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HomeMy WebLinkAbout FULL PACKET_2019-10-01DRAFT MINUTES OF THE REGULAR MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA July 16, 2019 CLOSED SESSION MEETING REGULAR CLOSED SESSION MEETING OF THE CITY COUNCIL - JULY 16, 2019 - 1079InrixelV91:1V Mayor Pro Tern Villegas called the Closed Session to order at 5:18 p.m. Councilmember Solorio joined the meeting at 5:22 p.m. Mayor Pulido joined the meeting at 5:27 p.m. COUNCILMEMBERS Present: Mayor Pulido Mayor Pro Tern Villegas Councilmember Iglesias Councilmember Penaloza Councilmember Sarmiento Councilmember Solorio COUNCILMEMBERS Absent: Ward 4 councilmember representative resigned on Friday, March 1, 2019. Ial1:IANZK.1wIwl:1LIN16-M0 rem Mayor Pro Tern Villegas recessed the meeting to room 147 at 5:19 p.m. to discuss Closed Session Items 1-3 as listed on the agenda: 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: CONFERENCE WITH LEGAL COUNSEL - EXISTING LITIGATION pursuant to Paragraph (1) of subdivision (d) of Section 54956.9 of the Government Code: A) Alex Tran, et al. v. Elias Martinez, Jr., et al., OCSC Case No. 30-2017- 00945774-C U-PA-CJ C DRAFT CITY COUNCIL MINUTES 1 JULY 16, 2019 10A-1 B) City of Santa Ana v. Alda South, LLC et al., Orange County Superior Court Case No. 30-2017-00938576 2. CONFERENCE WITH LEGAL COUNSEL --ANTICIPATED LITIGATION pursuant to paragraph (2) OR (3) of subdivision (d) of Section 54956.9 of the Government Code: One case. 3. 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) Santa Ana Management Association (SAMA) CLOSED SESSION REPORT - The City Attorney will report on any action(s) to be taken at the Regular Meeting which will begin immediately following the Closed Session Meeting. MAYOR PULIDO ADJOURNED CLOSED SESSION AT 6:25 P.M. AND RECONVENED TO THE REGULAR OPEN SESSION MEETING AT 6:26 P.M. DRAFT CITY COUNCIL MINUTES 2 JULY 16, 2019 10A-2 REGULAR OPEN MEETING Mayor Pulido called the Regular Open Session to order at 6:26 p.m. COUNCILMEMBERS Present: COUNCILMEMBERS Absent: Mayor Pulido Mayor Pro Tern Villegas Councilmember Iglesias Councilmember Penaloza Councilmember Sarmiento Councilmember Solorio Ward 4 vacant. PLEDGE OF ALLEGIANCE - MAYOR PULIDO INVOCATION DOUG HARDIN, POLICE CHAPLAIN CEREMONIAL PRESENTATIONS SPECIAL PRESENTATION — Update on recent earthquake activity and preparedness by Orange County Fire Authority Division Chief James Henery. 2. CERTIFICATE OF RECOGNITION presented by COUNCILMEMBER SOLORIO recognizing the Friends of Santa Ana Zoo for their contributions to the community. CLOSED SESSION REPORT - The City Attorney will report items to be added to Consent Calