servkes, Including all utility access, aboveground equipment and trash containers shall be located on an alley when present. (2) Where an alley is not present, utility access, above ground equipment and trash containers shall be located in a side or rear yard, at least 10 feet behind the front of the house, and be screened from view from the street with a hedge or solid fence. (1) Open Space Standards (1) The common Open space shall be designated as a central courtyard. This area shall be at least 15 percent of the lot of a regular geometry and shall be open to the sky. (2) Minimum courtyard dimensions are 40 feet when Me long axis of the courtyard is oriented East/West and 30 feet when the courtyard is oriented North/South. (3) In 40 foot wide courtyards, frontages and architectural projections are permitted on two opposing sides of the courtyard provided that an Overall minimum width of 40 feet is win - tained. Frontages and architectural protections are permitted on one side of a 30 foot wide courtyard provided an overall minimum width of 30 feet is maintained. (4) Each dwelling shall have a private open space of at least 150 square feet which may be locat- ed in a side yard, rear yard, or adjacent but separate from the courtyard. (5) The private open space shall be at least 10 feet in each direction and enclosed by a fence, wall or hedge. (6) Up to SO percent of the private open space may be substituted for additional common open space or common interior space, the size of which will be equivalent to the displaced private open space. The minimum dimension of this space shall be 15 feet in each direction. (7) Each unit shall be separated from the adjacent dwelling by At least 10 feet. (8) Porches and stoops may encroach into the required yard setbacks as permitted by the urban standards for Me zone. (9) Private patios are permitted In any yard. (g) landscape Standards (1) Landscape shall not obscure front yards on adjacent lots. From yards trees shall not exceed 1.5 times the height of the porch at maturity, except at the margins of the lot where they may be no more than 1.5 Lanes the height of building at maturity, The trees shall be panted at the rate of one (1) 3 imh box tree per 25 lineal feet of front yard. The trees may be placed in groups in order to Achieve a particular design. (2) At least one (1) 24-Inch canopy tree shall be provided in each unit rear yard for shade and on- vacy. (3) Side yards trees shall be paced a rate of one (I) 24-Inch box tree per 30 lineal feet to protect the privacy of neighbors. (4) Six (6) 5-gallon size shrubs, ten (10) one -gallon site herbaceous perennia Wshrubs and turf or acceptable dry climate ground cover shall be panted for every required tree. (5)One 36 och box specimen tree Is required per courtyard Mat meets the minimum dimensions. Above and to the left: illustrative Photos: Individual houses fronting a court with the entry porch and/or stoop encroach- ing Into the common space. 4:13 TRANSIT ZONING CODE SPECIFIC DEVELOPMENT 04 City of Santa Ana, California 75A-55 Architectural Standards - Building Types, cont'd (h) Frontage Standards FdA kaactyMakhgs.teeddlferlliefraWbedlsays�sonlapipdeleossJNblclsttle bsia}r�e,tl�iy room, and dining may Ireovt9tMetMm livelsorgushmoartRe.rooms, are oriented toward the fronting street or to Me courtyard. ul Building Size and Massing Standards (1) Buildings shall be composed of one of two story volumes and massed as houses. (2) Building elevations abutting side yards shall be designedto provide at least ore honcontal plane break of at least three (3) feet and one vertical break Of m West two (2) feet (3) Dwellings within the buildings may be flats or towntwuses. (4) Buildings on corner lots shall be designed with two front facades. (5) A Bungalow Court shall complywith the height ratios established in Table BT-12, entotled Maximum Bata for Each Bungalow Court Story, _-.... Table Br-12 Maximum Ratio of each luryalose Cam Story Ground Floor 2 %af ground lbw by sbry lllOte Nlf(11 orany Percentage lessthan %. the yementage refers to the percentage of the grountl floor l000pnnt of the building area that h permitted for this particular story. D) Accessory Dwellings: Accessory dwellings shall not be permitted. (k) Accessory Structures: Accessory structures shall be Permitted. Below: Examples of allowed bungalow -court type site configurations 04n= o D 1 1 F 1 1 1 1 1 1 1 1 1 ++j 1001a190' Primary Street IRustraNve Plan Diagram: Street Access Alley ID1 1 rL^I u 1 1 1 1 IN to IW 1 1 1 1 i Vrimary Strnel thistrafiye Plan Diagram: Alley Access PERMITTED USES The various floors of Bungalow Courts are available for the uses identified In thediagram below subject to Me requirement in Table2A, land Use Standards. NEV _ USE Uppersloriesas Permitted O _ OFFICE r by Ico^rmaandI table Bi P RESIDENTIAL Illustrative Plan Diagram: Non Alley Access illustrative Section ConM1guiation Diagram KEY TO CONFIGURATION EXAMPLES Walk-upaccess Portion of Ground Floor aces — — — — required per frontage type standards (Section Space. 75A-56 TRANSIT ZONING CODE 4:24 SPECIFIC DEVELOPMENT 84 City of Santa Ana, California TRANSIT ZONING CODE :Architectural Standards -Building Types Illustrative Photo: Duplex with Porch Frontage Illustrative Photo: Duplex with hontyard and porch frontage Nkubadve Photo: QuadPlex with stoop frontage Sec. 41-2031. Duplex, Triplex, and Ouadplex Building Type (a) Duplex, triplex, and quedpiex are muitiple dwelling types that are architecturally presented as large single-family houses In their typical neighborhood setting. Such buildings may be used for residenBa, office, retail or in combination as Permitted by the applicable zone. (b) Lot Width and Depth. .Themin,and maximum ld "Ed Buildina Terser). width and the en nunum lot depth shall be as prescribed! inTableRT-1 (Perm, (cl Access Sean ar (1)The main entrance to each ground floor unit shall be accessed directly from and face the street Access to second floor units shall be by a stair, which may be open or erdosed but shall not face the street. (2) Where an sky Is rot present parking and services shall be accessed by a driveway 8 to 10 feet wide with 2-foot planters on each Ode when serving a Private 2-or garage and /8 to 20 feet in width with ]-foot planters on each side when serving more than one private 2-car garage. (3) On a corner tat without access to an alley, Parking and services shall be accessed from the side street (d) Parking Standards (1) Requhed residential parking shall be within individual garageswhich shall contain up to four cars (2) Garages on caner lots without alleys may front onto the side street only N provided with 1 ear garage dons and driveways up to 8 feet wide that are separated by planters at least 2 feet wide. (3) A street facing garage may accommodate no more than 2 cars and shall have 1 ear garage doors and driveways no more than 8 feet wide that are separated by planters at least 2 feet wide. (4) Additional required parking spaces may be enclosed, covered or open. (a) Service Standards (1) Where an alley is not present services including. utility access, above ground equipment and trash containers shall be located at least 10 feet behind the front of the house, and be screened from view from the street with a hedge or solid fence. (p Open Space Standard, (1) One primary common open space of regular geometry is required. This area shall be equalto 15 percent of the lot shall be open to the sky and may be located on the ground or on a podium. The minimum dimension for the common open space shall be 15 feet in each direction. (2) Private open space is required for each ground floor residential unit The private open space shall be no less than 150 square feet with a minimum dimension of 10 het in each direction, enclosed by a fence, wall or hedge and open to the sky, (3) Porches and stoops may encroach into a required yard, as specified in the Urban Standards for the Zone. (g) Landscape Standards (I) Landscape shall rat obscure front yards on adjacent lots. Front yards trees shall not exceed 1.5 times the Might of the porch at maturity, except at the margins of the tat, where they may be no more than 15 times the height of building at maturity. The trees shall M planted at Me rate of one (1) 3trirrch box tree per 25 lineal feet of front yard. The trees may M placed in groups m order to achieve a particular design. (2) In the rear yard, at least one (1) 244och canopy tree shall M Provided for shade and privacy. (3) Side yards trees shall M placed a rate of one (1) 2a-inch box tree per 30 lineal feet to protect the privacy of neighbors. (4) Six (6) 51allon size shrubs, ten (10) one -gallon size herbaceous perennials/shrubs and turf or acceptable dry climate ground cover shall be planted for every required thee. (h) Frontage Standards (1) Each dwelling's ground level abutting front yards shall be designed ro that social areas Such as the living room, family room, dining room rather than bedrooms and service morns are ori- ented toward the fronting street to the degree possible. (2) On corner lots, entrances to triplex and quadplex dwellings shall M located on both sired frontages. (0 Building Size and Massing Standards (1) Building elevations abutting side yards shall M designed to provide at least one horizontal plane break of at least 3 feet, and one vertical break of at least 2 feet. (2) Buildings on corner lots shall M designed with two front facades. (3) Buildings shall M massed as large houus, composed principally of 2-story volumes, each designed to house sole. (4) Dwellings within buildings may M flats or townhouses. (5) Duplex, Triplex, and puadplex shall comply with the height ratios established in Table BT-13 Table R-13 OPrex arory Maxlmwn Barb of each Duplex,fall" nd Ouadplex Stay Crowdibor Z 3 %ulpaasd 1001s 1SW1) 4p% Hoer by story Ito sod envrfoontayekssthandinga that is permitted emp ticulasurry. ground Moor motldnt W she bulking area that is permmed for M'n panicubr story. 0) Acceseery Dwellings. Accessory dwellings shall not be permitted. 425 TRANSIT ZONING CODE SPECIFIC DEVELOPMENT 84 City of Santa Ana, California 7 5A-57 Architectural Standards -Building Types, cont'd ❑ walk-up access portion of building Ground Floor access rY,o,rsd,rfrontage is,- "anda'dt Bebw:Examples ofallowed duplex/triplex/quadpkx site configurations. P[RMI I TED Dff5 The various Floors of duplevtnple. Iquadplexes are avaJablefor the uses Identified in the diagram below object to the requirements in table ZA Land Use Standards. KEY USE R RESIDFNTmI Upper stories as allowed by rare and table 47 dT-13 Illustrative Section Configuration Diagram of a triplex Upperstorias as permitted by r mare and false ` 6T-13 Illustrative Section Configuration Diagram of a quadpkx Alley Alley I i I a 1 1 I a 1 i Z 8 3 1 i s. s Min 50' a.� �t Max 12s Mln 50 �� ye Max 125' P,imar St;aet Irl niryStreet Illustrative Plan Diagram of a triplex: Alley access upper stories as r allowed by zone +� and table Bi-13 va- Illustrative Section Configuration Diagram of a duplex Alley i . r Kill I s- Q Mln 50 LMax 125' pinal Street Rlustratke Plan Diagram of a duplex Alley access Illustrative Plan Diagram of a quadpkx Alley access Jpper stories as Hewed by zoo aA table RT-13 aRo w.w Illustrative Seaton Configuration Diagram of i mial. � r Min 50'a; '1Max 125 Priinar SOW IllustraMve Plan Dlagwm of a duplex Street Access 75A-58 TRANSIT ZONING CODE 426 SPECIFIC DEVELOPMENT as City of Santa Ana, California TRANSIT ZONING CODE : Architectural Standards -Building Types Matter" Photo: Sligle dwellirsg with hag yard frontage Illustrative Plato: Single dwelling with hontyard frontage Muslim ore Phu $1,40 dwellings with frontyard homage SeC41-2032. House Building Type. (a) House is a structure occupied by one primary residence that also accommodates commercial and office uses as permitted allowed. Such buildings may be used for residential, office, retail or in combination as pemgtted by the applicable zone. 1yyYYY YYVY-Y"I-r-rYYY' (1) The main entrance to the house shall Ise accessed directly from and face the street. (2) Where an alky n but present, parking and services shall he accessed by of a driveway 8 to 10 feet wide, and with 2-foot planters on each side. (3) On a corner of without access to an alley, policing and services shall be accessed from the side street. (d) Parking Standards (1) Required residential parking shall be within a garage. (2) Street facing garage may accommodate no more than 2 cars side by side or 3 cars in a tandem configuration. (3) An alkyaccessed garage may accommodate up to three cars side by side. (4) Additional par4lrsg may be provided in the driveway. (5) A street -facing garage shall have 1-car garage doors and driveways no more than 8 feet wide that are sepersted by planters at least 2 Net wide. (a) Service Standards (1) Where an alley is hot present, services including utility access, above ground equipment and bash containers shall be located at least 10 Net behind the front of the house and be screened from view from the street with a hedge or sdld fence. (f) Open Space Standards (1) Private Olsen space shall be located in the rear or side yard and shall be no less than 15 per- cent of the area of the lot of a regular geometry and open to the sky. The minimum dimen- sion for this area shall be 15 feet in each direction. (2) At least one side yard shall be designed to pfovlde an open area no less than 10 feet by 10 feet. (3) Porches and stoops may encroach Into a required yard, as specified by the zone requirement SectiM. (g) Landscape Standards (1) Landscape shall not obscure front yards on adjacent lots. Front yards trees shall rot emeed 1.5 times the heght of the Porch at maturity, except at the margins of the lot where they may be rig more than 13 times the height of building at maturity. Trees shall be planted at the ,are of we (1) 36-inch box tree per 25 lineal feet of front yard. Trees may be placed in groups in Older to achkve a particular design. (21 In the rear yard, at least one (1) 24-Inch canopy time shall be provided for shade and privacy. (3) Side yard trees shall be planted in required yards a rate of one (1) 241nch box tme per 25 an- eal feet to protect the privacy of neighbors. (4) Six (6) 5-9a11on shrubs, ten (10) oneyallon size hwbxceous peren rrals/shrulas and turf or acceptable dry climate ground cover shall be planted for every required tree. (h) Frontage Standards (1) A houses ground level shall be designed so that social areas such as the living roan, family room, dining room rather than sleeping and service rooms, are oriented toward the fronting street. (i) Building Size and Massing Standards (I ) Building elevations abutting side yards shall be desgrsed to provide at least one horizontal plane break of at least three feet, and one vertical break of at least two feet. (2) Houses on corner lots shall be designed with two front facades. (3) Buildings shall W composed of one and/ or two story volumes, each designed to house scale. (4) A house shall comply with the height ratios established in Table BT-14, entitled Maximum Ratio for Each House Story. Table IFF14 Maximum Falb of eacA Noae sorry CileYM FbOl 2 %cogrwaw lore% foyer by tray W%Iil PI For any percentage less than IDO%, the percentage refers to the percentage of the ground Igor footprint of the Wilding area that is permitted for this particular story. W Accessory Owellinga Accessory dwellings arc pefmRed subject W the roquk nets of Sec 41.194 - second dwelling units. (k) Accessory Structures, Accessory structures are permitted. 422 TRANSIT ZONING CODE SPECIFIC DEVELOPMENT a4 City of Santa Are. California 7 5A-59 75A-60 REQUEST FOR COUNCIL/ - HOUSING AUTHORITY ACTION CITY COUNCIL MEETING DATE: JULY 2, 2019 TITLE: AUTHORIZE ISSUANCE OF FISCAL YEAR 19- 20 REQUEST FOR PROPOSALS FOR AFFORDABLE HOUSING DEVELOPMENT {STRATEGIC PLAN NO. 5, 31 1134=1N:(•T&91611111LT[64I1 V1*4r@1WJq ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s' Reading ❑ Ordinance on 2n1 Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO �— FILE NUMBER ITY MANAGER EXECUTIVE DIRECTOR RECOMMENDED ACTION Authorize the City Manager to release a Fiscal Year 19-20 (FY 19-20) Request for Proposals seeking proposals to develop affordable rental and ownership project(s) in the City of Santa Ana with funding from the Inclusionary Housing Fund, HOME Investment .Partnerships Program, Community Development Block Grant Program, and Rental Rehabilitation Program. COMMUNITY REDEVELOPMENT AND HOUSING COMMISSION RECOMMENDATION At its regular meeting on May 22, 2019, the Community Redevelopment and Housing Commission (CRHC) recommended approval of the action above by a vote of 4:0 (Aguinaga, Frazier, Tardiff, Vasquez and Garcia absent). DISCUSSION Under Section III of the Affordable Housing Funds Policies and Procedures adopted by City Council on March 20, 2018, the Community Development Agency, upon City Council approval, will issue a Request for Proposals (RFP), for available funds. The RFP will be open (an "Open RFP Process") and provide sufficient time for applicants to identify an eligible site and complete and submit a proposal. Responses to this RFP will be accepted and evaluated on an on -going basis during Fiscal Year (FY) 2019 — 2020 with three deadlines for submission of a proposal on October 15, 2019, January 15, 2020, and April 15, 2020. As such, staff is requesting authorization to release the Fiscal Year 2019 — 2020 RFP for affordable housing to be developed in Santa Ana (Exhibit 1). The available funds for this RFP are equal to the total amount. of funds available in the Inclusionary Housing Fund, HOME Investment Partnerships Program, Community Development Block Grant Program, and Rental Rehabilitation Program, and/or any other funds received by the City of Santa Pena for affordable housing purposes as published on a quarterly basis as an exhibit in the Housing 80A-1 Request for Proposals for Affordable Housing Development July 2, 2019 Page 2 Division Quarterly Report. Inclusionary Housing Fund in -lieu fee pending payments and any other funds that have not yet been received by the City are not considered available funds. The current available funds for this RFP are as follows: Inclusionary Housing Fund $1,614,113 HOME Investment Partnerships Program $1,050,802 (HOME) HOME Investment Partnerships Program Funds for Community Housing Development $691,063 Organizations (CHDOs) Community Development Block Grant Program $676,000 (CDBG Rental Rehabilitation Program $381,551 TOTAL $4,212,528 Available program funds may be used for affordable housing development loans for the following eligible purposes: (1) The purchase of existing multi -family or other buildings for rent or sale to very low- and extremely low-income households and for the development of congregate housing for rent to very low- and extremely low-income persons with special needs (e.g. homeless individuals and families, elderly, persons with a disability). (2) The purchase or lease of land and buildings for new construction or rehabilitation of housing that may utilize available State and Federal housing _ assistance programs such as Low - Income Housing Tax Credits, the Section 202 Supportive Housing for the Elderly Program, tax-exempt bond financing, Section 811 Supportive Housing Program, and/or other available State and Federal programs. (3) The development of limited -equity housing cooperatives through either conversion or new construction. (4) The provision of interim loan funds for any of the above purposes prior to the funding of a public or private loan. Eligible development costs for the above uses include, but are not necessarily limited to: a. site acquisition and preparation; b. rehabilitation of dwelling units, common areas and related structures; c. new construction; d. carrying charges and financing fees; e. architectural, legal, and organizational fees; f. temporary or permanent tenant relocation costs. The Rental Rehabilitation Program (RRP) grant is a soure of affordable housing funds that has not been available in previous years. This source of affordable housing funds was authorized by Congress on November 30, 1983 by Section 301 of the 1983 Housing and Urban -Rural Recovery 80A-2 Request for Proposals for Affordable Housing Development July 2, 2019 Page 3 Act. The City of Santa Ana received $363,900 in rental rehabilitation grant funds. Assistance was provided to owners of small rental projects in the form of deferred loans. The last loan has been paid off and the grant program has had no activity for over ten years. Under the federal rules and regulations found at 24 CFR 511.76 "program income on hand at the time of program closeout or earned after program closeout... may be used for activities that would be eligible under other affordable housing activities, as determined by the recipient." Therefore, staff is making this source of funds available in this RFP for affordable housing activities using the same eligible activities as the Inclusionary Housing Fund. Land Assets Owned by the Housing Authority Staff is requesting approval to issue this RFP for the development of land currently held by the Housing Authority. The proposed development of the property would be solely for the development of affordable housing. The land asset will be awarded under a ground -lease option such that the land will remain with the Authority as a long-term public benefit. The land asset owned by the Housing Authority and available for development under this RFP is as follows: (1) 302 E. Twenty -Second Street a. APN:003-122-25 b. Lot Size: 27,817sf c. Current Zoning: R1 Single -Family Residence, which allows one house per lot. d. Parcel was purchased using Low and Moderate Income Housing Asset Fund - 20% Set Aside e. Previous Use: Purchased from Cal Trans. It was a remnant parcel from the freeway widening project. The site was vacant and undeveloped at the time it was acquired. f. General Plan: Low Density Residential, which allows single-family residences and ancillary uses. g. Maximum dwelling units/acre: Seven units per acre. h. Site Condition / Environmental Conditions: Property is irregular in shape, is below the minimum lot size for a residential lot, and will most likely require the approval of several variances from the zoning code in order to facilitate a residential unit. The Housing Authority intends to retain ownership of the site and enter into a long-term ground lease for up to 99 years. The parcel will be conveyed through a ground lease, in an as -is condition. As it will be stipulated in the ground lease, the value of the land and the site preparation costs will be provided to the project as a land subsidy in the form of a promissory note. The RFP is scheduled to be released on July 3, 2019. The RFP will be published on both the City and Housing Authority's websites; a public notice will be published in the OC Register; an e-mail will be sent out to Orange County's largest affordable housing membership associations including the Kennedy Commission, 2-1-1 Orange County, and the Southern California Association of Nonprofit Housing; and a letter will be e-mailed to interested developers and nonprofit organizations who had previously requested to be informed of development opportunities on the Community Development • I . Request for Proposals for Affordable Housing Development July 2, 2019 Page 4 Agency's RFP Process Database. Developers and nonprofit organizations interested in being added to the RFP Process Database can contact the City's Housing Division. After each deadline, staff will conduct a minimum threshold review of each proposal to ensure the proposal complies with all of the minimum requirements in the RFP. Following the minimum threshold review, staff will form a Review Panel that consists of the Executive Director of the City's Public Works Agency or his designee, the Executive Director of the Planning and Building Agency or his designee, the Executive Director of the Community Development Agency, the Housing Division Manager, the Housing Programs Analyst and one outside agency or government entity. Keyser Marston Associates will also serve as an advisor to the Review Panel. In compliance with the City's Affordable Housing Funds Policies and Procedures, the Review Panel will use the proposal Scoring and Selection Criteria from the RFP to conduct their review and analysis of each proposal. In addition to the Scoring and Selection Criteria from the RFP, the Review Panel will also review the proposed project design for appropriateness for the proposed target group, compatibility with surrounding uses, cost effectiveness of construction, and appropriateness of the design and construction for low maintenance and long term sustainability. The Review Panel will interview all of the developers who submitted a proposal. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 - Community Health, Livability, Engagement and Sustainability, Objective #3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). FISCAL IMPACT There is no fiscal impact associated with this action. Steven Steven A. Mendoza Executive Director Community Development Agency Exhibit: 1. RFP # 19-063 for Affordable Housing Development EXHIBIT 1 REQUEST FOR PROPOSALS RFP # 19-063 AFFORDABLE HOUSING DEVELOPMENT CITY OF SANTA ANA Community Development Agency 20 Civic Center Plaza Santa Ana, CA 92701 Judson Brown Housing Division Manager Tel: (714) 667-2241 i brown(c�santa-ana.ora KEY RFP DATES: Issue Date: Wednesday, July 3, 2019 Proposal Due Dates: Tuesday, October 15, 2019 Wednesday, January 15, 2020 Wednesday, April 15, 2020 City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Pagel 80A-5 at 5:OOPM at 5:OOPM at 5:OOPM EXHIBIT 1 NOTICE INVITING PROPOSALS NOTICE IS HEREBY GIVEN that proposals will be received from qualified firms (Developers/Proposers) for the development of affordable housing projects in the City of Santa Ana. Responses to this Request for Proposals (RFP) will be accepted and evaluated on an on -going basis during Fiscal Year (FY) 2019 — 2020 with three deadlines. Available affordable housing funds and land assets being made available in this wuarreriv rteport approves pv Utv Gouncli for the most current information. Proposals shall not exceed the total Available Funds as published on a quarterly basis in the Housing Division Quarterly Report. The RFP Process will be open ("Open RFP Process") and provide sufficient time for applicants to identify an eligible site and complete and submit a proposal in response to the RFP announcement. The RFP Process will be open for at least one fiscal year with three (3) deadlines to submit a proposal scheduled throughout the year. After each deadline for the Open RFP Process, staff shall review the Proposals to determine that the minimum Program and RFP Process requirements are met (minimum threshold review). Proposals that do not meet the minimum threshold review will be considered non -responsive. If the Proposal meets the minimum threshold review, staff will form a Review Panel. The Review Panel for the RFP Process will consist of at least one employee from the City of Santa Ana Public Works Agency, Planning and Building Agency, and Community Development Agency, and one outside agency or government entity. Using the scoring and selection criteria provided in the RFP, the Review Panel shall determine whether the proposal is recommended for a pre -loan commitment, with or without conditions. Including the scoring and selection criteria, the Review Panel shall review the design of the proposed project for appropriateness for the proposed target group, compatibility with surrounding uses, cost effectiveness of construction, and appropriateness of the design and construction for low maintenance and long term durability. Proposed projects must receive a minimum threshold score of 75 points to move forward with the proposal review process. If the Review Panel determines, in its discretion, that the proposal may be recommended for approval, the Housing Division shall request an underwriting and subsidy layering review by a real estate advisor selected by the City of Santa Ana and paid for by the proposer. The real estate advisor shall confirm the underwriting for the project, the financial gap, and other programmatic requirements related to the funding sources. If the Review Panel determines that the proposal will not be recommended for approval or an award of funds, the proposer will be notified in writing of the decision. It is the responsibility of the proposer to ensure that any proposals submitted shall have sufficient time to be received by the City of Santa Ana prior to the proposal due date and time. Any questions regarding this Request for Proposals shall be made in writing via e-mail to Judson Brown, Housing Division Manager, at Ibrown(ccilsanta-ana.org. MAILED, DELIVERED BY HAND, OR COURIERED PROPOSALS WILL BE ACCEPTED AS FOLLOWS: City of Santa Ana Judson Brown, Housing Division Manager Community Development Agency 20 Civic Center Plaza, Sixth Floor Santa Ana, CA 92701 PLEASE DO NOT E-MAIL RFP RESPONSES. City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Page 2 EXHIBIT 1 CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY REQUEST FOR PROPOSALS FOR AFFORDABLE HOUSING DEVELOPMENT PAGE I. INTRODUCTION 4 IL SCOPE OF WORK 6 III. GENERAL INFORMATION 6 IV. COORDINATION 7 V. DEVELOPER RESPONSIBILITIES 7 VI. CITY BUSINESS LICENSE 7 VII. RULES FOR PROPOSALS 7 VIII. PRE -PROPOSAL MEETING 8 IX. E-MAIL COMMUNICATIONS AND INTERPRETATIONS/CLARIFICATIONS 8 X. ADDENDA 8 XI. SUBMITTAL REQUIREMENTS INFORMATION AND DEADLINE 8 XII. MINIMUM QUALIFICATIONS 8 XIII. SUBMITTAL REQUIREMENTS 8 XIV. DEVELOPER SELECTION — PROPOSAL AND EVALUATION 13 XV. PUBLIC RECORDS 15 XVI. FILING A PROTEST 15 EXHIBIT A SCOPE OF WORK 16 Attachment 1 Early Outreach Community Meeting 26 Attachment 2 City of Santa Ana Rehabilitation Standards 27 EXHIBIT B ALIGNMENT WITH THE CITY'S HOUSING ELEMENT AND STRATEGIC PLAN 35 EXHIBIT C ADDITIONAL INSURED ENDORSEMENT FOR GENERAL LIABILITY POLICY 37 EXHIBIT D PROPOSAL CONTRACT AND AGREEMENT: PROPOSER'S STATEMENT 38 EXHIBIT E PROPOSAL CONTRACT AND AGREEMENT: CERTIFICATION OF NONDISCRIMINATION 39 EXHIBIT F PROPOSAL CONTRACT AND AGREEMENT: NON -COLLUSION AFFIDAVIT 41 EXHIBIT G PROPOSAL CONTRACT AND AGREEMENT: COMMITMENT TO ENTER INTO MOU 42 EXHIBIT H CITY OF SANTA ANA MAP OF OPPORTUNITY ZONES 43 EXHIBIT I HOUSING AND COMMUNITY DEVELOPMENT NOFA CALENDAR 44 EXHIBIT J COMMUNITY OUTREACH GUIDELINES 45 City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development 80A3 7 EXHIBIT 1 CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY REQUEST FOR PROPOSALS FOR AFFORDABLE HOUSING DEVELOPMENT INTRODUCTION The City of Santa Ana (City) and the Housing Authority of the City of Santa Ana (Authority) are issuing this Request for Proposals (RFP) for the development of affordable housing in the City. Proposed developments may be for acquisition and rehabilitation of eligible properties for rental and/or ownership housing; acquisition and conversion of non-residential property to multifamily housing units; and/or new construction of housing units for rental and/or ownership housing. Available affordable housing funds most current information. New funds from in -lieu fee payments received under the City's Housing Opportunity Ordinance; the implementation and disbursement of local funds under the Permanent Local Housing Allocation Program; additional Housing Successor Agency funds; project -based vouchers or other local, state, or federal funds may become available during Fiscal Year 2019 — 2020 while this RFP is open. Proposals shall not exceed the total Available Funds as published on a quarterly basis in the Housing Division Quarterly Report. Available Funds for this RFP: The available funds for this RFP may include the total amount of Inclusionary Housing Funds, HOME Investment Partnerships Program, Community Development Block Grant Program, Project -Based Voucher Program, Low and Moderate Income Housing Asset Funds (Housing Successor Agency Funds), Neighborhood Stabilization Program Funds (NSP), and/or any other funds received by the City of Santa Ana for housing purposes as published on a quarterly basis in the Housing Division Quarterly Report. Inclusionary Housing Fund in -lieu fee pending payments and any other funds that have not yet been received by the City shall not be considered as available funds. Available program funds may be used for development loans for the following eligible purposes: (1) The purchase of existing multi -family or other buildings for rent or sale to very low- and extremely low-income households and for the development of congregate housing for rent to very low- and extremely low-income persons with special needs (e.g. homeless individuals and families, elderly, persons with a disability). (2) The purchase or lease of land and buildings for new construction or rehabilitation of housing that may utilize available State and Federal housing assistance programs such as Low -Income Housing Tax Credits, the Section 202 Supportive Housing for the Elderly Program, tax-exempt bond financing, Section 811 Supportive Housing Program, and/or other available State and Federal programs. (3) The development of limited -equity housing cooperatives through either conversion or new construction. (4) The provision of interim loan funds for any of the above purposes prior to the funding of a public or private loan. Eligible development costs for the above uses include, but are not necessarily limited to: a. Site acquisition and preparation; City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Page 4 80A-8 EXHIBIT 1 b. Rehabilitation of dwelling units, common areas and related structures; c. New construction; d. Carrying charges and financing fees; e. Architectural, legal, and organizational fees; f. Temporary or permanent tenant relocation costs. Please refer to the Affordable Housing Funds Policies and Procedures adopted by City Council on March 20, 2018 for more information. As of the date of issuance, the Available Funds for this RFP will be as follows, subject to change: Inclusionary Housing Fund $1,514,113 HOME Investment Partnerships Program (HOME) $1,050,802 HOME Investment Partnerships Program Funds for Community Housing Development Organizations CHDOs $591,062 Community Development Block Grant Program (CDBG) $675,000 Rental Rehabilitation Program $381,551 TOTAL $4,212,528 Land Assets Owned by the Housing Authority: The Housing Authority of the City of Santa Ana acting as the Housing Successor Agency (Authority) is also issuing this RFP for the development of land currently held by the Authority within the City of Santa Ana. The proposed development of the property would be solely for the development of affordable housing. The land asset will be awarded under a ground -lease option. The Land Asset owned by the Housing Authority that is available for development under this RFP is as follows: (1) 302 E. Twenty -Second Street a. APN:003-122-25 b. Lot Size: 27,817sf c. Current Zoning: R1 Single -Family Residence, which allows one house per lot. d. Parcel was purchased using Low and Moderate Income Housing Asset Fund - 20% Set Aside e. Previous Use: Purchased from Cal Trans. It was a remnant parcel from the freeway - widening project. The site was vacant and undeveloped at the time it was acquired. f. General Plan: Low Density Residential, which allows single-family residences and ancillary uses. g. Maximum du/ac: Seven units per acre. City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development UA5 89 EXHIBIT 1 h. Site Condition / Environmental Conditions: Property is irregular in shape, is below the minimum lot size for a residential lot, and will most likely require the approval of several variances from the zoning code in order to facilitate a residential unit. The Housing Authority currently owns the land asset, and intends to retain ownership of the site and enter into a long-term ground lease for up to 99 years, as legally applicable, with the selected developer. Respondents should assume that the Housing Authority owned parcel will be conveyed through a ground lease, in an as -is condition. As it will be stipulated in the ground lease, the value of the land and the site preparation costs will be provided to the project as a land subsidy in the form of a promissory note. 11. SCOPE OF WORK The Scope of Work will include any and all work efforts related to the development of affordable housing per EXHIBIT A - SCOPE OF WORK. Available funds can be used for a variety of housing types and preferences. Please see the table below for the allowable uses of funds for each source: d N 0 C 0 N L Source of Funds E a d o > Z`_ .S = r c o � a 5 Z V 2 O m c c chit aci E o W Q y O Q K S Inclusionary Housing X X X X X X X Funds HOME Program Funds X X X X X X X CDBG Program Funds X X X X X X X Rental Rehabilitation X X X X X X Program Funds The Developer shall be an independent developer capable of providing experienced, knowledgeable and professional staff. The Developer shall be responsive and maintain excellent working relationships with city residents, businesses, government officials and City staff. The Developer shall provide adequate staffing levels at all times and adhere to established schedules. The Developer shall be knowledgeable of and comply with federal, state and local laws, including the Santa Ana Municipal Code, as it applies to their proposal. GENERAL INFORMATION A. Following the RFP Process and conditional on meeting other requirements and conditions, a pre -loan commitment letter may be drafted by the Housing Division, reviewed and approved by the Housing Division Manager, the City Attorney's Office, and the Executive Director of Community Development, before being recommended for approval by the City Council. The letter shall state the maximum amount of program funds and/or land asset reserved for the project and list all of the additional conditions, documents and steps that must be taken by the Developer prior to loan closing. City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Page 6 80A-10 EXHIBIT 1 B. When determined appropriate, the City will provide information in its possession relevant to preparation of required information in the RFP. The City will provide only the staff assistance and documentation specifically referred to herein. C. The Developer shall be responsible for retaining data, records and documentation for the preparation of the required information. These materials shall be made available to the City as requested by the City. D. This RFP does not commit the City to pay costs incurred in preparation of a response to this RFP. All costs incurred in the preparation of the proposal, the submission of additional information and/or any aspect of a proposal prior to award of a written contract will be bome by the respondent. The City reserves the right to accept or reject the combined or separate components of any proposal in part or in its entirety or to waive any informality or technical defect in the proposal. E. All data, documents and other products used, developed or produced during response preparation to the RFP will become property of the City. All responses to the RFP shall become property of the City. The City will make best efforts to maintain Proposer information identified as proprietary information confidential, to the extent allowed under the California Public Records Act. F. The City reserves the right to reject, replace or approve any and all subcontractors. All subcontractor(s) shall be identified in the response to the RFP and the City reserves the right to reject any subcontractor(s). Subcontractors shall be the responsibility of the Developer and the City shall assume no liability for such subcontractors. IV. COORDINATION Iv Coordination by the awarded Developer with the City, other contractors and agencies will be required to achieve satisfactory and timely delivery of the required work. Coordination may include, but not be limited to, coordination with impacted businesses, neighborhood and civic groups, local and/or state agency boards and staff, or attendance at Community Redevelopment and Housing Commission meetings or City Council meetings. The City will decide the manner in which the coordination efforts will be conducted. At the City's option, coordination efforts may be performed by the Developer's direct contact, by the Developer acting through the City or by the City only. When coordination efforts require agreements, such agreements shall be coordinated with the City. The selected Developer will assume responsibility for all aspects of the development, and for insuring that the project is developed and operated in accordance with applicable state and federal laws. The selected Developer will ensure that the project is developed and operated in accordance with the City laws, regulations, and planning and development process. VI. CITY BUSINESS LICENSE The selected proposer shall be required to obtain a City of Santa Ana business license within 30 days of selection and must provide a copy to the City project manager or designee prior to commencing any work in Santa Ana. VII. RULES FOR PROPOSALS The signer of the proposal must declare in writing that the only person, persons, company or parties interested in the proposal as principals are named therein; that the proposal is made without collusion with any other person, persons, company or parties submitting a proposal; that it is in all respects fair and in good faith without collusion or fraud; and, that the signer of the proposal has full authority to bind the proposer (Exhibit F). City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development 80A-11 EXHIBIT 1 Vill. PRE -PROPOSAL MEETING The City will not have a pre -proposal meeting for this RFP. IX. E-MAIL COMMUNICATIONS AND INTERPRETATIONS/CLARIFICATIONS To facilitate the RFP process, proposers are required to monitor and respond to e-mail requests within 48 hours. No oral interpretations will be made by the City to any proposer as to the meaning of requirements identified herein including the Scope of Work. Every request for such an interpretation must be made in writing via e-mail to Judson Brown, Housing Division Manager, at ibrownna.santa- ana.org. Significant interpretations or clarification will be provided in the form of a Questions and Answers Addendum and sent to the Developer who requested the interpretation or clarification. X. ADDENDA If clarification or interpretation of this RFP is considered necessary by the City, a written Questions and Answers Addendum shall be updated and provided directly to the Developer(s) who asked the question(s). XI. SUBMITTAL REQUIREMENTS INFORMATION AND DEADLINE Proposals are due to the City of Santa Ana, at the date, time and location set forth on the Notice Inviting Proposals. Faxed and e-mailed proposals will not be accepted. XII. MINIMUM QUALIFICATIONS Proposers shall have a minimum of five (5) years recent experience in the development and operation of affordable housing projects similar to their proposed project. XIII. SUBMITTAL REQUIREMENTS Proposers shall submit seven complete hard copies of their proposal, and one additional electronic copy on a USB flash drive. All seven copies of the proposal must include a signed cover letter. This cover letter must include a declaration that the only person, persons, company, or parties interested in the proposal as principals are named herein; that the proposal is made without collusion with any other person, persons, company, or parties submitting a proposal; that it is in all respects fair and in good faith without collusion or fraud, and that the signer has full authority to bind the proposer. It must also include an email address and contact information for the signer. All proposal submissions shall be on 8-1/2" x 11" white paper. All project proposals must contain the following minimum submission requirements: 1) Statement of Qualifications (SOO). The SOQ must include the following components: • Developer Team. An organizational chart showing lines of responsibility, as well as a list of team members and their duties as part of the team. If the developer is a nonprofit corporation, or if a nonprofit is one of the team members, the SOQ must include documentation that the corporation is certified by the U.S. Internal Revenue Service as a 501(c)3 tax exempt non-profit corporation, and is in good standing with both state and federal compliance. If the developer is a Community Housing Development City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Pa e 8 80-12 EXHIBIT 1 Organization (CHDO), the SOO must include documentation that the developer can be certified as a CHDO for the City of Santa Ana. Developer needs to identify if any contractor(s) and/or subcontractor(s) are a subsidiary to any member of the development team. • Developer Experience. A narrative describing recent affordable residential development and management experience, with an emphasis on experience gained in the last five years on projects similar to the one being proposed. i) Include project name and type (special needs, senior, large family, etc.), project address, developer team members, unit count and bedroom type, affordability requirements, and funding sources in your description. ii) Include a description of your experience doing community outreach and capacity including resources, staffing, and available funding. • Financial Capacity. Description of the developer's financial strength and ability to obtain project financing, and to provide sufficient equity for the successful completion of the proposed project. i) Include a description of current relationships with major lending institutions. ii) Any developer that is selected for recommendation to City Council, or if a partnership, the team members who will retain an ownership interest in the project, will be required to submit complete financial statements for the last three years. Because of the possibility of public records requests, the City cannot guarantee that these statements will remain confidential. • References. Include a list of at least three references from public agency partners and professional lenders/investors with full names, contact information, and identification of the project(s) worked on. SOQs must be limited to a maximum of 25 pages, excluding front and back covers, section dividers, and exhibits. 2) Project Description. Detailed and concise narrative describing the proposed project, including at a minimum and as appropriate the development concept for the site or a description (with photographs) of the building to be acquired or developed, proposed building square footage, number of units and bedrooms per unit, total parking spaces, proposed ingress and egress, proposed affordability levels, any special needs groups or target population to be served, amenities to be provided to the tenants, and resident manager's unit. If there will not be a resident manager for a rental project, describe in detail how the project will be managed. Please make sure to include the following: • Narrative description of the project and conceptual site plans if available. o Site size and location. o Total gross building area (GBA), as well as a breakdown of: • Residential GBA; • Circulation/Common Area GBA; and • Retail GBA. • Residential unit mix: o Number of units of each bedroom type by affordability level; o Unit square footage by bedroom type; and • Common area amenities to serve the residential development. • List of anticipated retail tenants (if applicable). • Parking: o Total number of spaces proposed: o Number of spaces dedicated to the residential uses; and o Number of spaces dedicated to other uses. City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development 80A=13 EXHIBIT 1 o Number and square footage of parking spaces provided by type: • Above -ground; • Surface; and • Subterranean. For all projects, the narrative must also address site control, current zoning and any required zoning changes, anticipated development costs, City and Authority funds required, requested City and Authority loan terms, developer access to additional funds required for the project, and proof that the property is under contract. A site map showing the project's location should accompany this narrative. The narrative must include a description of the various sources of financing that will be needed to complete the project as both a 4% Low -Income Housing Tax Credit deal and as a 9% Low -Income Housing Tax Credit deal. The narrative should provide a projected tie breaker score for 9% Low -Income Housing Tax Credits with a best case and worst case scenario based on the financing stack being pursued, with a relative comparison to the most recent tie breaker scores for the type of project being proposed in the last three 9% tax credit rounds. Clearly state if the project will be ready to apply for 9% Low -Income Housing Tax Credits during FY 2019 — 2020. This should include evidence of progression towards planning entitlements and other requirements necessary for the tax credit application. Clearly state if the project will be competing with another project owned by the developer in Orange County for an upcoming 9% Low -Income Housing Tax Credit round, including a comparison of the projected tie breaker scores for both projects. 3) Development Pro Forma. Identify the sources and uses of all funds necessary to complete the project, including the project's anticipated cash flows over a period of years equal to 15 years and 30 years. The pro forma should identify important underlying assumptions that govern the cash flows, including but not necessarily limited to, the amounts and frequency of loan repayments (all sources), annual rent increases, occupancy levels, operating costs as a percent of revenue, timing and amounts of replacement costs. The cost estimates in the Sources and Uses budget should assume the payment of Davis -Bacon prevailing wages and relocation benefits, if applicable. The pro forma must include a calculation of the return on investment to the developer. Please make sure to include the following: • Land Costs o The property assemblage costs should include the following if applicable: acquisition costs, relocation costs, demolition costs, and closing costs. The developer should include an appraisal and the proposed purchase and sale agreement (if available). • Construction Costs o Identify whether the direct cost estimate reflects a premium for prevailing wages Provide a direct construction cost breakdown (include a contractor's detailed estimate, if available) that disaggregates the following information: o Off -site improvements; o On -site improvements; o Parking costs; o Residential shell costs; o Community room/office space costs; o Commercial space shell costs; o Commercial space tenant improvement costs; o General conditions; o Contractor fees; and o Direct cost contingency allowance. City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Page 10 80A-14 EXHIBIT 1 Provide a breakdown of the project's indirect costs such as: o Architecture, engineering and consulting fees; o Public permits and fees costs including all city fees, school district fees, impact fees and any other fees that would be assessed on the projects; o Taxes, legal and accounting costs; o Insurance costs; o Marketing costs; o Development management fee; and o Indirect cost contingency allowance. Provide the following financing cost information: o Predevelopment/bridge loans (loan amounts, interest rates, length of term and projected average outstanding balance of loan funds during predevelopment/construction); o Construction loans (loan amounts, interest rates, length of term and projected average outstanding balance of loan funds during predevelopment/construction); o Loan fees; o Amount of cash equity contribution and the return requirement on these funds during the construction period; o Capitalized reserves; and o Tax Credit Allocation Committee (TCAC) costs (if applicable). Net Operating Income. Provide the following net operating income information: o Residential Rents. o Estimated market rents by unit type (provide a market study if available). o Affordable rents by unit type, affordability restriction and net of applicable utility allowances. o Number of managers' units — are these rent -paying units? o Projected retail rents. o Parking: • Will parking charges be applied to the parking required for the rental units? • Will parking charges be applied to the parking required to serve the retail uses? o Operating Expenses: • Residential: • General operating expenses; • Property taxes; and • Annual capital and operating reserve contributions. o Unreimbursed retail expenses. o Parking expenses. • Financial Parameters o Low income housing tax credits (if applicable): • Provide eligible basis, gross and net tax credit proceeds calculations. • Provide the self -scoring sheet for the 9% TCAC or CDLAC applications. Explain why the project does not receive the maximum points. • Provide the tiebreaker calculation for 9% TCAC projects. o Equity contribution: o Quantify the equity contribution to be provided with cash during construction, and the amount of cash equity that will be left in the project on a permanent basis. o Identify the funding source that will be used to refund any construction period equity that is to be returned to the developer upon the completion of construction. o Define the preferred return requirements applied to the cash equity funds that will remain in the project over time. o Describe the other proposed governmental subsidies (AHP, MHP, City of Santa Ana, etc.). City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Page 80A 115 EXHIBIT 1 Provide an estimate of how the project scores in the identified funding competitions. Also, explain why the project will not receive the maximum points. o Describe the terms under which any deferred developer fee will be repaid. • Project Cash Flow o Provide a cash flow analysis that shows the order of repayment priorities. Be explicit about the cash flow assumptions. • Public Assistance Terms o Identify any responsibilities that will be requested of the City of Santa Ana. 4) Projected Rental Income. Include evidence that the rental income shown in the pro forma is reasonable and achievable. Please include a preliminary market study analysis that supports that this is achievable. 5) Community Inclusion. • Describe how neighborhood input was solicited and utilized in the development of your proposal. Specifically, provide a description of any community outreach efforts that you undertook to inform the development of your proposal, including early outreach meetings with local stakeholders, outreach to the Santa Ana Unified School District, engagement with local neighborhood associations, letters of support requested or received from local community groups, and any commitment to donate a portion of your developer fee to a project or initiative in the surrounding neighborhood. • Provide details on the development team's community outreach strategy for the project. Describe the steps you will take after approval to ensure maximum feasible participation of local low-income residents and businesses in the development of the project. Describe how the project will be developed and operated so as to insure compliance with all relevant components of the Americans with Disabilities Act. Please refer to the Community Outreach Guidelines in Exhibit J for additional guidance. 6) Proposed Development Schedule. Taking as a starting point City Council approval of the pre -loan commitment letter, provide a proposed development schedule that includes the following milestones at a minimum: site acquisition, additional required loan commitments and funding from all other funding sources, zoning change approvals (if necessary), preparation and approval of construction plans, start of construction, completion of construction, and lease -up. 7) Current Tenants. Provide a listing of all tenants currently residing in the units, if applicable. 8) Proposer shall complete and return the following Exhibits attached herewith: • Exhibit B — Alignment with the City's Housing Element and Strategic Plan • Exhibit C — Additional Insured Endorsement for Commercial General Liability Policy (Not required until after Developer selection) • Exhibit D — Proposer's Statement • Exhibit E — Certification of Nondiscrimination • Exhibit F — Non -Collusion Affidavit • Exhibit G — Commitment to Enter into Memorandum of Understanding with the Santa Ana Work Center City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Page 12 80A-16 EXHIBIT 1 The proposal must be completely responsive to the RFP. Incomplete proposals will be deemed as nonresponsive and will be rejected. The City reserves the right to reject any or all proposals submitted and no representation is made hereby that any commitment will be awarded pursuant to this RFP or otherwise. XIV. DEVELOPER SELECTION — PROPOSAL AND EVALUATION After each deadline for the Open RFP Process, staff shall review any proposal(s) to determine if the minimum program and RFP Process requirements are met (minimum threshold review). Proposals that do not meet the minimum threshold review will be considered non -responsive. If the Proposal meets the minimum threshold review, staff will form a Review Panel. The Review Panel for the RFP Process will consist of at least one (1) employee from the City's Public Works Agency, Planning and Building Agency, and Community Development Agency, and one (1) outside agency or government -entity. If an employee is not available in one City Agency, a second employee may be requested from one of the other two City Agencies so long as there are at least two of the three City Agencies represented on the Review Panel. Using the scoring and selection criteria provided below, the Review Panel shall determine whether the proposal is recommended for a pre -loan commitment. Including the scoring and selection criteria, the Review Panel shall also review the design of the proposed project for appropriateness for the proposed target group, compatibility with surrounding uses, cost effectiveness of construction, and appropriateness of the design and construction for low maintenance and long term durability. Proposed projects must receive a minimum threshold score of 75 points to move forward in the proposal review process. If the Review Panel determines, in its discretion, that the Proposal may be recommended for approval, the Housing Division shall request an underwriting and subsidy layering review by a real estate advisor selected by the City and paid for by proposer. The real estate advisor shall confirm the underwriting for the Project, the financial gap, and other programmatic requirements related to the funding sources. If the Review Panel determines that the Proposal will not be recommended for approval, (i.e. the Proposal does not meet the minimum threshold score of 75 points), the Developer will be notified in writing of the decision and the result will be published in the Housing Division Quarterly Report. Each member of the Review Panel will evaluate and rank each proposal using the evaluation criteria listed below: COMPETITIVE SELECTION CRITERIA 1. LEVEL OF AFFORDABILITY AND TARGET POPULATION (Max. 25 Points) ELIGIBLE POINTS Project significantly increases affordable housing opportunities for large families (three- and four -bedroom units) 10 Project provides at least 50% or more of the units for extremely low-income families at 30% Area Median Income (possible points based on a tiered scoring —10 pts. for 50%, 8 pts. For 40%, 6 pts. for 30%, 4 pts. for 20%, etc.) 10 Project increases affordable housing opportunities for special needs populations including, but not limited to, homeless individuals and families, and persons with a disability 5 Sub -total 25 2. TIMELINESS TO BUILD NEW HOUSING (Max. 20 Points) Project has demonstrated site control 7 Project is zoned appropriately 5 Project does not have any other site -related issues 5 Project aligns with the City's Housing Element, Strategic Plan, and/or 5-Year Consolidated Plan 3 Sub -total 20 City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development 80A-17 EXHIBIT 1 3. PROPERTY MANAGEMENT EXPERIENCE AND SHILLS (Max. 15 Points) Project is energy efficient and incorporates green -building techniques 6 Applicant's ability to manage affordable rental units to ensure ongoing compliance with affordability requirements and longterm financial solvency 3 Applicant's past experience in property management 3 Applicant's capacity and ability to quickly lease completed units 3 Sub -total 15 4. DEVELOPER EXPERIENCE AND SHILLS (Max. 15 Points) Applicant's experience in obtaining additional financing 4 Applicant's capacity and ability to obtain entitlements 4 Applicant's overall past and projected effectiveness to provide affordable housing 4 Applicant's past and projected effectiveness to manage the construction process and stay on schedule 3 Sub -total 15 5. LEVERAGING OF CITY FUNDS (Max. 5 Points Applicant's potential or capacity to obtain additional financing for this project 5 Sub -total 5 6. ANTICIPATED CASH FLOWS (Max. 15 Points) Project's proposed development costs are reasonable and comparable 3 Projects proposed rents are realistic 3 Project's operating costs are realistic and reasonable 3 Project has sufficient operating and replacement reserves 3 Project is projecting a positive cash flow through affordability period 3 Sub -total 15 7. PROJECT LOCATION (Max. 5 Points) Project is located in an area currently underserved by affordable housing 5 Sub -total 5 8. COMMUNITY INCLUSION (Max. 5 Points) Project demonstrates how neighborhood input was solicited and utilized in the development of the proposal including any community outreach efforts. Project provides details on the development team's community outreach strategy for the project. 5 Sub -total 5 BONUS POINTS: Project provides at least 75% or more of the units for extremely low-income families at 30% Area Median Income 5 BONUS POINTS: Developer commits to donate a portion of their developer fee to a project or initiative in the surrounding neighborhood 5 TOTAL ELIGIBLE POINTS 115 The minimum score to be considered for a pre -loan commitment is 75 points out of 115 points total. City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Page 14 80A-18 EXHIBIT 1 XV. PUBLIC RECORDS Proposals will become public record after submission of the proposal. Interested offerors may submit a written request to receive the results of the evaluation. City will make best efforts to maintain Proposer information identified as proprietary information confidential, to the extent allowed under the California Public Records Act. Submit your request to, City of Santa Ana Community Development Agency, Attn: Judson Brown, Housing Division Manager, 20 Civic Center Plaza M-26, Santa Ana, CA 92701. XVI. FILING A PROTEST In the event of a dispute of the decision of the Review Panel, proposers may file a "protest" with the City's Community Development Agency. In order for a proposer's protest to be considered valid, the protest must: 1. Be filed in writing within five (5) business days of notification of rejection; 2. Clearly identify the specific irregularity or allegation; 3. Clearly identify the specific City staff determination or recommendation being protested; 4. Specify, in detail, the grounds of the protest and the facts supporting the protest; and 5. Include all relevant, supporting documentation with the protest at time of filing. If the protest does not comply with each of these requirements, it will be rejected as invalid. If the protest is valid, the City Manager, or his/her designee, shall review the basis of the protest and all relevant information. The City Manager will provide a written decision to the protestor within fourteen (14) calendar days from receipt of protest. The decision from the City Manager, or his/her designee, is final and no further appeals will be considered. City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development 86i�-1� 9 EXHIBIT 1 EXHIBIT A —SCOPE OF WORK In order to meet the City's goals, the City is soliciting proposals for the development of affordable housing projects from developers who are experienced, very knowledgeable of affordable housing programs and its requirements, financially creative and capable of developing, managing and maintaining high quality housing. The selected developer must have a demonstrated history of working cooperatively with surrounding neighborhoods in all phases of project development. Both nonprofit and for profit developers are eligible to apply, either individually or in partnership with other entities. Developers who can demonstrate the capability to make other funds a significant part of the financing mix for their proposed project will score higher in the selection process than those who cannot. The funding and property data provided in this RFP is not guaranteed, and the availability of such funding or properties is subject to change at any time. The City of Santa Ana makes no guarantee of the availability of the proposed funding and properties for any particular applicant or project. The submission of a proposal in response to this RFP does not commit the City to providing any funding or land asset to a proposed project. The City reserves the right to determine at its sole discretion how to lease available properties, if at all. DEVELOPMENT PRIORITIES Both the Strategic Plan and the City's Housing Element identify affordable rental housing suitable for larger households as a high priority for the City. In addition, the City of Santa Ana will be targeting extremely low- income households within the city, including homeless individuals, veterans and/or large families. One of the rating criteria is the depth of affordability. The City desires proposed projects to have dedicated units for extremely low-income families earning no more than 30% Area Median income (AW). Project design and construction will be subject to and carried out in accordance with established City standards and procedures. In accordance with the City's Early Outreach policy (Attachment 1), the selected developer may be required to solicit significant neighborhood input during the design process. In addition, the City recommends: 1) Review Exhibit H — City of Santa Ana Map of Opportunity Zones to determine if your proposed project can leverage this potential source of private investment in your project. 2) Review Exhibit I — HCD NOFA Calendar to determine a path forward where you can most effectively leverage new funds from HCD for your project. III. INCLUSIONARY HOUSING FUNDS Source of Funds Funding for this program is provided using revenues generated through in -lieu fees collected under the City of Santa Ana Housing Opportunity Ordinance. Eligible Borrowers/Grantees Eligible borrowers are nonprofit Housing Development Corporations (HDC's) duly organized to promote and undertake community development activities on a not for profit basis, and which have a valid 501(c)(3) or (4) designation from the IRS, or for profit housing developers or development corporations, with proven capacities to develop, own, and operate affordable housing. Limited partnerships whose general partners are otherwise eligible under the above are also eligible to borrow Program funds. City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Pa a 16 80-20 EXHIBIT 1 Eligible Projects Funds can be used to increase and improve the supply of housing affordable to moderate, low, very low and extremely low-income households in the City. Eligible rehabilitation projects will: 1) be in need of rehabilitation as defined herein; 2) be located in the City of Santa Ana; 3) be free from significant adverse environmental impacts, except those that can be mitigated through rehabilitation; and 4) avoid permanent involuntary tenant displacement to the greatest degree feasible in order to carry out the project. Eligible projects which involve new construction or conversion of an existing non-residential use will conform to items (2), (3), and (4) above. Eligible Uses and Activities Funds can be used to make loans to eligible borrowers to provide affordable housing, for low- and very low- income households, including, but not limited to, the following: • acquisition and rehabilitation of eligible rental properties; • acquisition and conversion of non-residential property to multifamily rental housing units; • new construction of rental housing units; and, • predevelopment loans up to a period of 24 months for site acquisition, predevelopment activities, including professional services, which cannot be obtained on a contingency basis, and construction. Such loans may be extended for up to 18 months with an additional 12-month extension option at the discretion of the Housing Division Manager. For more information, please see Santa Ana Municipal Code Section 41-1900. IV. HOME INVESTMENT PARTNERSHIPS PROGRAM Source of Funds Funding for this Program is provided through the U.S. Department of Housing and Urban Development (HUD) HOME Program (including program income and residual receipts), and therefore is subject to the federal rules and regulations found in 24 CFR Part 92, as amended from time to time. Eligible Borrowers/Grantees Eligible borrowers are nonprofit Housing Development Corporations (HDC's) duly organized to promote and undertake community development activities on a not -for -profit basis, and which have a valid 501(c)(3) or (4) designation from the IRS, or for -profit housing developers or development corporations, with proven capacities to develop, own, and operate affordable housing. Limited partnerships whose general partners are otherwise eligible under the above are also eligible to borrow Program funds. Eligible Projects Projects eligible for HOME funding shall: 1) be rental projects located in the City of Santa Ana; 2) contribute to the achievement of the City's Strategic Plan and fair housing goals; 3) involve 4 or more apartments which will be rented to eligible lower income households at rents that do not exceed rents as defined by 24 CFR 92.252, as amended from time to time. Projects serving persons with special needs, or where the City Manager finds that the project will provide a substantial public benefit, may have fewer than four units. Transitional or permanent supportive housing may be provided (but not temporary shelters). City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Page 17 80A-21 EXHIBIT 1 4) have at least 20% of the HOME -assisted units rented to very low-income families (50% of median income) under the terms and conditions set forth in 24 CFR 92.252 (2)(b); 5) demonstrate financial feasibility -- including the ability to maintain rents for the subsidized units at affordable levels for the periods specified in 24 CFR 92.252; 6) be free of significant adverse environmental impacts, except those that can be mitigated through the project itself; 7) minimize tenant displacement; 8) comply with all local building and zoning codes and standards, including energy efficiency and water conservation standards, and meet housing quality standards in Section 882.109 of Title 24. Newly constructed housing must meet the current edition Model Energy Code of the Council of American Building Officials; 9) make efficient use of public funds and avoid "layering" of subsidies beyond those necessary to achieve a financially feasible project; and, 10) have at least 51 % of the project space be residential, if in a mixed -use project. Eligible Uses and Activities HOME funds may only be used to finance new construction or acquisition and/or rehabilitation of rental housing which is affordable to very low and low-income households as defined by 24 CFR 92.2. Fifteen percent (15%) of the annual HOME fund allocation shall be set aside for certified Community Housing Development Organizations (CHDO's). New construction costs eligible for HOME funding shall be as specified in 24 CFR Part 92, including: 1) site acquisition; 2) site preparation costs (grading, filling, etc.); 3) financing costs as described in 24 CFR 92.206; 4) architectural, engineering, and other related soft costs; 5) the cost of extending or upgrading utilities to the site to support the proposed project; 6) construction costs; 7) relocation costs; and, 8) affirmative marketing and audit costs related to HOME program requirements. Rehabilitation costs eligible for HOME funding include: 1) project acquisition with or without rehabilitation; 2) financing costs, as described in 24 CFR 92.206; 3) architectural, engineering, or other design costs; 4) utility upgrade or extension costs; 5) costs associated with demolition (where necessary) only if rehabilitation is commenced within 12 months of demolition; 6) construction costs; 7) project audit costs; and, 8) affirmative marketing costs. Ineligible Uses and Activities The following costs are not eligible for HOME funding: 1) project reserve accounts for replacement or operating reserves, and operating subsidies; 2) payment of impact fees; 3) land banking; 4) emergency repair or weatherization programs; 5) commercial properties; 6) temporary shelters; or 7) project -based rental assistance. City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Pa a 18 80-22 EXHIBIT 1 Affordability Requirements HUD provides the following maximum HOME rent limits. The maximum HOME rents are the lesser of: 1) The fair market rent for existing housing for comparable units in the area as established by HUD; or 2) A rent that does not exceed 30 percent of the adjusted income of a family whose annual income equals 65 percent of the median income for the area, as determined by HUD, with adjustments for number of bedrooms in the unit. The HOME rent limits provided by HUD will include average occupancy per unit and adjusted income assumptions. In rental projects with five or more HOME -assisted rental units, twenty (20) percent of the HOME -assisted units must be occupied by very low-income families and meet one of following rent requirements: 1) The rent does not exceed 30 percent of the annual income of a family whose income equals 50 percent of the median income for the area, as determined by HUD, with adjustments for smaller and larger families. HUD provides the HOME rent limits, which include average occupancy per unit and adjusted income assumptions. However, if the rent determined under this paragraph is higher than the applicable rent under 24 CFR 92.252(a), then the maximum rent for units under this paragraph is that calculated under 24 CFR 92.252(a). 2) The rent does not exceed 30 percent of the family's adjusted income. If the unit receives Federal or State project -based rental subsidy and the very low-income family pays as a contribution toward rent not more than 30 percent of the family's adjusted income, then the maximum rent (i.e., tenant contribution plus project -based rental subsidy) is the rent allowable under the Federal or State project - based rental subsidy program. To ensure that HOME investments yield affordable housing over the long term, HOME imposes rent and occupancy requirements over the length of an affordability period. For homebuyer and rental projects, the length of the affordability period depends on the amount of HOME assistance to the project or buyer, and the nature of the activity funded. Table 1-1: Determining the HOME Period of Affordability: HOME Assistance per Unit or Buyer Length of the Affordability Period Less than $15,000 5 years $15,000 - $40,000 10 years More than $40,000 15 years New construction of rental housing 20 years Refinancing of rental housing 15 years Throughout the affordability period, income -eligible households must occupy the HOME -assisted housing. When units become vacant during the affordability period, subsequent tenants must be income eligible and must be charged the applicable HOME rent. Other Requirements Minimum Loan: All HOME investments must total not less than $1,000 multiplied by the number of HOME - assisted units in the project. Maximum Loan: The maximum amount of subsidy per unit shall not exceed the maximum allowed by HUD under the HOME program (24 CFR 92.250). The City will avoid unnecessary layering of subsidies from different federal, state and local programs and seek to maximize the benefit to target households from the investment of HOME funds in a project. The Housing Division will use HUD's Cost Allocation Tool to identify the maximum subsidy per unit for each project. City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Pa ge �2 83 EXHIBIT 1 Property Standards: Housing that is assisted with HOME funds must meet, at a minimum, the City's Property Standards, including all applicable local, State and Federal codes and regulations. Newly constructed housing must also meet the current edition of the Model Energy Code published by the Council of American Building Officials. Substantially rehabilitated housing must meet the cost-effective energy conservation and effectiveness standards in 24 CFR 39. Labor Standards/Construction Contracts: Any contract for construction (whether it is for rehabilitation or for new construction) of affordable housing with 12 or more units assisted with HOME funds must contain a provision requiring that not less than the prevailing wages paid in the locality, as determined by the Secretary of Labor pursuant to the Davis -Bacon Act, will be paid to all laborers and mechanics employed in the development of the project. Contracts over $10,000 must comply with Equal Opportunity Affirmative Action requirements of Section 3 of the Housing and Urban Development Act of 1968. All efforts shall be made to provide equal opportunity for employment without discrimination as to race, marital status, sex, color, age, religion, national origin or ancestry, and to seek out qualified local tradespeople for contracting and subcontracting bids. Contractors and subcontractors must comply with regulations issued under this Act and pertaining to labor standards and HUD Handbook 1344.1. These provisions apply whether HOME funds are used for construction or non -construction costs. Lead -based Paint: Housing assisted with HOME funds constitutes HUD -associated housing for the purpose of the Lead -Based Paint Poisoning Prevention Act and the Lead Safe Housing Rule, and is therefore subject to 24 CFR Part 35. Unless otherwise provided, borrowers are responsible for testing and abatement. For more information, please see 24 CFR Part 92. V. COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM Source of Funds Funding for this program is provided through the U.S. Department of Housing and Urban Development (HUD) Community Development Block Grant (CDBG) program (including program income and residual receipts), and therefore is subject to the federal rules and regulations found in 24 CFR Part 570, as amended from time to time. Eligible Borrowers/Grantees Eligible borrowers are community -based nonprofit housing development corporations (CBDO's) duly organized or with capacity to promote and undertake community development activities on a not -for -profit basis, with proven capacity to develop, own and operate affordable housing, within a neighborhood identified in the Community Development plan (Annual Action Plan). Such organizations are defined in CDBG regulations (24 CFR 570.204(a)(2)(c)(1)). Nonprofit housing development corporations (HDC's) and social service agencies with proven capacity to develop, own, and operate affordable housing, and limited partnerships whose general partner(s) is otherwise eligible under the above provisions, are also eligible to borrow Program funds if the nonprofit partner is the managing general partner throughout the term of the loan and will receive at least 51 % of the developer fee. Nonprofit corporations must have a valid 501(c)(3) or (4) designation from the Internal Revenue Service. Eligible Projects Eligible projects will: (1) have four or more apartment units or fewer than four units in the case of congregate housing, mobile home units or where the Housing Division Manager finds that the project will provide a substantial public benefit; (2) if new construction, have 51 % of the units occupied by low income tenants; (3) be free from significant adverse environmental impacts, except those that can be mitigated; and, (4) avoid permanent involuntary tenant displacement to the greatest degree feasible in order to carry out the program. Transitional or permanent supportive housing may be provided. Rents of assisted units shall be affordable to households whose incomes do not exceed 80% of the area median income. City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Page 20 80A-24 EXHIBIT 1 Eligible Uses and Activities Funds can be used to make loans to eligible borrowers to provide affordable housing, principally for low and moderate -income households, including, but not limited to: 1) acquisition and/or rehabilitation of eligible rental properties; 2) new construction of rental or limited equity cooperative housing by a CBDO is eligible provided the construction activity is carried out as part of a neighborhood revitalization, community economic development or energy conservation project. New housing construction carried out by an eligible CBDO must be part of a larger effort to revitalize the neighborhood (i.e., a plan for the community's revitalization efforts based on a comprehensive plan, not just for the sake of the CDBG project); Ineligible Uses and Activities Funds may not be used for the following activities: 1) the construction of new rental housing or for any program to subsidize or assist such housing, except when carried out by a CBDO, provided the construction activity is carried out as part of a neighborhood revitalization, community economic development or energy conservation project; 2) to provide income payments for rent or utilities, except in emergency situations for a period not longer than three months; or, 3) to assist rental housing properties if less than 51 % of the units will be occupied by low and moderate - income households. Compliance with Federal and Local Regulations All projects must comply with all applicable federal requirements contained in 24 CFR Part 570 Subpart K, including, but not limited to, standards of financial management, environmental review, labor and wage requirements, debarred contractors, lead -based paint and equal opportunity. Borrowers should note: Contract Requirements: All work shall be completed by licensed contractors. All contracts must comply with competitive bidding requirements. Labor Standards: A project with eight or more residential units must comply with the Federal Labor Standards, including the Davis -Bacon Act requirements, as promulgated by HUD, and set forth in 24 CFR Part 570, Subpart K in the performance of the rehabilitation or construction work financed by the loan. Contracts over $10,000 must comply with Equal Opportunity Affirmative Action requirements of Section 3 of the Housing Urban Development Act of 1968. All efforts shall be made to provide equal opportunity for employment without discrimination as to race, marital status, sex, color, age, religion, national origin or ancestry, and to seek out qualified local tradespeople for contracting and subcontracting bids. Lead -based Paint: Housing assisted with CDBG funds constitutes HUD -associated housing for the purpose of the Lead -Based Paint Poisoning Prevention Act and the Lead Safe Housing Rule, and is therefore subject to 24 CFR Part 35. Unless otherwise provided, borrowers are responsible for testing and abatement. Accessibility. All projects must comply with the federal Section 504 Disabled Accessibility regulations contained in Sections 8.22 and 8.23 of Subpart C, 24 CFR Part 8. For more information, please see 24 CFR Part 570. VI. RENTAL REHABILITATION PROGRAM FUNDS Source of Funds The Rental Rehabilitation Program (RRP) grant was authorized by Congress on November 30, 1983 by Section 301 of the 1983 Housing and Urban -Rural Recovery Act. The City of Santa Ana received $363,900 in rental rehabilitation grant funds. Assistance was provided to owners of small rental projects in the form of deferred City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Page 5 EXHIBIT 1 loans. The last loan has been paid off and the grant program closed out. Per federal rules and regulations found in 24 CFR 511.76 "program income on hand at the time of program closeout or earned after program closeout ... may be used for activities that would be eligible under other affordable housing activities, as determined by the recipient." For more information, please see the Inclusionary Housing Funds description above. VII. DEVELOPER REQUIREMENTS AND RESPONSIBILITIES L INSURANCE Prior to undertaking performance of work under this Agreement, Developer shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: 1) Commercial General Liability Insurance. Developer shall maintain commercial general liability insurance, which shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting there from and damage to property, resulting from any act or occurrence arising out of Developer's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting there from, and property damage, in the total amount of $2,000,000 per occurrence, $2,000,000 in the aggregate. 2) Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $2,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non - owned automobiles. 3) Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Developer is required to be insured against liability for worker's compensation or to undertake self-insurance. Prior to commencing the performance of the work under this Agreement, Developer agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. The following requirements apply to the insurance to be provided by Developer pursuant to this section: a. Commercial general liability and business automobile insurance policies shall (a) name the City, Authority, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary and not contributory with respect to insurance or self-insurance programs maintained by the City and Authority; and (c) contain standard separation of insureds provisions. A sample additional insured endorsement is attached hereto as Exhibit C. Developer shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. b. Certificates of insurance shall be furnished to the City and Authority upon execution of this Contract and shall be approved in form by the City Attorney. c. Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City and Authority. City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Page 22 80A-26 EXHIBIT 1 If Developer fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City and the Authority with required proof that insurance has been procured and is in force and paid for, the City and Authority shall have the right, at the City's/Authority's election, to forthwith terminate the Contract. Such termination shall not affect Developer's right to be paid for its time and materials expended prior to notification of termination. Developer waives the right to receive compensation and agrees to indemnify the City and the Authority for any work performed prior to approval of insurance by the City and Authority. ii. HOLD HARMLESS/ INDEMNIFICATION To the fullest extent permitted by law, Developer shall indemnify, defend and hold harmless City, Authority, its officers, agents and employees (collectively, the "Indemnified Parties') from and against any and all claims (including, without limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a Claim; collectively, "Claims'), which may arise from or in any manner relate (directly or indirectly) to any work performed or services provided under this Contract (including, without limitation, defects in workmanship and/or materials) or Developer's presence or activities conducted performing the work (including the negligent and/or willful acts, errors and/or omissions of Developer, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or for whose acts they may be liable for any or all of them). Notwithstanding the foregoing, nothing herein shall be construed to require Developer to indemnify the Indemnified Parties from any Claim arising from the sole negligence or willful misconduct of the Indemnified Parties. Nothing in this indemnity shall be construed as authorizing any award of attorney's fees in any action on or to enforce the terms of the Agreement. This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. The policy limits do not act as a limitation upon the amount of indemnification to be provided by the Developer. Ill. NOTICE Any notice, tender, demand, delivery or other communication pursuant to this contract shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by facsimile or other telegraphic communication to the following persons: To City: Clerk of the Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax 714-647-6956 With courtesy copy to Housing Division Manager City of Santa Ana Community Development Agency 20 Civic Center Plaza (M-26) Santa Ana, CA 92701 Fax 714-667-2225 City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development UA�2 87 EXHIBIT 1 iv. TERMINATION The City and the Authority reserves the right to terminate the contract, without penalty, for cause immediately or without cause. 1) In the event Developer fails or refuses to timely perform any of the provisions of the Agreement in the manner required, or if Developer violates any provision of the Agreement, Developer shall be deemed in default. City shall provide written notice of such default to Developer's Project Manager. Developer shall cure said default within a period of two (2) working days. If such cure is not completed in a timely manner, City may assess liquidated damages or terminate the Agreement forthwith by giving written notice to Developer's Project Manager. City may, in addition to the other remedies provided in the Agreement or authorized by law, terminate this Agreement by giving written notice of termination. Developer shall be responsible for all costs incurred by City, including replacement costs of equipment and labor required to provide service during Developer's default. 2) This agreement may be terminated without cause by City and/orAuthority upon thirty (30) days written notice delivered to the Developer either personally or by mail. Upon termination, City and/or Authority shall pay to Developer that portion of compensation specified in the Agreement that is earned and unpaid prior to the effective date of termination. V. DEVELOPER OPTION FOR TERMINATION The Developer may request termination of the contract when conditions during the contract make it impossible to perform or when prevented from proceeding with the contract by act of God, by law or official action of a public authority or in the event on nonpayment by the City or Authority. Such request will require one -hundred and eighty (180) days written notice prior to contract termination date requested. In the event of nonpayment of undisputed sums by the City and/or Authority, Developer shall give the City and/or Authority thirty (30) working days to cure the alleged breach. VI. EMPLOYMENT OPPORTUNITIES FOR SANTA ANA RESIDENTS Developer shall solicit and advertise employment opportunities to Santa Ana residents. The City shall inform the Developer of areas to publicize recruitment opportunities, such as the Santa Ana WORK Center and community centers. Such effort and procedure will be provided to the City for review. vii. COMPLIANCE WITH APPLICABLE LAWS AND REGULATIONS 1) Developer shall perform all requirements under the contract in strict observance of and in compliance with all applicable environmental, traffic, safety and any other laws, regulations, ordinances, codes and any other legislative or statutory requirements. 2) Developer warrants that the performance of services under the contract shall be compliant with the current requirements of the Occupational Safety and Health Act (OSHA) and as it may be amended or updated throughout the term of the contract. viii. ASSIGNMENT Inasmuch as the Agreement is intended to secure the specialized services of Developer, Developer may not assign, transfer, delegate or subcontract any interest herein without the prior written consent of City and/or Authority, and any such assignment, transfer; delegation or subcontract without the City's and/or the Authority's prior written consent shall be considered null and void. City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Pa a 24 80�-28 EXHIBIT 1 ix. JURISDICTION —VENUE The Contract will be executed and delivered in the State of California and the validity, interpretation, performance and enforcement of any of the clauses of the Contract shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of the Contract. x. FINES The Developer shall be liable for all violation fines levied against the City and the Authority by State or Federal Agencies and the Courts such as, but not limited to, oil or fluid leaks. City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development 0A 2 89 EXHIBIT 1 ATTACHMENT1: EARLY OUTREACH COMMUNITY MEETING Information regarding the City's Early Outreach Community Meeting requirement can be accessed here: https://www.santa-ana.ore/sites/default/files/sunshine ordinance pdf City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Pa a 26 80�-30 EXHIBIT 1 ATTACHMENT 2: CITY OF SANTA ANA REHABILITATION STANDARDS PREFACE The primary purpose of these standards is to address the quality of workmanship and materials expected, and to achieve consistency throughout the program activities administered by the City of Santa Ana. These standards are not intended to reduce or exclude the requirements of any federal, state or local codes, standards, ordinances and regulations that apply to residential rehabilitation. WORKMANSHIP • All work shall be performed in a professional and workmanlike manner. • The quality and durability of the work shall meet or exceed the standards established by the construction industry and various trades. MATERIALS & EQUIPMENT • All materials and equipment shall comply with and be installed in accordance with the manufacturer's requirements and all applicable codes, standards, ordinances and regulations. If a discrepancy occurs between the requirements, the more stringent shall prevail. • Unless otherwise specified, all materials and equipment shall be medium grade. • Economy grade materials and equipment are unacceptable. • All materials and equipment shall be new, in excellent condition, and delivered to the job in the manufacturer's original packaging. • The description of materials and equipment found in this document establish a minimum standard. ENERGY EFFICIENCY, WATER CONSERVATION & RECYCLED MATERIALS To the extent possible and practical, standard measures related to energy conservation, energy efficiency, water conservation and the use of recycled materials have been incorporated herein. Gut rehabilitation or new construction of residential buildings up to three stories will be designed to meet the standard for Energy Star Qualified New Homes. Gut rehabilitation or new construction of mid or high-rise multi -family housing must be designed to meet the American Society of heating, Refrigerating and Air -Conditioning Engineers (ASHRAE) Standard 90.1-2004, Appendix G plus 20 percent. LEAD -BASED PAINT All housing built before 1978 must comply with 24 CFR Part 35 Subpart J and HUD's Lead Safe Housing Rule regarding the evaluation and control of lead -based paint hazards. HUD's guidelines are available at https://www.hud.gov/program offices/healthy homes/enforcement/Ishr BUILDING STANDARDS • The site shall be hazard -free and sanitary. • The site and all paving shall drain away from the dwelling and accessory buildings, but not onto adjacent properties. • Paving and walkways shall be hazard -free and intact. • Landscaping and irrigation systems shall be hazard -free and in relatively good condition. All dead vegetation shall be removed. • Fencing, walls and gates hazard -free and intact. All gates shall be in good working order. • The site shall be free from trash, debris and hazardous materials. • Accessory buildings shall be safe and sound. City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Page 27 80A-31 EXHIBIT 1 Paving • All new paving and walkways shall be constructed with concrete (2,000 PSI @ 28 days). • Driveways shall be reinforced with wire mesh. Sawn expansion - contraction joints shall be placed every 8 feet in both directions. • All paving and walkways shall be finished with a light broom texture. • All walkways shall be at least 3 feet wide. Sawn expansion -contraction joints shall be placed every 4 feet. Landscaping & Irrigation • To the extent possible and practical all new landscaping shall be drought resistant. • When a lawn is being replaced, the new lawn area shall be reduced to aid in the reduction of water consumption. • New irrigation controllers shall be weather or sensor based and EPA Water -Sense qualified. • All new irrigation systems shall be designed to conserve water. Fences, Walls & Gates • All new wood fences shall be made from good quality materials. They shall be properly supported with 4X4 pressure treated posts (8 feet O.C.) and 2X4 rails (top and bottom). The posts shall be embedded in a concrete footing at least 18" deep. • All new block walls shall be constructed with 6X8X16 concrete block. They shall be properly supported by a continuous footing and reinforced with steel bar. mum Standard • Roofs shall be safe and structurally sound. • Roof coverings shall be intact and watertight. • Roofing metal and flashing shall be intact and rust free. • Gutters and downspouts shall be intact and rust free. • Roof coverings with five or less vears of useful life shall Rehabilitation • Roofs that do not meet the minimum standard shall be replaced. Practical, cost effective repairs are acceptable as long as compliance with the minimum standard will be achieved. • The replacement of roofing includes the replacement of all metal (roof jacks and flashing). • Gutters and downspouts shall be installed to properly discharge rain water run-off. Roof Coverings • 25-year, 3-tab, self-sealing composition shingle. Built-up membrane (hot mop) system on all flat roofs. • Lighter colored coverings are preferred for enerqv efficiencv. DECKS / BALCONIES I RAILING Minimum Standard • Safe, structurally sound and watertight. Rehabilitation • Decks, balconies and railing that do not meet the minimum standard shall be replaced. Practical, cost effective repairs are acceptable as long as compliance with the minimum standard will be achieved. Finishes • Zero or low VOC primers, paint and coatings. EXT. STEPS / STAIRWAYS / RAILING City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Pa a 28 80�-32 EXHIBIT 1 Minimum Standard . Safe and structurally sound. Rehabilitation . Ext. steps, stairways and railing that do not meet the minimum standard shall be replaced. Practical, cost effective repairs are acceptable as long as compliance with the minimum standard will be achieved. Finishes . Zero or low VOC primers, paint and coatings. minimum stanaara . iare ana structurauy souna. Rehabilitation • Foundations that do not meet the minimum standard shall be replaced. Practical, cost effective repairs are acceptable as long as compliance with the minimum standard will be achieved. • If the project involves a gut rehab, raised foundations shall be completely insulated. Concrete . 2,000 PSI (minimum). Minimum Standard . Safe, structurally sound and watertight. Rehabilitation . Exterior walls that do not meet the minimum standard shall be replaced. Practical, cost effective repairs are acceptable as long as compliance with the minimum standard will be achieved. • If the project involves a gut rehab, all exterior walls shall be insulated. EXTERIOR DOORS Minimum Standard • Safe, sound, weather -tight and in good workin order. Rehabilitation • Exterior doors that do not meet the minimum standard shall be replaced. Practical, cost effective repairs are acceptable as long as compliance with the minimum standard will be achieved. New Doors . EPA Energy Star qualified, zero or low VOC finish. New Hardware . Reputable manufacturer, lifetime finish. Minimum Standard • Safe, sound and in good working order. Doors shall be impermeable (primed and painted). • Five or more years of practical utility. Rehabilitation . Garage doors and openers that do not meet the minimum standard shall be replaced. Practical, cost effective repairs are acceptable as long as compliance with the minimum standard will be achieved. Minimum Standard 0 Windows shall be safe, sound, weather -tight and in good working order. • Windows that can be opened shall have a tight -fitting insect screen. • Five or more years of practical utility. Rehabilitation 0 Windows that do not meet the minimum standard shall be replaced. Practical, cost effective repairs are acceptable as long as compliance with the minimum standard will be achieved. New Windows Reputable manufacturer. City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Pa ge 23 83 EXHIBIT 1 • EPA Energy Star qualified. Minimum Standard • Homes built before 1978 must comply with 24 CFR Part 35 Subpart J and HUD's Lead Safe Housing Rule regarding the evaluation and control of lead -based paint hazards. • All exterior paint shall be intact and free of corrosion. • Five or more years of practical utility. Rehabilitation • All surfaces to be painted shall be prepared properly. All loose material and peeling paint shall be removed. • All holes and cracks shall be filled and finished so that they blend into the surrounding area. • All stucco surfaces to be painted shall receive a complete and even coverage of stucco paint. • All wood surfaces to be painted shall receive a complete and even coverage of flat exterior paint. • Poor workmanship will not be tolerated. New Paint • Reputable manufacturer. • Highest quality available. • Zero or low VOC paint, caulking and fillers. Minimum Standard • Safe and structurally sound. • All plaster, drywall and paneling shall be safe and intact. Rehabilitation • Walls and wall coverings that do not meet the minimum standard shall be replaced. Practical, cost effective repairs are acceptable as long as compliance with the minimum standard will be achieved. • If the project involves a gut rehab, the attic, walls and floor on raised foundations shall be insulated. Standard • Safe, sound and sanitary. • Five or more vears of Drai Rehabilitation Floor coverings that do not meet the minimum standard shall be replaced. Practical, cost effective repairs are acceptable as long as compliance with the minimum standard will be achieved. Replacement Floor • Carpet & Pad (Reputable manufacturer, recycled materials). Coverings • Resilient Flooring (Reputable manufacturer, 10 year wear warranty). • Ceramic Tile (Reputable manufacturer) INTERIOR DOORS Minimum Standard • Safe, sound and in good working order. • Five or more years of practical utility. Rehabilitation • Interior doors that do not meet the minimum standard shall be replaced. Practical, cost effective repairs are acceptable as long as compliance with the minimum standard will be achieved. Replacement Doors & • Doors (Reputable manufacturer, masonite, raised panel). Hardware • Hardware (Reputable manufacturer, lifetime finish). INTERIOR PAINT City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Page 30 80A-34 EXHIBIT 1 Minimum Standard • Homes built before 1978 must comply with 24 CFR Part 35 Subpart J and HUD's Lead Safe Housing Rule regarding the evaluation and control of lead -based paint hazards. • All interior paint shall be intact and corrosion -free. • Five or more years of practical utility. Rehabilitation • All surfaces to be painted shall be prepared properly. All loose material and peeling paint shall be removed. • All holes and cracks shall be filled and finished so that they blend into the surrounding area. • All surfaces to be painted shall receive a complete and even coverage of flat paint (semi -gloss in kitchens, bathrooms and laundry rooms). • Poor workmanshiD will not be tolerated. New Paint . Reputable manufacturer. • Highest quality available. • Zero or low VOC paint, caulking and fillers. KITCHEN e Minimum Standard . Cabinets shall be safe, sound, sanitary and in good working order. • Countertops shall be safe, sound, sanitary and watertight. • Five or more years of practical utility. Rehabilitation • Cabinets and countertops that do not meet the minimum standard shall be replaced. Practical, cost effective repairs are acceptable as long as compliance with the minimum standard will be achieved. Replacement Cabinets • Reputable manufacturer. • Solid hardwood face -frames, doorframes and drawer fronts. • Metal and nylon drawer guides. • Low or zero VOC adhesives and finishes. Replacement • Reputable manufacturer. Countertops • 4" ceramic tile, 6" backs lash, bull -nose edge. Minimum Standard • Safe, sound, sanitary and in good working order. • Faucets shall (at a minimum) be equipped with a low -flow aerator. • Five or more years of practical utility. Rehabilitation • Kitchen fixtures, equipment and appliances that do not meet the minimum standard shall be replaced. Practical, cost effective repairs are acceptable as long as compliance with the minimum standard will be achieved. Replacement Sinks • Reputable manufacturer. • 18- ua a minimum stainless steel. Replacement Faucets • EPA Water -Sense qualified. • Reputable manufacturer. • Brass construction, metal housing. Replacement Disposals a Reputable manufacturer. • Yz HP motor (minimum). • Stainless steel swivel lugs. Replacement EPA Energy Star qualified. Dishwashers • Reputable manufacturer. City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Pa a 31 80�-35 EXHIBIT 1 Replacement Range . EPA Energy Star qualified. Hoods . Reputable manufacturer. Replacement Ranges . Reputable manufacturer. • Pilot -free ignition. • Four sealed burners. • Self-cleaning oven with timer. Replacement Cook Tops . Reputable manufacturer. • Pilot -free ignition. • Four sealed burners. Wall Ovens . Reputable manufacturer. • Pilot -free ignition. • Self-cleaning oven with timer. BATHROOMEQUIPMENT Minimum Standard . Safe, sound, sanitary and in good working order. • Faucets shall (at a minimum) be equipped with a low -flow aerator. • Showerheads shall (at a minimum) be equipped with low -flow aerator. • Porcelain sinks shall be free from any cracks or chips. Steel sinks shall be free from any rust or corrosion. • Five or more years of practical utility. Rehabilitation • Bathroom fixtures and equipment that do not meet the minimum standard shall be replaced. Practical, cost effective repairs are acceptable as long as compliance with the minimum standard will be achieved. Toilets that require more than 1.6 GPF shall be replaced regardless of their condition. Replacement Sinks . Reputable manufacturer. • Cast iron, white enamel finish. Replacement Faucets • EPA Water -Sense qualified. Reputable manufacturer. • Brass construction, metal housing. Replacement Toilets • Reputable manufacturer. • EPA Water -Sense qualified 1.28 GPF Replacement Tubs r Reputable manufacturer. Cast iron body, white enamel finish, slip resistant bottom. • EPA Water -Sense qualified plumbing fixtures. Replacement . Reputable manufacturer. Combination . Cast iron body, white enamel finish, slip resistant bottom. Tub -Showers . 4" ceramic tile surround. Anodized aluminum doors with tempered glass. a EPA Water -Sense qualified plumbing fixtures. Replacement Showers . Reputable manufacturer. • 4" ceramic tile. • Anodized aluminum door with tempered glass. EPA Water -Sense qualified plumbing fixtures. Replacement . Reputable manufacturer. Medicine Cabinets . Steel body, beveled mirror door. City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Page 32 80A-36 EXHIBIT 1 Towel Bars & Toilet Paper . Reputable manufacturer. Holders . Metal construction, polished chrome finish. 0 Minimum Standard • Safe, sound and leak -free. Rehabilitation . Piping (supply, waste and vent) that does not meet the minimum standard shall be replaced. Practical, cost effective repairs are acceptable as long as compliance with the minimum standard will be achieved. Replacement . Copper, type "L". Water Supply Piping Replacement . Schedule 40 ABS. Waste & Vent Piping HEATERS WATER Minimum Standard . Safe, sound and in good working order. • Five or more years of practical utility. Rehabilitation • Water heaters that do not meet the minimum standard shall be replaced. Practical, cost effective repairs are acceptable as long as compliance with the minimum standard will be achieved. Replacement . Reputable manufacturer. Water Heaters (Tank) . EPA Energy Star qualified. • 40- allon insulated tank. Replacement . Reputable manufacturer. Water Heater Tank -Less • EPA Energy Star qualified. ELECTRICAL SERVICE /;WtR[NG Minimum Standard . Safe, sound and in good working order. • 100-am ere minimum service. Rehabilitation . Electrical service panels, breakers and wiring that do not meet the minimum standard shall be replaced. Practical, cost effective repairs are acceptable as long as compliance with the minimum standard will be achieved. • Knob and tube wiring shall be replaced regardless of its condition. Overhead wiring from a dwelling to a detached garage or accessory building shall be installed underground regardless of its condition. Replacement . Reputable manufacturer. Service . 100-am ere (minimum). Replacement Wiring . Romex NM cable). Minimum Standard . Safe, sound and in good working order. • Light fixtures shall (at a minimum) be equipped with CFL bulbs. • Exterior lighting fixtures used for security shall be equipped with a motion sensor. Rehabilitation . Electrical switches, outlets and lighting fixtures that do not meet the minimum standard shall be replaced. Practical, cost effective repairs are City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development U 1 33 87 EXHIBIT 1 acceptable as long as compliance with the minimum standard will be achieved. • All new light fixtures shall be U.L. approved and Energy Star qualified. • Outlets located within 6 feet of a source of water shall be ground fault protected. • Exterior switches and outlets shall be weatherproof. Replacement • U.L. approved. Switches & Outlets Replacement • Reputable manufacturer. Lighting Fixtures • U.L. approved and EPA Enerqv Star qualified. Minimum Standard • Safe, sound and in good working order. • Five or more years of practical utility. Rehabilitation • HVAC that does not meet the minimum standard shall be replaced. Practical, cost effective repairs are acceptable as long as compliance with the minimum standard will be achieved. • Tune-up all HVAC equipment (as a minimum). • Seal all ducts (as a minimum). • All new HVAC equipment shall be sized properly. Furnaces • Reputable manufacturer. • EPA Energy Star qualified, Central Air Conditioners . Reputable manufacturer. • EPA Energy Star qualified. Thermostats . Reputable manufacturer. • EPA Energy Star qualified. • Programmable. Additions and alterations that were constructed without a building permit and are clearly substandard shall be removed. Garages converted to living quarters shall be returned to their original use. Additions and alterations that were constructed without a building permit, but appear to be compliant, shall be inspected by the City's Building Official to determine if a building permit can be issued and thev can be saved. City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Pa a 34 80�-38 EXHIBIT 1 EXHIBIT B TO BE INCLUDED IN PROPOSAL Please check those goals in the Housing Element and Strategic Plan that the proposed project aligns with: HE-1.1 Housing Conditions. Promote the rehabilitation, repair, and improvement ❑ of single-family, multiple -family, and mobile homes and, if needed, the demolition of substandard housing that presents a health and safety hazard. HE-1.7 Historic Preservation. Support preservation and enhancement of ❑ residential structures, properties, street designs, lot patterns, and other visible reminders of neighborhoods that are considered local historic or cultural resources. HE-2.1 Downtown. Strengthen Santa Ana's core as a vibrant mixed -use and ❑ mixed -income environment by capitalizing on the government center, arts district, historic downtown, transit -oriented housing, and diverse neighborhoods. HE 2-3 Rental Housing. Encourage the construction of rental housing for Santa ❑ Ana's residents and workforce, including a commitment to very low, low, and moderate -income residents and moderate income Santa Ana workers. HE-2.4 Diverse Housing Type. Facilitate diverse types, prices, and sizes of El including single-family homes, apartments, townhomes, mixed/multiuse housing, transit -oriented housing, multigenerational housing, and live -work housing, opportunities. HE-2.5 Housing Design. Require excellence in architectural design through the ❑ use of materials and colors, building treatments, landscaping, open space, parking, and environmental sensitive ("green") building and design practices. HE -3.2 Homeownership. Increase and expand homeownership opportunities for ❑ low and moderate -income residents and employees working in Santa Ana through the provision of financial assistance, education, and collaborative partnerships. HE-4.1 Senior Housing. Support development of affordable senior rental and ❑ ownership housing, readily accessible to support services; provide assistance for seniors to maintain and repair their homes to facilitate the maximum independent living. HE-4.2 Family Housing. Facilitate and encourage the development of larger rental ❑ and ownership units for families, including lower and moderate -income families, and the provision of childcare, after -school care, and other services when feasible. HE-4.3 Housing for Disabled People. Support the development of permanent, ❑ affordable, and accessible housing that allows people with disabilities to live independent lives, and assist them in maintaining and repairing their homes. HE-4.4 Service -Enriched Housing. Support the provision of supportive services ❑ and service -enriched housing for persons with special needs, such as senior, disabled people, homeless people, families, veterans, and people with medical conditions. HE-4.5 Healthy Homes. Support efforts to make homes more healthful by ❑ addressing health hazards associated with lead -based paint, asbestos, vermin, mold, VOC-laden materials, and prohibiting smoking in multi -family project, among others. El Housing Priority. Provide that Santa Ana residents, employees, and desi nated need groups receive priority for affordable housing created under the designated City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Page 35 80A-39 EXHIBIT 1 Housing Opportunity Ordinance or with City funding to the extent allowed under state law, Strategic Plan Goals and Obiectives ❑ Re -use of Commercial or Industrial Buildings that are currently underutilized or vacant for mixed -use residential projects Provide that Santa Ana residents, employees, artists and veterans receive priority for affordable housing ❑ Does this project give priority to the following populations: ❑ Residents, if so how many units? ❑ Employees, if so how many units? ❑ Artists, if so how many units? ❑ Veterans, if so how many units? SIGNED AND PRINTED NAME DATE City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Page 36 80A-40 EXHIBIT 1 EXHIBIT C NOT REQUIRED UNTIL AFTER DEVELOPER SELECTION Insurance Company This endorsement modifies such insurance as is afforded by the provisions of Policy # relating to the following: 1. The City of Santa Ana and the Housing Authority of the City of Santa Ana, 20 Civic Center Plaza M-25, Santa Ana, California 92701; its officers, employees, agents, volunteers and representatives are named as additional insureds ("additional insureds") with regard to liability and defense of suits arising from the operations and uses performed by or on behalf of the named insured. 2. With respect to claims arising out of the operations and uses performed by or on behalf of the named insured, such insurance as is afforded by this policy is primary and is not additional to or contributing with any other insurance carried by or for the benefit of the additional insureds. 3. This insurance applies separately to each insured against whom claim is made or suit is brought except with respect to the company's limits of liability. The inclusion of any person or organization as an insured shall not affect any right which such person or organization would have as a claimant if not so included. 4. With respect to the additional insureds, this insurance shall not be cancelled, or materially reduced in coverage or limits except after thirty (30) days written notice has been given to the City of Santa Ana, 20 Civic Center Plaza M-25, Santa Ana, California 92701. (Completion of the following, including countersignature, is required to make this endorsement effective.) Effective Policy # Issued to , this endorsement form as part of Name Insured Countersigned by: Authorized Representative City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development page 37 80A-41 EXHIBIT D . TO BE INCLUDED IN PROPOSAL PROPOSAL & CONTRACT AGREEMENT PROPOSER'S STATEMENT Proposer understands and agrees that this written RFP (or any part thereof specifically designated and accepted by the City of Santa Ana and the Housing Authority of the City of Santa Ana, hereinafter collectively referred to as the City) shall constitute the entire agreement between proposer and the City only after it has been accepted by the City Council, endorsed by the Clerk of the Council with her signature and official seal noting here on the action of approval of the Council, signed by the Executive Director or his duly authorized agent, and signed by the City Attorney, denoting her approval of the form of this document, and its execution, and when it or an exact copy of it has been either delivered to proposer or deposited with the United States Postal Service properly addressed to the proposer with the correct postage affixed thereto. Proposer further agrees that upon delivery (as defined above) of the accepted agreement he/she will furnish City all required bonds and certificates of liability insurance within ten (10) days (excluding Saturdays, Sundays and City's legal holidays), or the funds, check, draft, or proposers bond substituted in lieu thereof accompanying this proposal shall become the property of the City and shall be considered as payment of damages due to the delay and other causes suffered by City because of the failure to enter into an Agreement and/or furnish the necessary bonds and because it is distinctly agreed that the proof of damages actually suffered by City is difficult to ascertain; otherwise said funds, check drafts, or proposers bond substituted in lieu thereof shall be returned to the undersigned. Proposer understands that a proposal is required for the entire work, that the estimated quantities set forth in the RFP schedule are solely for the purpose of comparing proposals, and that final compensation under the contract will be based upon the actual quantities of work satisfactorily completed. All terms contained in the Specifications, the Certification of Non -Discrimination by Developers, and the Workers' Compensation Insurance Certificate are to be incorporated by reference into this Agreement and are made specifically as part of this RFP. H KM SIGNED AND PRINTED NAME DATE City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Page 38 80A-42 EXHIBIT 1 EXHIBIT E TO BE INCLUDED IN PROPOSAL PROPOSAL AND CONTRACT AGREEMENT CERTIFICATION OF NONDISCRIMINATION BY DEVELOPER The undersigned Developer or corporate officer, during the performance of this contract, certifies as follows: The Developer shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Developer shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Developer agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2. The Developer shall, in all solicitations or advertisements for employees placed by or on behalf of the Developer, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. The Developer shall send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the Developer's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The Developer shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 5. The Developer shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his/her books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation, to ascertain compliance with such rules, regulations, and orders. 6. In the event of the Developer's non-compliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, the contract may be canceled, terminated, or suspended in whole or in part and the Developer may be declared ineligible for further Government contracts or federally assisted construction/services contracts in accordance with procedures authorized in Execution Order 11246 of September 24, 1965,and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulations, or order of the Secretary of Labor, or as otherwise provided by law. 7. The Developer shall include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Page 39 80A-43 EXHIBIT 1 noncompliance; provided, however, that in the event the Developer becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the administering agency, the 8. Developer may request that the United States enter into such litigation to protect the interests of the United States. 9. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1039, and as amended, No discrimination shall be made in the employment of persons because of race, religious creed, color national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any Developer violating this Section is subject to all the penalties imposed for a violation of the Chapter. PRINTED NAME TE City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Pa a 40 80�-44 EXHIBIT 1 EXHIBIT F TO BE INCLUDED IN PROPOSAL PROPOSAL AND CONTRACT AGREEMENT NON -COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY In accordance with Title 23 United States Code Section 112 and Public Contract Code 7106 the PROPOSER declares that the bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the PROPOSER has not directly or indirectly induced or solicited any other PROPOSER to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived or agreed with any PROPOSER or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the PROPOSER has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the PROPOSER or any PROPOSER, or to fix any overhead, profit, or cost element of the bid price, or of that of any other PROPOSER, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the PROPOSER has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid. Note: The above Non -collusion Affidavit is part of the Proposal. Signing this Proposal on the signature portion thereof shall also constitute signature of this Non -collusion Affidavit. PROPOSERS are cautioned that making a false certification may subject the certifier to criminal prosecution. State of California County of Subscribed and sworn to (or affirmed) before me on this day of 20 , by proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. Notary Public Signature Notary Public Seal City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Page80A 445 EXHIBIT 1 EXHIBIT G TO BE INCLUDED IN PROPOSAL PROPOSAL AND CONTRACT AGREEMENT Proposer understands and agrees that s/he will be required to enter into a Memorandum of Understanding (MOU) with the Santa Ana Work Center to coordinate services. The purpose of the MOU is to establish a cooperative working relationship between the parties in order to provide program beneficiaries with information about Work Center opportunities to find better jobs and careers. The MOU serves to establish the framework for providing services to employers, job seekers and others needing workforce services. The goal is to ensure that all program beneficiaries have been provided an opportunity to connect with the Work Center and be assisted with the tools and knowledge necessary to enter the workforce or obtain a higher -paying job. The Santa Ana WORK Center is available to connect program beneficiaries to a full range of no -cost services, resources and opportunities to help: • Build the skills employers want most • Access training and/or education programs that lead to employment • Find the jobs and employers who are hiring • Screen for additional employment or social services • Receive support to succeed in job search Proposers are encouraged to contact the Santa Ana Work Center at (714) 565-2629 to learn more about their programs and services and the terms and conditions of the MOU. A template for the MOU will be provided promptly to the proposer after the announcement of an award. All terms contained in the Memorandum of Understanding are to be incorporated by reference into this Agreement and are made specifically as part of this RFP. riHM SIGNED AND PRINTED NAME DATE City of Santa Ana Community Development Agency Request for Proposals for Affordable Housing Development Pa a 42 80�-46 f O g•wc rr_.—L� ute-il._._ *.. J iy,.rvntolJs C—. ' _ tS �u n!\�iS _I { t' F It ����r � �t� EI ¢ m � I y1 W t t H I t t t'Fx}� t •.,' g O @ --.. kt � _ jf�{ .Cil1tm8-F�=1S .rl ijp 7 rh tir Nit SFsil iuwh}i, dJ 14 +i �i. 4 � � :I F i--I ail ,., 1� � i ti, •�� e� _, htrr! �� t� ttulut)tt Iitr •- 1 a i G s ST a I o 1 est r tea' It f f t i�FTH I • I1tI t ..F i l..l r 77 t F. L- I i� � S1 t" y� � 1911i� to u6eG1 I ICI 1. J � t..�1S�cll Y6Ep jj 791 c (ml�'. t EXHIBIT 1 California Department of Housing and Community Development Notice of Funding Availability Calendar (0 2018119 Q3 Update - 3/11/2019 FY 201812019 FY 201912020 Qtr 3 1 Otr 4 Otr 1 1 r»r 9 AHSC Apps Due Awards 1395 NOFA WHIR $75 Apps Due CDBG' Draft Guidelines Apps Due Awards 1 NOFA $30 Apps Due Awards Draft NOFA. HOME' Regulations $35'.' peps Due ESG' " NOFA $11 Apps Due Awards 'Federal hMsavailabiato len110oMnt'unsdkti0ns . NOFAawunhare based M2017 fund nn levels and ere su 'edb MM (DedicatedSB2 - Building Jobs and Homes Act CESH NUFA Apps Due Awards PLHA (Local Year 2+) Stakeholder Outreach Daft NOFA Apps Due Guidelines I I 1 11 $50 ' NOFA Applications accepted over •the<ounter Planning Grants $TBD "592 Farmworker funding will be released in conluctan with Soma program NOFA under gas -see detail below Farmworker No Place Like Home (Prop 2) NPLH NOFA Ms.. Applications Accepted Gver•the-Counter NnnL'mm�efifive Apps Due 1 I Awards I FA Apps Due ComPetitive SB 3 -Veterans and Affordable Housing Bond Act (Pro p 1) $400 ,. Drag NOFA Apps Due Awards " NOFA Apps Due MHP Guidelines $140. $140 Drag NOFA Ca1HOME Guidelines $57 Apps Due Awards NOFA Applications Accepted Draft NOFA Appliwflons SERNA" $52" Overthe•Counter Guidelines $52" OTC • Draft NOFA .. LHTF Guidelines 1 $57 " Drag `_`'NOFA IIG Guidelines $57. peps Due TOD Draft NOFA Guidelines 528 Apps Due OtherNOFA CaIHOME Disaster 'NOFA $60. Applications Accepted oveMhesounter MHP - Supportive Apps Due 7$90 Awards. HHC NOFA Apps Duo Awards MPRROP NOFA Sag Applications accepted overthecounter X TmeWevy WFAM U=Iden.l .11u1aat0a 1 80A-48 Iasi VpdaW3/13/3019 EXHIBIT 1 EXHIBIT J COMMUNITY OUTREACH GUIDELINES The Community Development Agency makes available the following guidelines to assist developers of affordable and special needs housing in obtaining community input and support for affordable housing projects. These guidelines are not meant to be a rigid checklist, but rather a flexible approach that can assist developers in building and maintaining a constructive relationship with community and political stakeholders. Four Steps to Building Community Support The approach consists of four steps 1. The development team meets early to research, assess and plan in five key areas. 2. Prepare a strategy to build active community support for your proposal. 3. Prepare a strategy to address community concerns and deal with active opposition. 4. Prepare a public relations/media strategy to inform decision -makers and the public. These steps are described in detail below: 1. Plan meetings to research, assess and plan strategies in five key areas. Schedule two or more meetings of the entire development team together with local advocates and assign responsibility for organizing the meetings (e.g. inviting key people) to a staff member. At the first meeting, assess the following: a. The organization's reputation, capacity to attract broad community support, and its previous experience in dealing with local government, opponents, and the media. b. What local government approvals are required, who will decide, what are the processes and criteria for decisions, and an expected timeline. c. The government and community's current knowledge of and support for affordable and supportive housing, the organization's work, and the current proposal. d. Full analysis of the neighborhood surrounding the proposed site (history, problems, assets, etc.) e. Likely concerns neighbors might have, the neighborhood's experience with similar programs, and the potential for support or organized opposition. f. Potential legal issues associated with the development proposal, including the legal rights of all parties. g. The media approach to the proposal Based on these assessments, at later meetings determine: 1. Strategies toward the community, potential supporters, potential opponents, and legal issues (steps 2-5); 2. Staffing required to implement these strategies; and, 3. Any consequences for the proposal's time line, funding needs, or site selection. EXHIBIT 1 Each strategy should have a clear plan of action: who will do what, when, how. Efforts to implement these four strategies will be going on simultaneously and timing issues are critical and must be decided after consultation with persons most familiar with the relevant neighborhood. Expect to change and improvise your plans as you go along. You won't regret your planning because it will help you manage the process and avoid surprises. Most importantly, draw on the collective experience of others to gain further insight into the strategies for community acceptance. 2. Prepare a strategy to build public support a. Active, vocal community support for the proposal will help get support, counter opponents, tell the accurate story to the media (if needed) and, when appropriate, say the hard things that must be said. b. Identify and prioritize actual and potential supporters, including tactical allies. Think widely about potential allies before contacting potential opponents. C. Plan recruitment of supporters and what you want them to do. d. Support allies with background information, housing tours and up-to-date information. e. Mobilize supporters at critical points (e.g. using a database and fact sheets.) Prepare a strategy to address community issues a. Notification and community out -reach decisions should be designed to surface and deal effectively with legitimate concerns and for positive presentation of the proposal. b. Consider alternative methods for community outreach (e.g. door-to-door canvassing, open -house forums or small house meetings) instead of the large open community meetings. C. Use an issue -based strategy for working through local community concerns. d. Find out the probable basis of the concerns before fashioning a response (e.g. misinformation, fears about impacts, expectation to participate, prejudice, or issues unrelated to your proposal.) e. Prepare appropriate responses to each kind of concern (e.g. education, reassurance by trusted authority, appropriate forum for participation, negotiation, clarifying legitimate/illegitimate issues.) 4. Prepare a public relations/media strategy a. Plan ahead in order to be able to respond effectively to any negative media or other type of coverage you receive, or believe you will receive. b. Designate and prepare a spokesperson(s), including former tenants and supporters. C. Develop messages for target audiences. d. Prepare brief fact sheets about the organization, the proposal, the supporters, efforts to resolve legitimate community concerns, and other information to support the proposal. e. Invite opponents for a tour of existing facilities and to meet staff and clients. f. Follow up on any coverage received with thank you notes and corrections. 1M1 EXHIBIT 1 Additional Outreach Principles Low key contact with neighbors, with the support of local allies, is the most effective form of outreach. The most effective forms of low-key contacts are either person to person or small group "house' meetings. In small meetings, the goal is to "humanize" the issue, give it a face that the audience can understand and empathize with, depolarize the potential residents/clients and the program to help remove them as the issue. If possible, have potential residents/clients attend and tell their story. Trying to convince people about the merits of an issue they oppose on an intellectual basis with facts, laws, and details does not affect their "feelings" about the issue. The team should reflect the cultural diversity of the City of Santa Ana and our residents and needs. If the project is intended for a target population, the provider and neighborhood should discuss the following non-exclusive list of issues: 1. Organization/Agency history of housing/services offered. 2. Residents/Clients to be served by this housing/service; numbers, general daily activity and schedule. 3. Special characteristics of the resident/client population (e.g., large families, extremely low-income families, mental illness or recovering substance abusers), likely length of stay in the project, and types of staff or support services, available and mandatory, whether on or off site. 4. The provider's history and reputation - Characteristics of success and failure within the program, in general terms, e.g., possible outcomes for clients and how the program responds to each possibility. 5. The neighborhood and characteristics of the area that might be of concern to neighbors and provider alike. 6. Mechanisms for communication between the provider and its neighbors. The provider should offer a 24-hour contact number if one exists, or best after hours contact available. The neighborhood should identify persons who can act as a contact. The security of knowing where to call to get a response is important. Discuss how to maintain ongoing communications, e.g., repeat visits to community meetings or written updates for newsletters. 7. Names of interested neighborhood organizations and how to contact them. 8. The development of a community advisory committee, if needed. An advisory board is an excellent vehicle for mutual education and effective communication. 80A-51 80A-52 REQUEST FOR COUNCIL/ HOUSING AUTHORITY ACTION CITY COUNCIL MEETING DATE: JULY 2, 2019 TITLE: APPROVE A PRE -COMMITMENT OF $3,971,440 OF AFFORDABLE HOUSING FUNDS AND AUTHORIZE NEGOTIATIONS OF A SIXTY-TWO YEAR GROUND LEASE TO THE RELATED COMPANIES OF CALIFORNIA AND A COMMUNITY OF FRIENDS FOR THE DEVELOPMENT OF THE CROSSROADS AT WASHINGTON PROJECT LOCATED AT 1126 AND 1146 E. WASHINGTON AVENUE (APNS 398-092-13 AND 398-092-14) (STRATEGIC PLAN NO. 5, 3C) CITY MANAGER EXECUTIVE DIRECTOR RECOMMENDED ACTION CITY COUNCIL CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1sl Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and the Clerk of the Council to execute a pre -commitment letter with The Related Companies of California ('Related") and A Community of Friends ("ACOF") as the service provider for $3,971,440 in affordable housing funds consisting of $963,951 in Neighborhood Stabilization Program funds and $3,007,489 in HOME Investment Partnerships Program funds, for the development of the Crossroads at Washington affordable housing project located at 1126 and 1146 E. Washington Avenue, Santa Ana, CA 92701, (APNs 398-092-13 and 398-092-14), subject to non -substantive changes approved by the City Manager and City Attorney. HOUSING AUTHORITY Authorize the Executive Director of the Housing Authority and the Recording Secretary to execute a pre -commitment letter with The Related Companies of California ('Related") and A Community of Friends ("ACOF") as the service provider to enter into negotiations for a sixty-two (62) year ground -lease of 1126 E. Washington Ave for the development of the Crossroads at Washington affordable housing project located at 1126 and 1146 E. Washington Avenue, Santa Ana, CA 92701, (APNs 398-092-13 and 398-092-14), subject to non -substantive changes approved by the Executive Director of the Housing Authority and Authority General Counsel. Pre -Commitment of Affordable Housing Funds and a Ground Lease to Related Companies July 2, 2019 Page 2 2. Authorize the Executive Director of the Housing Authority and the Recording Secretary to enter into negotiations on a Tenants in Common agreement, or similar document, and any other required actions necessary to draft that Tenants in Common agreement with the County of Orange for the joint ownership and development of the Crossroads at Washington affordable housing project located at 1126 and 1146 E. Washington Avenue, Santa Ana, CA 92701 (APNs 398-092-13 and 398-092-14). Authorize the Executive Director of the Housing Authority and the Recording Secretary to enter into negotiations on a Joint Powers Agreement, or similar document, and any other required actions necessary for the properties to be held as Tenants in Common with the County of Orange for the joint ownership and development of the Crossroads at Washington affordable housing project located at 1126 and 1146 E. Washington Avenue, Santa Ana, CA 92701 (APNs 398-092- 13 and 398-092-14). COMMUNITY REDEVELOPMENT AND HOUSING COMMISSION RECOMMENDATION At its regular meeting on May 22, 2019, the Community Redevelopment and Housing Commission (CRHC) recommended approval of the actions above by a vote of 8:0 (Garcia absent). DISCUSSION On June 19, 2018, the City Council authorized release a FY 2018 — 2019 Request for Proposals ownership project(s) in the City of Santa Ana. the Community Development Agency (CDA) to (RFP # 18-056) to develop affordable rental and On July 2, 2018, CDA issued RFP # 18-056 for Affordable Housing Development. The RFP was published on both the City and Housing Authority's websites; a public notice was published in the OC Register on July 2, 2018; an e-mail was sent out by Orange County's largest affordable housing membership associations including the Kennedy Commission, 2-1-1 Orange County, and Southern California Association of Nonprofit Housing; and an electronic letter was e-mailed to interested developers and nonprofit organizations who had previously requested to be informed of development opportunities on CDA's RFP Process Database. The first deadline for the City's RFP # 18-056 for Affordable Housing Development closed on Wednesday, August 15, 2018 at 5:00 p.m. The City received thirteen (13) proposals prior to the deadline. The affordable housing developers that submitted a proposal are: Pre -Commitment of Affordable Housing Funds and a Ground Lease to Related Companies July 2, 2019 Page 3 Affordable Housing Developer Cesar Chavez Foundation Chelsea Investment Corporation Community Development Partners — 2 Proposals Community Housin Works Habitat for Humanity of Orange Count HomeAid Orange County Jamboree Housing — 2 Proposals National Community Renaissance & Mercy House Living Centers Orange Housing Development Corporation & C&C Development, LLC Related California LINC Housing Corporation After the deadline, staff conducted a minimum threshold review of each proposal to ensure the proposal complied with all of the minimum requirements in the RFP. Following the minimum threshold review, staff formed a Review Panel that consisted of the Executive Director of the City's Public Works Agency with his designee, the Executive Director of the Planning and Building Agency with his designee, the Executive Director of the Community Development Agency, and the Housing Division Manager. The Veterans Affairs Medical Center of Long Beach, the County of Orange, Keyser Marston Associates, and MDG Associates served as advisors to the Review Panel. In compliance with the City's Affordable Housing Funds Policies and Procedures, the Review Panel used the proposal Scoring and Selection Criteria from the RFP to conduct their review and analysis of each proposal. In addition to the Scoring and Selection Criteria from the RFP, the Review Panel also reviewed the proposed project design for appropriateness for the proposed target group, compatibility with surrounding uses, cost effectiveness of construction, and appropriateness of the design and construction for low maintenance and long term durability. On October 30, 2018, the Review Panel met and interviewed all of the developers who submitted a proposal. LINC Housing requested to be removed from consideration prior to their scheduled interview and therefore their proposal was removed from consideration. On November 14, 2018, the Review Panel met a second time to discuss and deliberate upon the scoring and selection of the proposals. Following this deliberative selection process, the Review Panel agreed upon the final scores below based on an average of the Individual Reviewer Scores: 1W Pre -Commitment of Affordable Housing Funds and a Ground Lease to Related Companies July 2, 2019 Page 4 Housing Authority Land Asset Requested / HUD-VASH Vouchers y Non -Housing Authority Land Asset Developer Name Project Name FINAL SCORE (Average of IntlMitlual Reviewer Stores) 1126& 1146 E. WastingtonAverue Orange Housing Development Corporation and C&C Development, LLC 1128-1148 E. Washington Site 92 Related California The Crossroads at Washington 91 Jamboree Homing REVOApartmeras 87 Cesar Chavez Foundation Santa Ana Place 84 CommunityHousingWadu Trarefonnar 60 Community Development Partners Washington Fleas, GRFLD, Lacy Walk 77 Chelsea shnent Corporaton Cielo 76 826 N. Lecy/830 N. Lacy Habitat for Hunahity of Orange CouM/ Lacy Streetlaroject 82 Community Development Pampers Washington Plana, GRFLD, Lacy Was 77 801, 809 & 80912 E. Santa Ana Blvd. Hom"d Orange County Frances Xavier Residencs 90 Community Development Partners Washington Plaza, GRFLD, Lacy WaN 77 HUD-VASH Vouchers (As hie Primary Source of Firancing) Jamboree Housing BWgetlmsite 86 Community Development Partners WesMew House 81 NorrHowing kahomy land Asset NaJoal Community Renaissance and Me¢y Hawse Living Canters SaNa Ara United Methodist ChuGUSim 93 For the development of the Housing Authority -owned land asset at 1126 and 1146 E. Washington Ave, the adjacent parcel (APN 398-092-13) to the Housing Authority's parcel (APN 398-092-14) is owned by the County of Orange ("County"). Therefore on December 4, 2018, the Review Panel sent a letter to the County and requested their staff to review the top three highest scoring proposals for the combined site and advise the City on their recommendation for a final developer of the combined Housing Authority -owned and County -owned parcel. Specifically, the Review Panel recommended the County select from Orange Housing Development Corporation / C&C Development (92 points), Related California (91 points) or Jamboree Housing (87 points) as the final developer of the combined site. The County's award recommendation is contingent upon final approval by the Board Pre -Commitment of Affordable Housing Funds and a Ground Lease to Related Companies July 2, 2019 Page 5 of Supervisors and the award recommendation for the Housing Authority's parcel is also contingent upon final approval by the City Council / Housing Authority. The Review Panel recommended that the County follow a transparent, deliberative selection and review process to include, at a minimum, conducting in -person interviews with all three developers by their selection team. In January and February 2019, the County followed a transparent deliberative process and conducted in -person interviews with the three developers. On March 7, 2019, the County, met with the City and provided their recommendation for the developer of the combined site. The County advised the City that the three developers had submitted revised proposals to the County than what they had originally provided to the City's Review Panel. Therefore, following the recommendation by the County, the City's Review Panel requested the revised proposals from the three developers that had been submitted to the County. The revised proposals were provided to the City on March 21, 2019. The City's real estate advisor, Keyser Marston Associates (KMA), completed a preliminary review of the three revised proposals for the City. Following KMA's analysis, the City's Review Panel met again on April 10, 2019 and recommended the Related Companies of California with A Community of Friends as the developer of the combined City and County -owned parcels at 1126 and 1146 E. Washington Avenue (APNs 398-092-13 and 398-092-14). The City and County met again on April 17, 2019 to finalize the recommendation for joint development of the site, pending review and approval by the County of Orange Board of Supervisors. Based on the scores above and the deliberative selection and review process followed by the City and County, the Review Panel recommends the following award for this project: Developer: The Related Companies of California and A Community of Friends Project Name: 1126 and 1146 E. Washington Ave — the "Crossroads at Washington" Award Recommendation: Sixty -Two (62) Year Ground Lease Agreement for 1126 and 1146 E. Washington Site (APNs 398-092-13 and $3,080,000 398-092-14) - Appraised Value of APN # 398-092-14 Owned by Housing Authority as of Oct 25, 2018 HOME Investment Partnerships Program $3,007,489 HOME funds Neighborhood Stabilization Program $963,951 NSP funds Total Financial Award $7,051,440 Foerlliw, Pre -Commitment of Affordable Housing Funds and a Ground Lease to Related Companies July 2, 2019 Page 6 The pre -loan commitment letter with The Related Companies of California with A Community of Friends as the service provider for $3,971,440 in affordable housing funds consisting of $963,951 in Neighborhood Stabilization Program funds and $3,007,489 in HOME Investment Partnerships Program funds, and a sixty-two (62) year ground -lease of 1126 E. Washington Ave, for the development of the Crossroads at Washington affordable housing project located at 1126 and 1146 E. Washington Ave, Santa Ana, CA 92701, (APNs 398-092-13 and 398-092-14) provides the enforceable funding commitment from the City (Exhibit 1). Among various other conditions, the pre - commitment letter is conditional on the developer securing any and all permits and discretionary approvals that may be required for the Project by the City, Housing Authority, and County. The pre - commitment does not not obligate the City or any department thereof to approve any application or request for or take any other action in connection with any planning approval, permit or other action necessary for the construction of the project. In compliance with the City's Affordable Housing Funds Policies and Procedures, KMA has conducted a preliminary financial gap analysis to confirm the underwriting for the Crossroads at Washington, the financial gap, and other programmatic requirements related to the funding sources (Exhibit 2). KMA reviewed the developer's estimates and projections of rents, expenses, reserves and development costs in accordance with industry -standard underwriting guidelines. Following this gap analysis and the procurement and deliberative process described above, staff recommends the full amount of the award to the City Council / Housing Authority for final approval. Project Description Following the competitive multi -stage Request for Proposal (RFP) process that included an extensive RFP response, supplemental proposals, presentations and two interviews, The Related Companies of California ("Related") in partnership with A Community of Friends ("ACOF") is being recommended by the City of Santa Ana staff as the developers to co -develop an affordable housing community on the 1126 & 1146 E. Washington Avenue site (the Project) that was part of the City of Santa Ana RFP # 18-056. The proposed name for the project is the Crossroads at Washington. Drawing from more than 60 years of combined experience in the successful development and ongoing property management of affordable and supportive housing communities, Related and ACOF are ideally suited to collaborate on the Washington Avenue Site with the City of Santa Ana to develop an enriched, transit -oriented community that will support housing for extremely low income families and special needs populations in the City of Santa Ana. The collaboration between Related and ACOF brings complementary experiences in developing, building, and managing housing for families and special needs populations; success in competing and receiving local, state, federal, and private financing; and experience from the development of a large portfolio of award -winning affordable housing developments. All these benefits ensures the greatest results for the residents and surrounding community. As an experienced developer, Related draws on both their market rate and affordable communities to produce their award -winning housing developments. Related has completed over 11,000 units of top-quality affordable and mixed income multifamily rental housing throughout California since its inception in 1989. Over the course of 30 years, Related has partnered with over 25 community- 1 E ., Pre -Commitment of Affordable Housing Funds and a Ground Lease to Related Companies July 2, 2019 Page 7 based nonprofits and over 20 municipal agencies to help communities realize their affordable housing needs and redevelopment goals. Related brings a diverse portfolio in project size of 20 to 500 units and product type, new construction and acquisition/rehab. Related successfully led and completed the entitlements process on 91 tax credit financed developments, 65 of which were new construction projects. Related's fully integrated development team includes in-house capabilities for all stages of the development process including planning, entitlements, architecture, finance, construction and property management. Related is well versed in leveraging public funding sources and navigating regulatory complexities. In the past five years alone, Related has received over 30 awards, ranging from "Best Affordable Project" to "Real Estate Deal of The Year." ACOF is one of the.most experienced developers of supportive, special needs and veterans housing in Southern California, with a track record spanning 30 years and over 2,000 completed units of supportive housing. As a developer, ACOF has also demonstrated its expertise in affordable housing development by structuring and securing over $536 million in financing from all levels of government. ACOF has been a service provider since 1996 and currently provides supportive services in 22 developments for over 700 tenants. ACOF provides an array of intensive supportive services and connects tenants to the full range of services they need to gain increased independence and remain stably housed. Integrated services are provided on an ongoing, individualized and flexible basis in concert with tenants' needs and priorities, both individually and in group settings. Related has partnered with ACOF as its non-profit partner for the Project to provide the services and expertise for serving the special needs units. ACOF is one of the most experienced developers of permanent supportive housing in Los Angeles County and Southern California, with a long track record of delivering high quality supportive housing for people who were formerly homeless. ACOF has completed 50 housing developments of supportive housing for homeless individuals and families. Related is proposing to develop a new transit -oriented affordable housing community on 2.28 acres located at 1126 and 1146 Washington Avenue and the County of Orange parcel directly to the South of 1126 and 1146 Washington Avenue. The site is currently vacant, and positioned within walking distance from the Santa Ana Regional Transportation Center — a key transit hub for not only Orange County, but all of Southern California. The Project site is on two (2) contiguous undeveloped parcels, one fronting E. Washington Avenue on the northern half of the site (Housing Authority -owned Parcel) and one parcel directly south of the City Parcel (County -owned Parcel). The five original buildings located on the site were demolished in the 1990s by CalTrans during a freeway -widening project. As a vacant and undeveloped site, there is an opportunity to imagine a newly designed site that will truly meet the needs of the local community. The entire site is designated District Center (DC) in the City of Santa Ana 1998 General Plan and zoned Transit Village (TV) in the Transit Zoning Code. The proposed Project includes the development of one residential building, subdivided into three (3) residential portions, with 86 units surrounding two interior, landscaped courtyard/amenity spaces (Exhibit 3). Developed at an overall density of 37.7 units per acre, there will be 16 studios, 26 one - bedrooms units, 22 two -bedroom units, 17 three -bedroom units, and 5 four -bedroom units. All units will be flat apartments located on the first, second, and third floors. Currently, the building has been designed to buffer courtyards, open green areas, and pool area from highway noise and visual Foerlliffi Pre -Commitment of Affordable Housing Funds and a Ground Lease to Related Companies July 2, 2019 Page 8 pollution. In addition, a proposed sound wall is being positioned along the eastern property line adjacent to the US Interstate 5 ramp. Approximately 3,500 square foot of interior community amenities and leasing offices is designed to accommodate supportive and management services. One vehicular entry point to the site is provided off E. Washington Avenue. The entry point has a small driveway roundabout with deliberate urban greening features, to reduce vehicle speeds and create a welcoming and aesthetically pleasing entrance and pickup/drop-off area for pedestrians, bike riders, and motor vehicles alike. Careful consideration for the character and scale of the surrounding neighborhood and buildings were taken into account, to ensure that the project architecture and massing blends -in with the existing surrounding uses. The Project proposes a Mission Revival architectural style to complement adjoining neighborhoods and buildings. In particular, the design is envisioned to complement nearby buildings — similar to the Santa Ana Regional Transportation Center and the Triada at the Station District Apartments (developed by Related) — which are part of Santa Ana's extensive history of prominent architecture. The Project includes amenities ranging from a children's tot lot to a public plaza fronting E. Santa Ana Boulevard — that acts as a passive and active space at the southern entrance onto the site. Each outdoor common area is intended to act as a retreat from the surrounding urban landscape. Overall, the layout of the buildings and common areas are designed to create several unique areas to best utilize outdoor space. Outdoor amenities include a pool, tot -lot, dog wash, and a BBQ and picnic area. Parking Parking is located along the western property line to take advantage of the only regular geometry on the site, resulting in a very efficient layout to maximize parking spaces. This pattern allows for direct resident access to the buildings. Parking will be softened by "fingers of landscape" and a linear tree line separating parking from the apartments/courtyard. A vehicular gate will provide a degree of security. Car-share/electric charging spaces will be located near the gate. The proposed Site Plan includes approximately 110 surface parking spaces, of which 42 spaces would be tandem spaces, which will be assigned to the three -bedroom and four -bedroom apartments. Residents will not be charged for parking. As a transit -oriented development, the project is at the start of the OC Streetcar and directly across the street from the Santa Ana Regional Transportation Center. A total of 110 parking spaces will be sufficient for this type of transit -oriented development. FOONW46 Pre -Commitment of Affordable Housing Funds and a Ground Lease to Related Companies July 2, 2019 Page 9 Resident Services As previously described, ACOF provides an array of intensive supportive services and connects tenants to the full range of services they need to gain increased independence and remain stably housed. Integrated services are provided on an ongoing, individualized and flexible basis in concert with tenants' needs and priorities, both individually and in group settings. Examples of the resident services ACOF can provide at the Project include the following: Case Management and Service Coordination Tenant Outreach and Engagement Employment and Training Services Housing Outplacement Independent Living and Life Skills Support Benefits and Education Assistance Substance Abuse and Treatment Assistance and Referrals Educational Assistance and Referrals Financial Literacy and Money Management Classes Childcare Assistance and Referrals Family and General Legal Referrals Domestic Violence Support and Referrals Food Security and Food Bank Access Green Education Individualized Service Plans Employment & Training Peer Advocacy Social Activities/Recreational Referrals Community Building Activities (including social activities, health and fitness activities, neighborhood watch committee) Linkages and Referrals to Mainstream Resources (including healthcare, family and individual therapy, and mental health) Health and Wellness Programs Unit Mix The Project will be 100% affordable to households earning no more than 30 percent of Area Median Income (AMI) of which 43 units will be set -aside for Permanent Supportive Housing, with one exempt 2-bedroom managers unit. The large bedroom units align with the City's priorities and needs while the Permanent Supportive Housing units meets the County's priorities. The proposed unit mix and rent restrictions are as follows: Bedroom Size 30% AMI PSH 30% AMI Manager's Unit Total Units Studios 16 16 One -Bedroom 26 26 Two -Bedroom 1 20 1 22 Three -Bedroom 17 17 Four -Bedroom 5 5 TOTAL 43 42 1 86 City and County -Owned Parcel Land Use Issues and Proposed Solution The 1126 and 1146 E. Washington Avenue site is comprised of two adjacent parcels (APNs 398- 092-13 and 398-092-14), one of which is owned by the Housing Authority of the City of Santa Ana (APN 398-092-14) and the other owned by the County of Orange (APN 398-092-13). Developing one affordable housing project across two parcels with differing ownership presents unique challenges from a development, legal and lending perspective. Through preliminary conversations Foerlliwo Pre -Commitment of Affordable Housing Funds and a Ground Lease to Related Companies July 2, 2019 Page 10 with Related's title company, tax credit investor, and legal counsel, it was confirmed that splitting the buildings through the existing parcel line would require extensive discussions for approval. As a result, in order to develop the site plan as -is, parcel line changes would be necessary in order to make the development amendable to key stakeholders in the Project. The following options were explored during the proposal process: 1) Separate parcels (same site plan) — Two options were explored to retain the separate ownership of the parcels. With the first option (1 a), the parcel line would be changed and the City and County would enter a covenant and agree that both lots are considered "tied" and hold property as one (1) parcel. With the second option (1b), the parcel lines would be changed to divide the property, and the buildings and units would be separated through a building firewall(s) in a manner that would allow the property to be divided into two different and independent properties. The two options were reviewed by City of Santa Ana's Planning and Building Agency which advised that they will not consider lot tie agreements of parcels with separate owners for the purpose of the development with buildings that cross property lines as it is prohibited in the California Building Code. Firewalls will only serve to separate a building with fire resistance ratings at the property line and a "lot tie" and many easements would still be required. Retaining separate ownership of the parcels would also pose challenges with the authority for jurisdiction over the review and issuance of permits which would complicate the development and permit process. 2) Separate parcels (different site plan with separate buildings) — In this option, the Project would be redesigned to account for two individual buildings and site plans. Additional agreements between the City and County allowing an easement from the County parcel through the City parcel would be required. Additional variances to reduce setback requirements imposed on each parcel and between buildings to minimize design impact and maximize units would also be required. This option would create two separate projects which would also affect the competitiveness of the Project in applying for 9% Low Income Housing Tax Credit financing due to the smaller size of each individual project. 3) Consolidated Parcels (same site plan) — In this option, ownership of the City and County parcels would be consolidated under one ownership. Two options were explored. In the first option (3a), the City or County would sell the land to the other landowner (City/County) and the Parcels will be under one ownership. In the second option (3b), the City and County would execute a "grant deed" for joint ownership of the parcels. Joint title to the property would be held as "Tenants In Common." Following discussion with the County, City and County staff recommend to develop the properties underjoint ownership. Consolidating ownership of the site retains the integrity of the site plan and does not require a redesign or complicate the development, permitting or lending processes. City and County staff recommend that each landowner (the City and the County) enter into negotiations on a "grant deed" to merge the ownership of the parcels into one joint ownership by the City and County, and to convey an interest in the respective parcels into a jointly held "tenants in common" ownership structure, with title for the joint property to be held as Tenants in Common (TIC). This TIC structure would be comprised of an ownership arrangement in which the two jurisdictions would jointly own a single parcel formed from APN Nos. 398-092-13 and 398-092-14, and title would be held individually to the extent of each party's proportional interest in the combined two parcels. FOODIME1 Pre -Commitment of Affordable Housing Funds and a Ground Lease to Related Companies July 2, 2019 Page 11 This TIC ownership structure could help to simplify ground leasing and developing a jointly held property. The percentage ownership for each landowner will be determined based on the percentage of the current acreage between the two parcels. The Housing Authority's parcel is 1.456 acres and the County's parcel is .83 acres. One ground lease agreement with both landowners can then be entered into with Related for the development of the site. During the development process the parcels will be combined into one, creating a single APN number, which will allow more flexibility on site development. Following approval by the City Council / Housing Authority, staff will work with the County to bring the Project to the Board of Supervisors for selection of Related and ACOF as the Project developer and approval of a ground -lease agreement and joint powers agreement arrangement with the City. Staff will draft and negotiate a Tenants in Common agreement, a Joint Powers Agreement, or similar document, and any other required actions necessary to draft that Tenants in Common agreement with the County of Orange for the joint ownership and development of the Crossroads at Washington. The approval of the Tenants in Common agreement and Joint Powers Agreement will be contingent upon final approval by the City Council and the County Board of Supervisors. The final project will require review of the site plan by an interdepartmental team of staff and may require review and approval by the Planning Commission. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal # 5 - Community Health, Livability, Engagement & Sustainability, Objective #3 (Facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods), and Strategy C (Provide that Santa Ana residents, employees, artists and veterans receive priority for affordable housing created under the City's Housing Opportunity Ordinance or with City funding to the extent allowed under state law). FISCAL IMPACT The various agreements, including the loan payment, are estimated to be finalized for City Council / Housing Authority approval in FY 2020-21. Upon future approval of the loan agreements, funds will be budgeted and available as shown below: , Fiscal Accounting Unit Accounting Unit, Year — Account # Fund Description Account Amount Description FY 20-21 13018780-69152 HOME Program Loans & Grants $3,007,489 FY 20-21 14218760-69152 Neighborhood Loans & Grants $ 788,000 Stabilization Program 1 FY 20-21 14218761-69152 Neighborhood Loans & Grants $ 131,000 Stabilization Program 2 FY 20-21 14218762-69152 Neighborhood Loans & Grants $ 44,951 Stabilization Program 3 Total Loans $3,971,440 Pre -Commitment of Affordable Housing Funds and a Ground Lease to Related Companies July 2, 2019 Page 12 Steven A. Mendoza Executive Director APPROVED AS TO FUNDS AND ACCOUNTS: " Kathryn D�PA Executive Director Community Development Agency Finance and Management Services Agency Exhibits: 1. Pre -Commitment Letter with Related and ACOF 2. Preliminary Financial Gap Analysis by Keyser Marston Associates 3. Proposed Project Renderings / Preliminary Site Plan EXHIBIT 1 MAYOR Miguel A. Pulido MAYOR PRO TEM Juan Villages COUNCILMEMBERS Cecilia Iglesias David Penaloza Vicente Sarmiento Jose Solodo CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY 20 Civic Center Plaza M-25 • P.O. Box 1988 Santa Ana, California 92702 (714) 647-5360 w .santa-ana.om June 18, 2019 Liane Takano Southern California Director The Related Companies of California 18201 Von Karman Avenue, Suite 900 Irvine, CA 92612 Dora Leong Gallo Chief Executive Officer A Community of Friends 3701 Wilshire Blvd., Suite 700 Los Angeles, CA 90010 CITY MANAGER Kristine Ridge CITY ATTORNEY Sonia R. Carvalho ACTING CLERK OF THE COUNCIL Norma Mitre -Ramirez Re: Crossroads at Washington 1126 and 1146 E. Washington Avenue, Santa Ana, CA 92701 Pre -Commitment Letter for: NSP Loan, HOME Loan, and Lease Agreement Dear Ms. Takano and Ms. Gallo, The Related Companies of California and A Community of Friends (collectively referred to as the "Developer") requested financial assistance in connection with the proposed development of an eighty-six (86) unit affordable housing complex, with eighty-five (85) units restricted to extremely -low income households, to be located at 1126 and 1146 E. Washington Avenue, Santa Ana, CA 92701 (APNs 398-092-13 and 398-092-14) ("Project'). The site consists of two adjacent parcels. The Housing Authority of the City of Santa Ana ("Housing Authority') owns one parcel at 1126 E. Washington Ave. (APN 398-092-14) totaling approximately 1.43 acres of land area ("Housing Authority Parcel"). The County of Orange ("County") owns an adjacent parcel (APN 398-092-13) totaling approximately .85 acres of land area ("County Parcel"). The Housing Authority and County will work together to merge their respective parcels with joint ownership for purposes of master leasing the parcels to the Developer to construct the Project over a single parcel ("Property'). Foorlimp EXHIBIT 1 The City of Santa Ana ("City") and the Housing Authority have reviewed the Developer's request for assistance, and at the City Council/Housing Authority meeting on June 18, 2019, the City Council and Housing Authority Board authorized and approved issuance of this pre - commitment letter evidencing the preliminary award of (collectively, the "City Assistance"): - A loan in the maximum amount of $963,951.00 from the Neighborhood Stabilization Program ("NSP") held by the City for the Project ("NSP Loan"); A loan in the maximum amount of $3,007,489.00 from the HOME Investment Partnerships Program ("HOME") held by the City for the Project ("HOME Loan'); and, - A 62-year ground lease for the Housing Authority portion of the Property located at 1126 and 1146 E. Washington Avenue, Santa Ana, CA 92701 (APNs: 398- 092-13 and 398-092-14); to be used for development of an eighty-six (86) unit affordable housing complex, with eighty-five (85) units restricted to extremely -low income households ("Ground Lease'). This letter shall evidence the City's pre -commitment of the City Assistance to the Developer for the Project subject to the conditions described below. NSP and HOME Loans: The amount of the proposed NSP and HOME Loans has been determined based upon the City's review of the Developer's request for the receipt of the City Assistance and the development proforma and projected cash flows for the Project submitted by the Developer to the City ("Proforma"). The City Manager has authority to approve revised development proformas and projected cash flows for the Project; provided, however, that the City Assistance is not increased or extended. The NSP and HOME Loans shall include the following terms: • The NSP Loan shall be for a maximum principal amount of $963,951.00, or as much thereof as is disbursed for hard and soft costs in constructing the Project, provided from NSP funds. • The HOME Loan shall be for a maximum principal amount of $3,007,489.00, or as much thereof as is disbursed for hard and soft costs in constructing the Project, provided from HOME funds. • 3% simple interest per annum. • Repayment from 33.3% of Residual Receipts (pro-rata with payments due in connection with other financing provided by other public agencies) (after payment of operating expenses, debt service, any deferred developer fee, and partnership fees FOODIMEA EXHIBIT 1 to be described in the Agreement), with 33.4% to the County, and the remaining 33.3% to be disbursed to the Developer. Remaining principal and accrued interest due upon the 55th anniversary of the issuance of Certificate of Occupancy or earlier upon sale, refinancing or default. On that date, the City and Housing Authority agrees to review the performance of the Property and consider in good faith any reasonable request by Developer to modify the terms or extend the term of the City Promissory Notes. Additionally, the City will receive a pro rata share of 33.3% of the net proceeds received from any sale or refinancing of the Project, after payment of outstanding debt and payment in full of any deferred developer fee and establishment of any reserves and transaction costs. Cost savings from the Project, if any, will be applied first to pay down the NSP and HOME Loans, subject to compliance with the Tax Credit Allocation Committee ("TCAC") Regulations and California Health and Safety Code, as applicable. After all other funding sources have been secured through enforceable funding commitments, a HOME Subsidy Layering Review is required in order to formally commit HOME funds to the Project. The HOME Loan shall also require specific HOME designated units in the Project. Based on a preliminary HOME Cost Allocation Analysis, the City must designate at least sixteen (16) units in the Project as HOME assisted -units per the following preliminary unit mix: • Three (3) studio units; • Five (5) one -bedroom units; • Four (4) two -bedroom units; • Three (3) three -bedroom units; and, • One (1) four -bedroom unit. As least 20% of the HOME designated units must be designated as Low HOME units. This equates to four (4) Low HOME units based on a sixteen (16) unit HOME requirement. The remainder of the HOME designated units can be restricted as High HOME units. This is subject to change based on a final HOME Cost Allocation Analysis to be completed prior to a formal commitment of HOME funds to the Project. Ground Lease: The Project will be located on the Property at 1126 and 1146 E. Washington Avenue, currently owned by the Housing Authority, as well as the adjacent parcel owned by the County (APNs: 398-092-13 and 398-092-14). The Housing Authority will be working with the County to draft and negotiate the necessary documents to join ownership so that the Project may be constructed over the combined Property under a master lease with the Housing Authority and County, as joint owners. ,•1m The ground lease payments will be structured as capitalized ground rent payments based on the appraised fair market value of the Property. The Developer estimates the current value of the Property at $5,580,000. This figure will need to be confirmed through an appraisal, but based on the Developer's assessment, the capitalized ground rent payments are estimated as follows: • The capitalized ground rent payment for the County parcel is estimated at $2,500,000; and, • The capitalized ground rent payments for the Housing Authority parcel is estimated at $3,080,000. These amounts will be secured by a promissory note on the Property and be repaid through a share of the Project's residual receipts to be paid to the County and Housing Authority respectively. Based on the above, the Housing Authority Board authorized a preliminary award of a 62- year lease of the Housing Authority portion of the Property to the Developer for the Project. After Developer secures a commitment from the County for a 62-year lease of the County portion of the Property, staff will return to the Housing Authority for consideration of a 62-year Ground Lease Agreement. There will only be one final Ground Lease Agreement that will have all three parties: the County, City (as tenants in common) and the Developer. The Ground Lease Agreement will be contingent on the successful development of the Project by the Developer. General Provisions: The City's obligation to provide the City Assistance to the Project is subject to each of the following conditions: Developer must provide proof that it has secured all of its remaining financing for the development of the Project in the form of enforceable funding commitments, including, but not limited to, 9% or 4% Federal Low Income Housing Tax Credits, State Housing Tax Credits, a loan of affordable housing funds from the County of Orange, Section 8 project -based vouchers from the Orange County Housing Authority, or any other funding sources necessary in the Project's capital stack to close on their financing, before staff will return to the City Council for consideration of the NSP and HOME Loan Agreements. • Developer must provide proof that the County has approved or committed to approve a 62-year ground lease for the County portion of the Property located at 1126 and 1146 E. Washington Avenue, Santa Ana, CA 92701 (APNs: 398-092-13 and 398- 092-14) before staff will return to the Housing Authority for consideration of the Ground Lease Agreement. • All of the affordable units in the Project will be restricted to extremely low-income households. ,•1M • O3:11:31a • The rent standards for the Project must be in compliance with the strictest of the standards imposed by TCAC and HOME Program regulations, or other funding sources contributed to the Project, as applicable. • All provided funding and Project requirements shall conform to the City's adopted Affordable Housing Funds Policies and Procedures, unless alternative requirements are expressly provided in the executed NSP and HOME Loan Agreements, Ground Lease Agreement, or any other documents related to the development of the Project. • Approval of all required entitlements and discretionary actions, to allow the construction of an 86-unit affordable housing complex to be located at 1126 and 1146 E. Washington Avenue, Santa Ana, CA 92701. • The City's obligation to provide the NSP Loan and HOME Loan is and shall remain subject to all covenants, conditions, and restrictions set forth in the Loan Agreements, and in particular City's analysis of the available funding sources and development and operating costs of the Project and the overall economic feasibility of the Project. • Review and approval of the documents evidencing the NSP Loan and HOME Loan by the City Council. • Review and approval of the documents evidencing the Ground Lease by the Housing Authority and the County. • Project funding is contingent on the successful execution of a 62-year Ground Lease Agreement by the Developer with the Housing Authority and County. • Compliance with California Health and Safety Code and applicable regulations set forth in Section 34176. Developer, at its sole cost and expense, will be responsible for securing any and all permits and discretionary approvals that may be required for the Project by the City, Housing Authority, County, or any other federal, state, or local governmental entity having or claiming jurisdiction over the Property or Project. Notably, this pre -commitment letter shall not obligate the City or any department thereof to approve any application or request for or take any other action in connection with any planning approval, permit or other action necessary for the construction, rehabilitation, installation or operation of the Project. This pre -commitment letter for the Project will expire on June 18, 2022. ,•1M EXHIBIT 1 If you have any questions or require any additional information regarding this pre - commitment letter, please contact Judson Brown, Housing Division Manager, by telephone at (714) 667-2241 or by e-mail at ibrown(a)santa-ana.oro. Sincerely, On behalf of the City of Santa Ana: Kristine Ridge City Manager Attest: Norma Mitre Acting Clerk of the Council On behalf of the Housing Authority of the City of Santa Ana: Steven A. Mendoza Housing Authority Executive Director /d147TR Norma Mitre Acting Recording Secretary FOODIMU46 EXHIBIT 2 KEYSER MARSTON ASSOCIATES. ADVISORS IN PUBLIC/PRIVATE REAL ESTATE DEVELOPMENT MEMORANDUM ADVISORS IN: Real Estate To: Judson Brown, Housing Division Manager Affordable Housing Economic Development City of Santa Ana BERKELEY A. Jerry Keyser From: Tim Bretz Timothy C. Kelly Debbie M. Kern Parker Dietz David Doezema Kevin Feeney Date: May 22, 2019 Los ANGELES Kathleen H. Head James A. Rabe Subject: 1126-46 East Washington Ave— Preliminary Financial Gap Analysis Gregory D. Soo-Hoo Kevin E. Engstrom Julie L. Romey At your request, Keyser Marston Associates, Inc. (KMA) prepared a preliminary financial Tim R. Bretz gap analysis for the project proposed to be developed at 1126 —1146 East Washington SAN DIEGO Paul C. Marra Avenue (Site) by Related California (Developer). The Developer is proposing to construct an 86-unit apartment project with 85 units restricted to extremely -low income households (Project). One unit will be un-restricted and reserved for an on -site manager. EXECUTIVE SUMMARY The Site consists of two adjacent parcels. The Housing Authority of the City of Santa Ana (Housing Authority) owns one parcel totaling approximately 1.43 acres of land area (Housing Authority Parcel). The County of Orange (County) owns an adjacent parcel totaling approximately 0.85 acres of land area (County Parcel). Collectively, the Housing Authority Parcel and the County Parcel are referred to as the "Site" in this analysis. The Housing Authority and the County are working together to develop the Site with the proposed Project. The Developer is requesting the following assistance from the City of Santa Ana (City) and the Housing Authority: 1. A long-term ground lease for the Housing Authority Parcel; 500 SOUTH GRAND AVENUE, SUITE 1480 > LOS ANGELES, CALIFORNIA 90071 > PHONE 213.622.8095 1905019:SA:TRB 19090.017.019 VAM.KEYSERMARSTON.COM 80B-19 Judson Brown, City of Santa Ana EXHIBIT 2 May 22, 2019 1126-46 E. Washington Ave: Preliminary Financial Gap Analysis Page 2 2. A loan of HOME Program (HOME) funds allocated to the City by the United States Department of Housing and Urban Development (HUD); and 3. A loan of Neighborhood Stabilization Program (NSP) funds allocated to the City by HUD. The purpose of KMA analysis is to evaluate the Developer's assistance request. Estimated Financial Gap The results of the KMA financial gap analysis are compared to the Developer's financial proposal in the following table: KMA Developer Difference Total Development Costs $38,688,000 $38,734,000 ($46,000) Outside Funding Sources 34,746,000 34,762,000 (16,000) Financial Gap $3,942,000 $3,972,000 ($30,000) As shown in the preceding table, KMA estimates the Project's financial gap at $3.94 million. Comparatively, the Developer is requesting $3.97 million in financial assistance from the City. This represents a less than 1% differential, which can be considered inconsequential. However, it is important to note that the KMA and Developer estimates differ on a line item by line item basis. Proposed Funding Sources The following summarizes the proposed funding sources for the Project: 1. It is estimated that the Project will receive forty-three (43) Section 8 Project Based Vouchers (PBVs) that are allocated to the County by HUD. 2. The Project's stabilized net operating income (NOI) supports $2.90 million in permanent financing. The Developer is proposing to apply for 9% Federal Low Income Housing Tax Credits (Federal Tax Credits) that are competitively awarded by the California Tax 1905019:SA:TRB 19090.017.019 FO W EXHIBIT 2 Judson Brown, City of Santa Ana May 22, 2019 1126-46 E. Washington Ave: Preliminary Financial Gap Analysis Page 3 Credit Allocation Committee (TCAC). The net Federal Tax Credit proceeds are estimated at $18.98 million. 4. The Developer is proposing to apply for State Housing Tax Credits (State Tax Credits) that are awarded by TCAC. The net State Tax Credit proceeds are estimated at $5.0 million. 5. The Developer is proposing to apply for a loan of permanent supportive housing (OCHA PSH Loan) funds awarded by the Orange County Housing Authority (OCHA). 6. The Developer proposes to ground lease the Housing Authority and County parcels based on current fair market value of the Site. The capital ground rent payment amounts are estimated as follows: a. A $2.50 million capitalized ground rent payment to the County; and b. A $3.08 million capitalized ground rent payment to the Housing Authority. PROJECT DESCRIPTION The proposed scope of development can be described as follows: 1. The site is comprised of 2.28 acres, or 99,317 square feet of land area. 2. The Project's unit mix is as follows: Number of Unit Size Units SF Studio Units 16 400 One -Bedroom Units 26 600 Two -Bedroom Units 22 850 Three -Bedroom Units 17 1,100 Four -Bedroom Units 5 1,300 Total / Weighted Average 86 766 1905019:SA:TRB 19090.017.019 F4 Judson Brown, City of Santa Ana 1126-46 E. Washington Ave: Preliminary Financial Gap Analysis EXHIBIT 2 May 22, 2019 Page 4 3. Detailed project plans were not available for review. As such, KMA estimates the Project's gross building area (GBA) at 85,000 square feet, which is comprised of the following: a. The residential GBA is estimated at 65,900 square feet; b. The community building GBA is estimated at 3,500 square feet; and C. The circulation / common area GBA is estimated at 15,600 square feet. 4. The Project includes 110 surface parking spaces, which equates to approximately 1.28 parking spaces per unit. 5. The Project's proposed affordability mix is as follows: Tax Credit @ 30% Median/Moderate H&SC/Low HOME 1 85 Unrestricted Manager's Unit 1 Total Units 86 FINANCIAL GAP ANALYSIS KMA prepared a pro forma analysis to assist in evaluating the Developer's proposal. The analysis is located at the end of this memorandum, and is organized as follows: Table 1: Estimated Development Costs Table 2: Stabilized Net Operating Income Table 3: Financial Gap Calculation Table 4: Preliminary HOME Cost Allocation 1 H&SC = the California Health and Safety Code, and the "Median" represents the Orange County Median Income published by HCD. The median income published by TCAC is referred to as the TC Median. 1905019:SA:TRB 19090.017.019 FO EXHIBIT 2 Judson Brown, City of Santa Ana May 22, 2019 1126-46 E. Washington Ave: Preliminary Financial Gap Analysis Page 5 Estimated Development Costs (Table 1) KMA reviewed the Developer's development cost estimates, and then independently prepared a pro forma analysis for the Project. The resulting development costs are estimated as follows: Property Assemblage Costs The Developer will enter into longterm ground leases with the Housing Authority and the County for both the Housing Authority Parcel and the County Parcel. As proposed, the ground lease payments will be structured as capitalized ground rent payments based on the appraised fair market value of the Site. The Developer estimates the current value of the Site at $5.58 million.' Thus, the capitalized ground rent payments are estimated as follows: 1. The capitalized ground rent payment for the County Parcel is estimated at $2.50 million; and 2. The capitalized ground rent payment for the Housing Authority Parcel is estimated at $3.08 million. Direct Costs The direct cost estimates assume that the Project will be subject to State of California and/or Federal Davis Bacon prevailing wage requirements. The direct costs applied in this analysis can be summarized as follows: 1. The Developer estimated the off -site improvement costs at $493,000. City staff should verify the scope and cost of the off -site improvements required to serve the Project. 2. The on -site improvement costs are estimated at $30 per square foot of land area, or $2.98 million. The surface parking costs are estimated at $3,000 per space, or $330,000. z An appraisal was not available for the fair market value of the combined Housing Authority and County Parcels. This analysis will need to be updated if the appraised value of the Site differs from the estimate used in the analysis. 1905019:SA:TRB 19090.017.019 FO EXHIBIT 2 Judson Brown, City of Santa Ana May 22, 2019 1126-46 E. Washington Ave: Preliminary Financial Gap Analysis Page 6 4. The residential shell costs are estimated at $170 per square foot of residential GBA, or $14.43 million. 5. A $550,000 allowance for furnishings, fixtures and equipment is provided. 6. A 14% allowance for contractor fees and general requirements is provided. 7. An allowance for construction bonds / general liability insurance at 2% of construction costs is provided. 8. The third -party construction management costs are estimated at $150,000. 9. A direct cost contingency allowance equal to 5% of other direct costs is provided KMA estimates the total direct costs at $22.95 million. This equates to $270 per square foot of GBA. Indirect costs KMA utilized the following assumptions in estimating the indirect costs: 1. The architecture, engineering and consulting costs are estimated at 7% of direct costs. 2. The Developer estimated the public permits and fees costs at $3.05 million, or $35,500 per unit. City staff should verify the accuracy of this estimate. 3. The taxes, insurance, legal and accounting costs are estimated at 2.5% of direct costs. 4. An approximately $1,700 per unit allowance for marketing and leasing costs is provided. 5. The Developer Fee is set at $2.41 million, which is the maximum amount allowed to be included in the Project by TCAC. 6. An indirect cost contingency allowance equal to 5% of other indirect costs is provided. KMA estimates the total indirect costs at $8.18 million. 1905019:SA:TRB 19090.017.019 FO Judson Brown, City of Santa Ana 1126-46 E. Washington Ave: Preliminary Financial Gap Analysis Financing Costs The financing costs for the Project are estimated as follows: EXHIBIT 2 May 22, 2019 Page 7 1. The construction period and absorption period interest costs are estimated at $1.21 million. This estimate is based on the following assumptions: a. A $24.08 million construction loan; b. A 4.38% interest rate; C. An 18-month construction period with a 60% average outstanding loan balance; and d. A 3-month absorption period with a 100% average outstanding loan balance. 2. The financing fees for the construction and permanent loans are estimated at 1.50 points, or $505,000. 3. A $248,000 capitalized operating reserve account is provided. This equates to approximately three months of operating expenses and debt service payments. 4. The Tax Credit fees are estimated at $115,000 based on the following: a. A $2,000 application fee; b. A $410 per unit monitoring fee; and C. Four percent (4%) of gross Tax Credit proceeds for one year. KMA estimates the total financing costs at $38.69 million. Total Development Costs As shown in Table 1, KMA estimates the total development costs at $36.69 million, which equates to approximately $449,900 per unit. In comparison, the Developer estimates the total development costs at $38.73 million. This equates to a less than 1% differential, which can be considered an insignificant difference. 1905019:SA:TRB 19090.017.019 FO EXHIBIT 2 Judson Brown, City of Santa Ana May 22, 2019 1126-46 E. Washington Ave: Preliminary Financial Gap Analysis Page 8 Stabilized Net Operating Income (Table 2) The Project's funding sources include Tax Credits, HOME funds and NSP funds. In addition, the Housing Authority Parcel was purchased with Property Tax Increment Housing Set -Aside (Set -Aside) Funds. These programs all publish the applicable income limits for households that are qualified to reside in the development. TCAC and the HOME Program publish rent standards for projects that receive Tax Credits and HOME funds, respectively. Comparatively, Health and Safety Code Section 50053 defines the methodology that must be used to calculate the affordable housing costs for projects that include Set -Aside Funds. The Developer will be required to adhere to the strictest of the standards imposed by the funding sources contributed to the Project. Achievable Rent Income The rents used in this analysis are based on 2019 information published by TCAC and HCD, and 2018 information published by the HOME Program.' For the purposes of this analysis, KMA set the HOME rents at the Low HOME standard; however, only 20% of the HOME -designated units need to be restricted to Low HOME rents. The maximum allowable rents, net of the appropriate utility allowances, are estimated as follows:' 30% Moderate Low Applicable TCAC H&SC HOME Rents Rent Restriction Studios $575 $1,837 $909 $575 1-Bedrooms 611 2,097 969 611 2-Bedrooms 723 2,345 1,152 723 3-Bedrooms 825 2,592 1,321 825 4-Bedrooms 907 2,783 1,460 907 3 As of May 22, 2019, HUD had not yet published the 2019 HOME rents. 4 The monthly utility allowances are estimated at: $48 for studio units; $56 for one -bedroom units; $78 for two -bedroom units; $100 for three -bedroom units; and $125 for four -bedroom units. 1905019:SA:TRB 19090.017.019 FO • Judson Brown, City of Santa Ana 1126-46 E. Washington Ave: Preliminary Financial Gap Analysis EXHIBIT 2 May 22, 2019 Page 9 The Developer will request 43 PBVs from the County for the Project. The PBV payments are equal to the difference between the tenants' rent payments and the fair market rents (FMRs) approved by the County. The 2019 FMRs for the Project are estimated as follows: Studio Units $1,362 One -Bedroom Units $1,470 Two -Bedroom Units $1,807 Estimated Effective Gross Income KMA estimates the Project's effective gross income at approximately $1.05 million based on the following assumptions: 1. The base rental income is estimated at $705,900. 2. The PBV income is estimated at $432,100. 3. Laundry and miscellaneous income is estimated to average $6 per unit per month for a total of $6,200 per year. 4. A vacancy and collection allowance equal to 7.5% of gross affordable income is provided. This equates to $53,400. A vacancy and collection allowance for Section 8 Subsidy equal to 10% of gross subsidy income is provided. This equates to $43,200 Estimated Operating Expenses The operating expenses are estimated at $705,900 based on the following assumptions: 1. The general operating expenses are estimated at $5,880 per unit per year. 2. KMA assumes the Developer will apply for the property tax abatement that is accorded to non-profit housing organizations that own and operate apartment units that are restricted to households earning less than 80% of the Median. The 1905019:SA:TRB 19090.017.019 FO Judson Brown, City of Santa Ana 1126-46 E. Washington Ave: Preliminary Financial Gap Analysis EXHIBIT 2 May 22, 2019 Page 10 Developer estimates that the Project will incur $2,000 per year in property tax assessment override costs. 3. The Developer is proposing to provide social services at an estimated cost of $170,000 per year. 4. The Project will be subject to a County monitoring fee estimated at $2,400 per year. 5. The Developer provided an allowance for replacement reserve deposits at $300 per unit per year. This exceeds the minimum amount required by TCAC. Stabilized Net Operating Income The Project's effective gross income is estimated at $1.05 million, and the operating expenses are estimated at $705,900. This results in an estimated stabilized net operating income of $341,700. Financial Gap Calculation The financial gap is estimated by deducting the available outside funding sources from the Project's total development costs. The outside funding sources anticipated to be received by the Project are described in the following sections of this analysis. Available Funding Sources Permanent Loan To estimate the maximum permanent loan that can be supported by the Project's NO[, KMA assumed that the loan would be underwritten based on the following requirements: 1. A 120% debt service coverage ratio; 2. A 5.50% interest rate; and 3. A 15-year amortization period. Based on these assumptions, KMA estimates that the $341,700 NOI can support a $2.90 million permanent loan. 1905019:SA:TRB 19090.017.019 FO • EXHIBIT 2 Judson Brown, City of Santa Ana May 22, 2019 1126-46 E. Washington Ave: Preliminary Financial Gap Analysis Page 11 Federal Tax Credit Proceeds Tax Credit Basis KMA estimates the net Federal Tax Credit proceeds at $18.99 million. This estimate is based on the following assumptions: 1. The Project's eligible Tax Credit basis is equal to the lesser of the depreciable costs for the 86 Tax Credit units, or the threshold basis limits established by TCAC. In this case, the Project's depreciable costs are estimated at $30.42 million, and the threshold basis limits applied by TCAC equal $33.64 million. 2. To increase the competitiveness of the Project's Tax Credit application in the TCAC tiebreaker process, the Developer is proposing to voluntarily exclude a portion of the eligible Tax Credit basis. 3. The Project is not located in a designated "Difficult to Develop" census tract. 4. The current Tax Credit regulations set the annual Tax Credit rate at 9.0%. This rate is applied over the 10-year Tax Credit period. 100% of the Project's building area is located in units that qualify for Federal Tax Credits. 6. The net syndication value supported by the Tax Credit is ultimately determined based on competitive market conditions and on the timing of the disbursements. Based on currently available information, KMA and the Developer estimate the proceeds at $0.98 per gross Federal Tax Credit dollar. State Tax Credits Since the Project is not located in a "Difficult to Develop" census tract, the Project will apply for State Tax Credits awarded by TCAC. The net syndication value supported by the State Tax Credit is ultimately determined based on competitive market conditions and on the timing of the disbursements. Based on currently available information, KMA and the Developer estimate the State Tax Credit proceeds at $0.77 per gross State Tax Credit dollar, which equates to $5.0 million in State Tax Credit proceeds. 1905019:SA:TRB 19090.017.019 EXHIBIT 2 Judson Brown, City of Santa Ana May 22, 2019 1126-46 E. Washington Ave: Preliminary Financial Gap Analysis Page 12 OCHA PSH Loan The Developer is proposing to apply for $2.28 million in permanent supportive housing funds awarded by the Orange County Housing Authority. County Capitalized Ground Rent Payment The County's Capitalized Ground Rent Payment is estimated at $2.50 million. This amount will be secured by a promissory note on the property and be repaid through a share of the Project's residual receipts. City Capitalized Ground Rent Payment The City's Capitalized Ground Rent Payment is estimated at $3.08 million. This amount will be secured by a promissory note on the property and be repaid through a share of the Project's residual receipts. Deferred Developer Fee The Developer is not proposing to defer any of the Developer Fee as a permanent funding source. Total Available Funding Sources As shown in Table 3, the outside funding sources available to the Project are estimated at $34.75 million. In comparison, the Developer estimates the available outside funding sources at $34.76 million. This equates to an approximately $16,000 differential, which is due to a slight difference in vacancy and collection allowance assumptions between KMA and the Developer. Estimated Financial Gap Based on the preceding analysis, KMA estimates the Project's financial gap as follows: Total Development Costs $38,688,000 (Less) Total Available Outside Funding Sources (34,746,000) Financial Gap $3,942,000 Per Unit $45,800 1905019:SA:TRB 19090.017.019 Fo I P M Judson Brown, City of Santa Ana 1126-46 E. Washington Ave: Preliminary Financial Gap Analysis EXHIBIT 2 May 22, 2019 Page 13 As shown in the table above, KMA estimates that the Project exhibits a $3.94 million financial gap. In contrast, the Developer is requesting $3.97 million in financial assistance from the City. This represents a $30,000 differential, which is a less than 1% difference. It is the KMA opinion that a difference of this magnitude can be considered insignificant. CONCLUSIONS / RECOMMENDATIONS The following summarizes the conclusions of the KMA analysis: 1. Based on the currently available information, it is KMA's conclusion that the Developer's request for $3.97 million in financial assistance is supported by the Project economics. However, given the preliminary nature of the proposal, if the scope of development or financing assumptions change, the KMA analysis may need to be updated accordingly. 2. The Developer initially requested to ground lease the Housing Authority Parcel for a 99-year ground lease term. At a minimum, the ground lease term must be set at 57 years to comply with TCAC's requirements. However, based on the KMA analysis and discussions with the Developer, it was determined that a shorter ground lease term is sufficient to meet the requirements of most lenders and Tax Credit investors. As such, KMA recommends that the Housing Authority work with the Developer and the County to negotiate a ground lease term between 57 — 75 years. Additionally, the Housing Authority, County and Developer should work to negotiate the specific terms of the ground leases. 3. The City / Housing Authority should discuss the proposed residual receipts distributions with the County and the Developer. 4. It is important to note that 100% of the affordable units will be restricted to extremely low income households. As such, the only reason the Project is operationally feasible is due to the 43 PBVs proposed to be provided by the County. If the PBVs are terminated, the Project's net operating income will go negative immediately, which could pose a risk of foreclosure if this occurs during the permanent loan term. 1905019:SA:TRB 19090.017.019 FO Judson Brown, City of Santa Ana EXHIBIT 2 May 22, 2019 1126-46 E. Washington Ave: Preliminary Financial Gap Analysis Page 14 5. Based on a preliminary HOME Cost Allocation Analysis, the City must designate at least 15 units in the Project as HOME units per the following unit mix: a. Three (3) studio units; b. Four (4) one -bedroom units; C. Four (4) two -bedroom units; d. Three (3) three -bedroom units; and e. One (1) four -bedroom unit. 6. At least 20% of the HOME -designated units must be designated as Low HOME units. This equates to three Low HOME units based on a 15-unit HOME Requirement. The remainder of the HOME -designated units can be restricted as High HOME units. 7. It is important to note that the City cannot commit HOME funds to the Project until after all of the other funding sources have received formal commitments. At that time, the City must prepare a HOME Subsidy Layering Review in order to formally commit HOME funds to the Project. 1905019:SA:TRB 19090.017.019 FO EXHIBIT 2 TABLE 1 ESTIMATED DEVELOPMENT COSTS 1126-46 EAST WASHINGTON AVENUE SANTA ANA, CALIFORNIA I. Capitalized Ground Rent Payment II. Direct Costs Off -site Improvements On -site Improvements Surface Parking Costs Residential Building Costs Furnishings, Fixtures & Equipment Contractor Fees / General Requirements Construction Bonds/Insurance Construction Management Direct Cost Contingency Allowance Total Direct Costs III. Indirect Costs Arch, Eng, & Consulting Public Permits & Fees Taxes, Insurance, Legal & Accounting Marketing & Leasing Developer Fee Soft Cost Contingency Allowance Total Indirect Costs IV. Financing Costs Interest During Construction Financing Fees Construction Loan Permanent Loans Capitalized Reserves Operating Reserve TCAC Fees Total Financing Costs 3 99,317 Sf Land 2 3 99,317 Sf Land 110 Spaces 85,000 Sf GBA 14.0% Construction Costs 2.0°% Construction Costs 5.0% Other Direct Costs 85,000 Sf GBA 7.0% Direct Costs 3 86 Units 2.5% Direct Costs 86 Units ° 8.1% Eligible Basis 5.0% Other Indirect Costs S $24,081,000 Loan Amount $24,081,000 Loan Amount $2,904,000 Loan Amount $56 /Sf Land $5,580,000 $493,000 $30 /Sf Land 2,980,000 $3,000 /Space 330,000 $170 /Sf GBA 14,433,000 550,000 2,553,000 365,000 150,000 1,093,000 $270 /Sf GBA $22,947,000 $1,606,000 $35,465 /Unit 3,050,000 574,000 $1,744 /Unit 150,000 2,410,000 390,000 $8,180,000 4.38% Interest 1.50 Points 1.50 Points 3 Months Operating Expenses/ Debt Service 6 1,213,000 361,000 44,000 248,000 115,000 $1,981,000 V. JTotal Development Costs 86 Units $449,900 /Unit $38,688,000 Based on the estimated fair market value of the Housing Authority and County parcels. z Estimates assume Federal Davis Bacon and/or State prevailing wage requirements will be imposed on the Project. 3 Based on Developer estimate. The estimate should be verified by City staff. ° Based on the maximum amount allowed by TCAC. s Includes debt on the 81°% of the Tax Credit Equity which will not be funded during construction. Assumes an 18-month construction period with a 60% average outstanding balance and a 3-month absorption period with a 100% average outstanding balance. 6 Includes a $2,000 application fee; $410/unit monitoring fee; and 4% of the gross Tax Credit proceeds for one year. Prepared by: Keyser Marston Associates, Inc. Filename: 112646 E Washington_5 22 19; PF; trb 80 B-33 EXHIBIT 2 TABLE 2 STABILIZED NET OPERATING INCOME 112646 EAST WASHINGTON AVENUE SANTA ANA, CALIFORNIA I. Gross Income ' Manager's Unit 1 Unit $0 /Unit/Month $0 Base Rental Income TC @ 30%Median/Low HOME/Moderate H&SC Studio Units @ (400-Sf) 16 Units $575 /Unit/Month 110,400 1-Bedroom Units @ (600-50 26 Units $611 /Unit/Month 190,600 2-Bedroom Units @ (850-Sf) 21 Units $723 /Unit/Month 182,200 3-Bedroom Units @ (1,100-Sf) 17 Units $825 /Unit/Month 168,300 4-Bedroom Units @ (1,300-Sf) 5 Units $907 /Unit/Month 54,400 Operating Subsidv PBV Subsidy -TC Cw 30% Median/Low HOME/Moderate H&SC Studio Units @ (400-Sf) 16 Units $787 /Unit/Month 151,100 1-Bedroom Units @ (600-Sf) 26 Units $859 /Unit/Month 268,000 2-Bedroom Units @ (850-5f) 1 Unit $1,084 /Unit/Month 13,000 Laundry/Miscellaneous Income 86 Units $6 /Unit/Month 6,200 Gross Income $1,144,200 (Less) Vacancy & Collection Allowance 7.5% Affordable Income (53,400) (Less) Vacancy & Collection Allowance 10.0% Section 8 Subsidy (43,200) Effective Gross Income $1,047,600 Operatine Expenses General Operating Expenses 86 Units $5,880 /Unit $505,700 Property Taxes ' 86 Units $23 /Unit 2,000 Services 86 Units $1,977 /Unit 170,000 PSH Monitoring Fee 2,400 Replacement Reserve 86 Units $300 /Unit 25,800 Total Operating Expenses 86 Units $8,208 /Unit $705,900 Ill. IStabilized Net Operating Income $341,700 t Based on Orange County Incomes distributed by HUD/HCD in 2019. The rents are based on those published in 2018 by the HOME Program, and in 2019 by TCAC and the CA HSC Section 50053 calculation methodology. Utility Allowances per the Developer: $48 for studio units; $56 for 1-Bdrm units; $78 for 2-Bdrm units; $100 for 3-Bdrm units and $125 for 4-Bdrm units. z Based on Developer estimate. Assumes that the Developer will receive the property tax exemption available to non-profit housing organizations that own and operate apartment units restricted to households earning less than 80%AMI. Prepared by: Keyser Marston Associates, Inc. Filename: 1126-46 E Washington_5 22 19; PF; trb Q U B-3 A EXHIBIT 2 TABLE 3 FINANCIAL GAP CALCULATION 1126-46 EAST WASHINGTON AVENUE SANTA ANA, CALIFORNIA I. Available Funding Sources Permanent Loan ' Stabilized Net Operating Income $341,700 NO1 (See Table 2) Income Available for Mortgage 1.20 DCR Interest Rate/Mortgage Constant 5.50°% Interest Rate Permanent Loan Federal Tax Credit Equity Gross Tax Credit Value Syndication Rate Net Federal Tax Credit Equity State Tax Credit Equity Gross Tax Credit Value Syndication Rate Net State Tax Credit Equity OCHA PSH Loan 3 County Capitalized Ground Rent Payment 3 City Capitalized Ground Rent Payment 3 Deferred Developer Fee Total Available Funding Sources If. Financial Gap Calculation Total Development Costs (Less) Total Available Funding Sources $19,372,000 $0.98 /Tax Credit Dollar $6,457,000 $0.77 /Tax Credit Dollar 0% Total Developer Fee $284,750 Debt Service 9.81% Mortgage Constant $2,904,000 $18,982,000 $4,999,000 $2,281,000 $2,500,000 $3,080,000 $38,688,000 (34,746,000) $34,746,000 Total Financial Gap 85 Units $45,800 /Unit $3,942,000 3 Assumes a 15-year amortization period. 2 Assumes a $21.5 million requested unadjusted eligible basis, which includes a $8.89 million voluntary basis reduction, a 100°%difficult-to-develop premium, a 9.0%Tax Credit rate, and an applicable fraction of 100°%. 3 Based on Developer estimates. Prepared by: Keyser Marston Associates, Inc. Filename: 1126-46 E Washington-5 22 19; PF; trb 80 B-35 i0:cn--im TABLE 4 HOME COST ALLOCATION WORKSHEET - STANDARD MODEL 1126-46 EAST WASHINGTON AVENUE SANTA ANA, CALIFORNIA Step 1: Determine Comparability, Select Method of Cost Allocation Step 2: Proposed HOME Investment Step 3: Calculate Actual Cost of HOME Units Total Development Costs ' Ineligible Development Costs z Unit -Specific Upgrades Relocation Costs Assign Relocation Exclusively to HOME Units? Net Residential SF 65,900 $3,007,489 $38,733,621 (1,290,817) 0 0 NA Base Project Cost $568 /Sf Gross Residential SF $37,442,804 Asstan Units # of Bdrms Unit Size Cost Unit 1 Studio 400 $227,270 2 Studio 400 $227,270 3 Studio 400 $227,270 4 1 500 $284,088 5 1 Soo $284,088 6 1 500 $284,088 7 1 500 $284,088 8 2 850 $482,950 9 2 850 $482,950 10 2 850 $482,950 11 2 850 $482,950 12 3 1,100 $624,994 13 3 1,100 $624,994 14 3 1,100 $624,994 15 4 1,300 $738,629 Subtotal HOME Unit Costs $6,363,572 Add: Relocation Costs Allocated Exclusively to HOME Units (if applicable) $0 Actual Cost of HOME Units $6,363,572 Step 4: Calculate Maximum Project Subsidy Unit Size # of Units Max Subsidy/Unit Maximum Subsidy 0 Bedroom 3 $147,074 $441,222 1 Bedroom 4 $168,600 674,400 2 Bedroom 4 $205,502 822,008 3 Bedroom 3 $265,229 795,687 4 Bedroom 1 $291,114 291,114 Maximum Project Subsidy 15 $3,024,431 Step 5: Maximum HOME Investment, Lesser of Proposed Investment (Step 2) $3,007,489 Actual Cost of HOME Units (Step 3) $6,363,572 Maximum Project Subsidy (Step 4) $3,024,431 Maximum HOME Investment 15 HOME Units $3,007,489 The ineligibe costs include: off -site improvements, capitalized reserves and furnishings. Prepared by: Keyser Marston Associates, Inc. Filename: 1126-46 E Washington_5 22 19; HOME; trb 80 B-36 IT 3 Q Li Q O o Q CD CD(D CD U) — ® z� o a u.i V1LLD V us LU `° N T � FO EXHIBIT 3 C �P LL +--� N0 v 0 0 0 Ln coo 0 i ti 0 m ri I c 2 LO I N o o a N a 0 o N ff +I w o rl o M \ N \ NN N o 0 C er-4 N N � N co U LL X N c G E 0 E 0 o 0 E 0 m • = C o o c c ` m a m Ol '0 N mi 5 :° c 0 E ljiLqooMoo 0 e �onFa_, Q LLB Q LLI ii -9 7 h Q N V i fC .00 z 0 0 z 0 V z LU w cz Ln Ln J z Q w V1 1 f 3 a a � E � u E •d � C Y � VI r. O N 01 V (Ln0 O W I~O ++ O W W {A 31T 3 Ii1 w _z Q J J IrN W LU N d acr 7 Q s O LOO Z l� MAn If I .A_ :1. __ 2M t1v UJI J Q UJ LLJ CD EXHIBIT 3 n\, 14 7ekil — A . Y!:, . t. Tolm Q W Q W Ix III♦ l7 l/1 W 0 J Q 1 L.J z 0 V EXHIBIT 3 G G O V N N ¢ N C 1- v; C 0 os C p C H N [�m II? M ID m EXHIBIT 3 4% Y EXHIBIT 3 EXHIBIT 3 0 W Q J W L cn w L7 Q J Q n w V z 0 V 1i Loe l m • REQUEST FOR COUNCIL/ HOUSING AUTHORITY ACTION CITY COUNCIL MEETING DATE: JULY 2, 2019 TITLE: FIRST AMENDMENT TO REGINA HOUSE LOAN AGREEMENT AND AFFORDABLE HOUSING COVENANTS TO MODIFY THE REGINA HOUSE TRANSITIONAL HOUSING PROGRAM TO BECOME A PERMANENT HOUSING FACILITY (STRATEGIC PLAN NO. 6, 3) CITY MANAGEV EXECUTIVE DIRECTOR RECOMMENDED ACTION CITY COUNCIL CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 151 Reading ❑ Ordinance on 20d Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and the Clerk of the Council to execute a First Amendment to the Regina House Loan Agreement and Affordable Housing Covenants with Mercy House Living Centers, formerly known as Mercy House Transitional Living Centers, to modify the Regina House transitional housing program to become a permanent housing facility serving large families, subject to non -substantive changes approved by the City Manager and City Attorney. HOUSING AUTHORITY Authorize the Executive Director of the Housing Authority and the Recording Secretary to execute a First Amendment to the Regina House Loan Agreement and Affordable Housing Covenants with Mercy House Living Centers, formerly known as Mercy House Transitional Living Centers, to modify the Regina House transitional housing program to become a permanent housing facility serving large families, subject to non -substantive changes approved by the Executive Director of the Housing Authority and Authority General Counsel. COMMUNITY REDEVELOPMENT AND HOUSING COMMISSION RECOMMENDATION At its regular meeting on Jun 26, 2019, the Community Redevelopment and Housing Commission (CRHC) recommended approval of the action above by a vote of 8:0 (Garcia absent). 80C-1 First Amendment to Regina House Loan Agreement and Affordable Housing Covenants July 2, 2019 Page 2 DISCUSSION On April 11, 2006, the City of Santa Ana and the former Community Redevelopment Agency of the City of Santa Ana (RDA) entered into a Housing Development Loan Agreement and Affordable Housing Covenants with Mercy House Transitional Living Centers (Mercy House) for the rehabilitation of the Regina House Project located at 1505, 1507 and 1509 N. Bush Street, Santa Ana, CA. Mercy House has operated Regina House exclusively as a transitional housing program for homeless single women and their children within the community since 1994. At the time of the Loan Agreement in 2006, the City provided HOME Investment Partnerships Program (HOME) funds and RDA tax increment funds for the rehabilitation of the property. At the time of committing the HOME funds, the HOME Program allowed funds to be used for transitional housing. In accordance with the loan agreement and funding regulations, the City has continued to monitor Regina House to ensure compliance with the loan documents, regulations, and affordable housing covenants. In July 2017, Mercy House began operation of the Family Care Center, a 56-bed year round emergency shelter located in the City of Orange that serves homeless families with children. The shelter is within a network of three other family shelters that have been created in Orange County over the past four years known as the Family Shelter Network. Additionally, in November of 2018, Mercy House was named as the operator of The Link, a 200-bed interim emergency shelter in the City of Santa Ana that provides beds for both homeless individuals and families. The advent of these larger year-round shelters for families, has replaced the need for Mercy House to continue to operate Regina House as a transitional shelter. Furthermore, as demonstrated in the Business Plan and analysis of Orange County's housing market (Exhibit 1), there is a strong need in the community for the development of affordable housing for low-income families, including those who were formerly homeless and have a number of barriers to secure housing. In order to address this need, "Regina House" will be modified to "Regina Residence" exclusively providing permanent housing with supportive services for low-income families. The Regina House Permanent Housing Program will be designed to provide low-income permanent housing with supportive services to two (2) large sized, low-income families. Mercy House staff will provide supportive services including case management, resource referrals, and life skills. Supportive services for residents will be provided on a voluntary basis; however residents will be assertively and respectfully encouraged to participate in the supports and services available to them. Mercy House now seeks to amend the Housing Development Loan Agreement and Affordable Housing Covenants to allow for the project to become permanent affordable housing with supportive services, instead of a transitional shelter (Exhibit 2). Although this amendment will reduce the number of transitional shelter beds in the City of Santa Ana, the key difference is that these beds are being converted into permanent supportive housing units for large families. There are less permanent supportive housing units in Santa Ana, relative to emergency shelter beds, and this amendment will create more opportunities to secure permanent supportive housing for those individuals and families who no longer need transitional housing. 80Ci-2 First Amendment to Regina House Loan Agreement and Affordable Housing Covenants July 2, 2019 Page 3 STRATEGIC PLAN ALIGNMENT The activities covered by this report allow the City to meet Goal # 5 (community Health, Livability, Engagement & Sustainability), Objective # 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). FISCAL IMPACT There is no fiscal impact associated with this action. / \ — Steven A. Mendoza �— Executive Director Community Development Agency Exhibits: 1. Regina House Business Plan 2. First Amendment to Housing Development Loan Agreement and Affordable Housing Covenants r �„1„�)F+r7�g41'lpyitJ, �Yj41 1,1` i .]v .Vi,hi`.fi1 EXHIBIT 1 Executive Summary On April11, 2006, the City of Santa Ana and the former Community Redevelopment Agency of The City of Santa Ana (RDA) entered into a Housing Development Loan Agreement and Affordable Housing Covenants with Mercy House Transitional Living Centers (Mercy House) for the rehabilitation of the Regina House Project located at 1505, 1507 and 1509 N. Bush Street, Santa Ana, CA. Mercy House has operated Regina House exclusively as a transitional housing program for homeless single women and their children with in the community from since 1994. At the time of the loan agreement in 2006, the City provided HOME Investment Partnership Program (HOME Program) and RDA tax increment funds for the rehabilitation of the property. In July 2018, Mercy House begun operation of the HomeAid Orange County Family CareCenter, a 56-bed year round emergency shelter located in the City of Orange that serves homeless families with children. The shelter is within a network of three other family shelters that have been created in Orange County over the past four years known as the Family Shelter Network. The advent of these larger year round shelters for families has replaced the need for Mercy House to continue to operate Regina House as a transitional shelter. Furthermore, as demonstrated in the analysis of Orange County's housing market, there is a strong need in the community for the development of affordable housing for low-income families including those who are formerly homeless and have a number of barriers to securing housing. This document demonstrates Mercy House's plan to modify Regina House from its current state as a transitional shelter to a facility exclusively providing permanent housing with supportive services for low-income and/or formerly homeless families. Page 1 1 1 ., EXHIBIT 1 Organization Summary Mercy House Living Centers ("Mercy House") is a non-profit organization serving the homeless in Orange County, San Bernardino County, Riverside County and most recent expansion into Arizona. The non-profit was incorporated in 1988, began operations in 1990 and has been able to operate successful homeless service programs for over 29 years. Mercy House was quickly grown from a single shelter serving 10 single men, to a full system of care designed to meet the needs of the homeless at all stages of their struggle. In the past year, Mercy House provided services to more than 6,000 of our community's most vulnerable men, women, and children. Though our services have expanded and changed, our mission and reason for existence remains the same: to end the homelessness of all who enter our system of care. Over the years we have created a system of care based on a blend of both continuum of care and housing first models of ending homelessness. This includes operating a variety of programs ranging from homeless prevention, emergency services and shelters, transitional and interim housing, rapid re -housing programs, permanent supportive housing, residential services and affordable permanent housing facilities. The intention of these programs is to address homelessness at every level. The diversity of these programs has also afforded us the experience of working with a wide variety of homeless subpopulations including, but not limited to; families, adult men and women, mothers and their children, veterans, chronically homeless individuals, persons living with HIV/AIDS, individuals overcoming substance addictions, and those who are both physically and/or mentally disabled. Mission Mission Statement: To be a leader in ending homelessness by providing a unique system of dignified housing opportunities, programs, and supportive services. Operational Statement: To end the cycle of homelessness of those who enter our system of care. Page 1 2 80C-% EXHIBIT 1 2017-2018 Statistics Our Results: lie 14 Last year, Mercy House set a goal to end or prevent the homelessness of 1,300 men, women. and children. We surpassed that goal and provided a permanent housing A(% - -� (R 'Yq solution to 1,570 men, women and children in our communities. Housing Portfolio ::91..Cf"'TL�iLC�"'Ti'TM�C`.Cu�:::if:�rsGe'LCiIF+'i3.kltli 300 225 150 75 g 281 units c .N 0 0 L C — c. o u a v cw o 0 276 150 80 75 41 units units units units units Page 1 3 FOODIWOO EXHIBIT 1 Legal Entity Mercy House is a nonprofit 501(c) (3) organization founded in 1988 by Father Jerome T. Karcher. Mercy House has developed a continuum of care of provide homeless prevention, emergency shelter and services, transitional housing, and permanent housing with supportive services to homeless men, women, and children living in Orange County, San Bernardino County, Riverside County, and Phoenix, Arizona. Tax I D: 33-0315864 Until 2009, Mercy House was known as Mercy House Transitional Living Centers. With the development of the Rapid Re -Housing Program and the Family Redirection Program, it became clear that permanent housing had emerged as a more viable solution to ending homelessness for many clients. On February 6, 2009, Mercy House changed its name to Mercy House Living Centers. Keys to Organizational Success • Build and leverage strong, active board of directors. • Only engage in projects and services that support identified primary strategic programs • Continue to design and implement strict financial controls and accountability • Align programs and services to national best practices to ensure effective service, delivery, better housing outcomes and increased cost effectiveness. Organizational Management Board of Directors The Board of Directors exists to advocate on behalf of the homeless. This entity has a responsibility to the agency to co -create and provide resources necessary for the mission and strategic development of Mercy House with the Executive Director. Board members are expected to contribute financially to the agency and secure outside monetary contributions through personal and corporate contacts. It is an expectation that the Board members attend bi-monthly meetings where they review important and relevant information relating to the agency's mission. Subcommittees of the Board address specific needs including strategic planning, fundraising and resource development, board development, overseeing audit activities, legal, human resources and agency finances. The Board holds responsibility for the operation of Mercy House. The Executive Director's performance is managed by the Board. This allows the staff (including the Executive Director) to be held accountable to ensure effective service delivery, honest use of funds, and dignified general operations. Page 1 4 ::/:1r: M Our current Board of Directors is a mix of 20 members, including participation by a formerly homeless individual. They come from a variety of sources, with varying professions. Some have been with Mercy House since its inception and have seen the agency through its entire history, whereas, others are new and bring an outside perspective. Executive Leadership Larry Haynes is the driving force behind the organization and fills the executive director role since 1990. His accomplishments include: • More than 29 years' experience as Executive Director of Mercy House, one of the longest tenures in Orange County, Calif. • Grew current agency from the smallest most unstable shelter provider to one of the most respected homeless service providers in Orange County and throughout Southern California. • Increased current agency's financial position from $20,000 in cash and no assets to an agency with several million dollars in assets, three months operating reserve, and no current debt service. • Speaker at numerous local, state, and national workshops and conferences on homelessness, housing, and leadership issues. • Led Mercy House in winning contract and operating the Orange County Cold Weather Armory Emergency Shelter in 2008, increasing services and security while serving more than 2,000 unduplicated homeless individuals during a five -month period annually. • Created and acquired funding for the Family Redirection Program during the Armory program, preventing hundreds of families with children from having to spend a night in an armory. Since inception this program has served nearly 2,000 families including more than 7,000 parents and children. Patti Long -Associate Director As Associate Director, Patti oversees and is responsible for all of the daily activities of the agency, concretely implementing on behalf of the Executive Director the agency's mission as defined by the Board of Directors. All staff, with the exceptions of the Executive and Housing Directors, report to the Associate Director. The Associate Director reports to the Executive Director. Further responsibilities include managing and supervising identified staff, and coordinating trainings and orientations when needed. Elizabeth Andrade -Chief Operations Director As Chief Operations Director, Elizabeth oversees a significant portfolio of program and development activities and well as serve as a critical member of the executive management team. She directly supervises six directors working to build their skills and confidence so that they can mentor, encourage, and motivate other staff. The portfolio includes: 1) Strategic Leadership and Special Initiatives; 2) Program Oversight including Emergency Shelter and Page 1 5 80C-10 EXHIBIT 1 Services, Housing Strategies for Families, Permanent Supportive and Rapid Rehousing Programs; and 3) Development Activities. Linda Wilson - Housing Director As Housing Director, Linda oversees the agency's housing programs, partner relations, and significantly assists with special projects that add meaningful value to the agency's system of care. She assists the Executive Director with the development of new housing projects, designs and implements ongoing operations for supportive housing programs, serves as a housing specialist and provides requested training and consultation services. She also manages the Mercy House CHDO processes and is a key staff member for Mercy House CHDO, Inc., the housing development wing of Mercy House. Sarah Jones - Orange County Director of Housing Strategies As the Orange County Director of Housing Strategies, Sarah's primary responsibilities include program management, program development, and community relations. This entails overseeing our Emergency Shelter and Services Program for families at Regina Residence, Bethany House, Family Care Center, Rapid Rehousing, Homeless Prevention and our South County Outreach programs. She is responsible for leading the team to meet our program goals, increase their professional development, and assure quality control of our services. She reports directly to the Chief Operations Director and works closely with the Director of Housing Stabilization. Allison Davenport - Program Development and Compliance Director As the Program Development and Compliance Director, Allison is responsible for providing support to the Associate Director to ensure effective and compliant service delivery of existing and expansion projects. This position manages the agency's public and private grants including procurement, compliance, contracts and reporting. This position also manages and oversees the agency data and program evaluation. She reports directly to the Associate Director. Management of Finances Mercy House recognizes it is responsible for establishing and maintaining effective internal controls to ensure compliance with laws, regulations, contracts, and grants applicable to federal, state, local, and private funding. As a result, Mercy House has established fiscal accounting procedures in accordance with the Financial Accounting Standards Board (FASB) and as needed, GASB. Page 1 6 80C-11 WN Im I M. M Mercy House follows certain precepts in the conduct of its activities that include: • A Board of Directors to oversee business activities • Written policies for all accounting procedures and internal controls • Separation of accounting duties and responsibilities • Use software for accounting procedures that can track how grant money is spent • An annual outside audit after the fiscal year end (June 30) The objective of these practices is intended to: • Provide a reasonable assurance that all assets are safeguarded against loss by unauthorized use or disposition • Ensure all transactions are executed in compliance with management authorizations and are recorded properly and accurately in accordance with generally accepted accounting principles • Adequately maintain records and internal control procedures to ensure compliance with laws and regulations Mercy House has a full-time Controller and supporting accounting team, who are responsible for the following bookkeeping activities: managing accounts payable, cash receipts and payroll; preparing monthly financial statements and grant billings and assisting with the annual budget and audit. Our Associate Director oversees all financial activities. Our Controller and Associate Director will review financial statements and budgets with each Program Manager on a regular basis and will make adjustments on spending as necessary. We utilize a fund accounting system designed specifically for non-profit agencies. We use a cash -basis accounting system. Our Controller prepares the following reports on a monthly basis: balance sheet, profit and loss statement, general ledger, grant general ledgers, a functional expense report, and other reports as needed and required. A Certified Public Accountant who is a member of the Board of Directors is responsible for reviewing all financial statements on a monthly basis, presenting the organization's financial status at monthly Board meetings, securing Board approval of financials and preparing the annual tax returns. Keys to Organizational Success • Build and leverage strong, active board of directors. • Only engage in projects and services that support identified primary strategic programs. • Continue to design and implement strict financial controls and accountability. • Align programs and services to national best practices to ensure effective service delivery, better housing outcomes and increased cost effectiveness. Page 1 7 80C-12 EXHIBIT 1 Market Analysis Causes of Family Homelessness There are a number of factors that contribute to family homelessness, including the challenge of raising children alone, fractured social supports, and the changing demographics of the family. More significant to the dilemma of family homelessness are: • Lack of affordable housing -According to the National Low Income Housing Coalition, the United States is facing increasing rents, stagnating wages, and an extreme shortage of affordable housing. For every 100 extremely low-income renters, there are just 31 affordable units. • Extreme poverty- In 2009, 17% of all American families with two parents and 34% of all single -parent families lived below the poverty line. Many families do not earn adequate wages, with one -fifth of all US jobs not paying enough to keep a family of four out of poverty. Families need an income twice as high as the Federal Poverty Level, on average, to meet their most basic needs. Decreasing government supports - In 1996 the federal welfare reform law replaced the Aid to Families with Dependent Children (AFDC) program with a block grant program called Temporary Assistance to Needy Families (TANF). However, these grants, combined with the Food Supplement Program, formally known as Food Stamps, require applicants to earn below poverty level in almost every state and while the number of poor people has increased in recent years, the number of people receiving TANF has decreased. Homelessness disrupts virtually every aspect of family life, damaging the physical and emotional health of family members, interfering with children's education and development, and frequently resulting in the separation of family members, with a much higher rate of separation for families that have experienced homelessness than others that have not. (Source: National Collation for the Homeless) Family homelessness in Orange County Key findings from the 2017 ORANGE COUNTY HOMELESS CENSUS AND SURVEY show that: • The 2017 count includes 398 households consisting of at least one adult and one child (families). These families include an estimated 1,265 people, with an average household 80C-13 EXHIBIT 1 size of three. Sixty-one percent of household members are children under the age of 18. 5.2% of these are unsheltered. • Homeless persons in households with children, represent 26% of the entire homeless population in Orange County The total number of families with children decreased from 451 to 398 (12%) between 2015 and 2017. The percent of the population that people in families represent also decreased, from 13% of all households and 31 % of all people experiencing homelessness in 2015, to 10% of households and 26% of people experiencing homelessness in 2017. Orange County Housing Challenges Further data from the Orange County Community Indicators Report (2017), present key indicators of homelessness and housing stability challenges for Orange County families including: Family Housing Security In 2015/16, there were 28,450 Pre-K through 12th grade students who were identified as homeless or living in unstable housing arrangements. Most of these students (25,545) live in families that are doubled- or tripled -up with another family. This number has grown 119% since 2006/07, when 11,646 students were living doubled -up. Since 2006/07, the number of students living in motels rose 64%, while the number students living in shelters rose 165% and the number of unsheltered students rose 119%. At 5.8% of total enrollment, Orange County has proportionately more students with insecure housing than the statewide average and all California regions compared except Riverside/San Bernardino. Family Financial Stability The 2015 Family Financial Stability Index (FFSI) indicates that 34% of neighborhoods in Orange County have concentrated level of family financial instability. This is an improvement since tracking began in 2012, when 39% of neighborhoods were unstable. The improvement in financial stability is driven largely by declining unemployment, while income and rent burden have not improved markedly. Rental Affordability In 2017, the hourly wage needed to afford a median -priced one -bedroom unit was $27.62, equivalent to an annual income of $57,440. This Housing Wage is up from $25.46 in 2016 and above the previous five-year average of $25.37. Workers earning above minimum wage, but below the Housing Wage of $27.62 may experience increased economic insecurity, as a larger proportion of their earnings must go towards housing. High rent burden can also lead to overcrowding and homelessness. Page 1 9 80C-14 EXHIBIT 1 $28/HOUR NEEDED TO AFFORD A ONE -BEDROOM MINIMUM WAGE INCREASES INSUFFICIENT IN THE IN ORANGE COUNTY FACE OF ORANGE COUNTY'S HEFTY RENT BURDEN Regional Comparison of the Hourly Wage Needed to Afford Rental Market Affordability in Orange County. 2016 end 2017 a One -Bedroom Unit. 2017 2016 2012 _ MEDIAN MARKET RENT (MONTHLY) ONESEDROOM S1,324 $1.436 TWO BEDROOM SI,672 $ 1,813 - — -- - -- - - - - - - - THREE BEDROOM S 2.327 S 2.531 i AMOUNT A HOUSEHOLD WITH ONE S 520 S 546 �- �- MINIMUM WAGE EARNER CAN AFFORD I TO PAY IN RENT (MONTHLY) p pi 3 "n ut z2 0 ° H 0 I NUMBER OF HOURS PER WEEK A 102 IOS a z o p 8 z 0 MINIMUM WAGE EARNER MUST Z ab < m n WORK TO AFFORD A ONE -BEDROOM APARTMENT - -- - - Sowcez'Carmumtylndlealms AFpaa anaHr=r NEan MarAet Rent Wra! Me Sou,ter COmnuNlY(ar3Catars Repwl ararysis ofFv'rhfarkel Rmr Qita/rmn On, US Cep., ol"o e`0x Ur Onelapaanz (ww�vAucSae �)useg US DepertmmtalHausi,g aM!/,Oen t bpmenr(mvwlWuznaq) um, dre IN,hefl.0 IYdlM Natia+allow pemne Hang Codd. (wnwNJrcagA' meflrodWa9Y o{lhe Na,.l!xr,,f one HousingC hvor(nmvrJn ) Gr+fo'Na Empgmmr Mrebpmml Cepvtmm!(xaw.eddoagav) Program Design and Strategic Changes Mercy House first began operation of the Regina House Transitional Shelter Program in 1990. It was designed to meet the needs of 7 homeless, single mothers and their children within the community. In July 2018, Mercy House begun operation of the HomeAid Orange County Family CareCenter, a 56-bed year round emergency shelter located in the City of Orange that serves homeless families with children. The shelter is within a network of three other family shelters that have been created in Orange County over the past four years known as the Family Shelter Network. The advent of these larger year round shelters for families has replaced the need for Mercy House to continue to operate Regina House as a transitional shelter. While the need for shelter beds has diminished there is still a strong need in the community for the development of affordable housing for low-income families including those who are formerly homeless. In order to address this need, "Regina House" will be modified to "Regina Residence" exclusively providing permanent housing with supportive services for low-income families. Regina Residence Permanent Housing Program The Regina House Permanent Housing Program will be designed to provide low-income permanent housing with supportive services to two (2) large sized, low-income families. Page 1 10 80C-15 MCI : I G I Mercy House reduces barriers such as poor credit and poor rental histories that tenants would otherwise be denied from in market based apartments operating in a low vacancy environment. By offering lower -threshold housing opportunities, we are ensuring that low- income families are not forced to continue living on the streets or in unsafe housing. Regina Residence also offers a system of support for these families. Mercy House staff will provide Housing Stabilization supportive services including case management, resource referrals and life skills. Supportive services for residents will be provided on a voluntary basis, however residents will be assertively and respectfully encouraged to participate in the supports and services available to them. Service coordination is "resident driven" as well as "needs -driven." In other words, an array of services are offered to all residents but additional services may be offered based on the individualized needs assessment or individual care plans. The targeted outcome for each family will be long-term, stable housing. Additionally, Mercy House will provide adequate staffing to address emergency needs and maintenance issues. By providing low -barrier, affordable housing with supportive services focused on housing stabilization we are preparing our residents to thrive in permanent housing at Regina Residence and throughout the community. Eligibility for Admission To be eligible for admission to the Regina Residence Permanent Housing Program, an applicant must be documented and of legal age (18 years of age or older). Every participant will be required to be under 80% Area Median Income at time of entry and throughout their stay meeting HOME program covenants on the property. Applicants will be considered when they complete the application packet and the following criteria are met: 1) Applicants verified income is $300 over the amount of resident's rent payment for non - voucher holders only. 2) Household's annual income does not exceed the low-income limits (80% of area median income) as established by HUD. 3) Household income is such that applicant can satisfactorily meet their debt obligations without subtracting from other necessary living expenses. This includes payment of rent, current debt payments and basic necessities. 4) No eviction history for a period of 2 years prior to entry 5) No history of criminal convictions for sex offenses, violent crimes and distribution of drugs. No outstanding felony warrants. Page 1 11 80C-16 6) No record of disturbance of neighbors, damage to or destruction of property, living or housekeeping habits at prior residences, which adversely affects the health, safety or welfare of other tenants. 7) Willing to participate in annual recertification meetings to verify income and continued eligibility. Residents for the Regina Residence Permanent Supportive Housing Program will be selected based on their eligibility as well as their need for low-income housing and the statutory purpose in leasing a socially and financially sound housing development, which provides not only a decent home and suitable living environment, but fosters economic and social diversity in the tenant body as a whole. Structure and Location Regina Residence is located in the City of Santa Ana in the French Court Neighborhood Association. Mercy House owns three properties in the same neighborhood and has been an active participant in the community since 1990. The Regina Residence property has access to grocery stores, restaurants and public transportation. The property is comprised of three units, two of which will be used for permanent housing with supportive services. Unit 1509 is a 3-bedroom unit and Unit 1505 is a 4-bedrom unit. Both units combined will serve up to 16 individuals, maintaining habitability standards. Each unit offers a kitchen, dining area, and living area and bathrooms as well as on -site laundry access. The third unit, 1507, will be retained as a program office. Residents of the facility will have access to a communal courtyard, gardens and playground area for children. Each household would be entitled to a designated parking spot located on the property. Any additional vehicles would be required to purchase a City of Santa Ana Parking permit. Zoning and Uses Mercy House is currently operating Regina House under Conditional Use Permit 92-4 that permits a carehouse facility for homeless women with children only. In May 2019, the CUP was reviewed by the Santa Ana Planning Department. It was determined that the current CUP would not need to be amended as the existing structures will be used in a way that is permitted by the existing zoning (single family residences). Once the structures are converted from a care facility to residences, the existing CUP will expire. Any future use of the properties as a care facility will require a new CUP. Page 1 12 80C-17 EXHIBIT 1 Rehabilitation for Use as Permanent Housing Facility The Regina Residence facility would require little rehabilitation to transition to a permanent housing facility. During the past year Mercy House made a number of major repairs to the unit including flooring and foundational upgrades and repairs. Prior to lease up Mercy House will inspect the units again for any necessary repairs and/or alterations in preparation for new low- income tenants. It is not anticipated that these repairs would significantly delay project start- up. Photos depicting some of the upgrades to the inferior of the units; completed in 2018. On -going Maintenance of the Facility Mercy House has on staff Maintenance Managers who are in charge of regular maintenance and repair of Mercy House's facilities including the Regina Residence facility. Mercy House also allocates a percentage of funding as replacement reserves that may be used for special projects to improve the facility and regular maintenance Project Sustainability The annual rental receipts anticipated through the proposed conversion will sustain both the supportive services and maintenance provided to the property. Page 1 13 EXHIBIT 2 FIRST AMENDMENT TO HOUSING DEVELOPMENT LOAN AGREEMENT AND AFFORDABLE HOUSING COVENANTS THIS FIRST AMENDMENT TO HOUSING DEVELOPMENT LOAN AGREEMENT AND AFFORDABLE HOUSING COVENANTS, made and entered into this 2nd day of Julv, 2019, by and between MERCY HOUSE LIVING CENTERS, formerly known as MERCY HOUSING TRANSITIONAL LIVING CENTERS, a Califomia non-profit public benefit corporation ("Developer'), the City of Santa Ana, a charter city and municipal corporation organized and existing under.the Constitution and laws of the State of California ("City"), and the Housing Authority of the City of Santa Ana acting as the -Successor Housing Agency to the Community Redevelopment Agency of the City of Santa Ana ("Agency"). RECITALS A. The City and Successor Housing Agency entered into a Housing Development Loan Agreement and Affordable Housing Covenants with Developer, dated April 11, 2006, to provide financial assistance from Redevelopment funds and the United States Investment Partnership Program ("HOME Program") for the rehabilitation of the Regina House Project located at 1505, 1507 and 1509 North Bush Street, Santa Ana, for the operation of a transitional living center for homeless, single mothers and their children ("said Agreement"). . B. Due to changing needs of the community, Developer is proposing to modify the Regina House transitional housing program to become a permanent housing facility serving large families. C. In accordance with the terms and conditions'of said Agreement, the Parties desire to amend said Agreement to allow the operation of permanent housing on the Property. NOW THEREFORE, in consideration of the mutual and respective covenants and promises hereinafter contained and made, and subject to all of the terms and conditions of said Agreement, except as herein modified, the parties agree as follows: Recital A shall be amended to read as follows: "Developer is the owner of certain real property located at 1505, 1507, and 1509 N. Bush Street, Santa Ana ("Property") described in the attached Exhibit A (legal description), that will be converted from a transitional shelter for homeless single mothers and their children to a permanent housing facility serving large families." �. Recital G, paragraph 2, shall be amended to read as follows: 80C-19 EXHIBIT 2 "thereafter to maintain, operate and professionally manage the Property as decent, ., safe, sanitary and affordable permanent housing." 3. Section 1.1, Defined Terms, the first sentence of the definition of "Property" shall be amended in pertinent part to read as follows: "fhe Property is located in the City of Santa Ana, and is used as a permanent housing facility serving large families." 4. Section 2.8, Prohibition Against Transfer of the Property, the first sentence shall be amended in pertinent part to read as follows: "City and Agency enter this Agreement in furtherance of the goal of rehabilitation of transitional low income housing into permanent housing serving large families, in reliance that Developer intends to maintain such housing use on the Property for the specified fifty-five (55) year term." read as follows: "failure of Developer or a subsequent owner to use the Property for the purpose of permanent housing for large families." 6. Section 7.1, Use and Maintenance of the Property, subsection (B) shall be amended to read as follows: "Use the Property only as a facility providing permanent housing for large families." 7. Except as hereinabove modified, all terms and conditions of said Agreement shall remain in full force and effect. (Signatures on following page) 2 80C-20 EXHIBIT 2 IN WITNESS WHEREOF, the parties hereto have executed this First Amendment to said Agreement the date and year first above written. ATTEST: NORMA MITRE Acting Clerk of the Council APPROVED AS TO FORM: SONIA R,,CjARVALHO City At)6ry{eyj By: _ Ryan CITY OF SANTA ANA Kristine Ridge City Manager HOUSING AUTHORITY OF THE CITY OF SANTA ANA STEVEN A. MENDOZA DEVELOPER ME CY HOUSE LIVING CENTERS LI-1 3 80C-21 80C-22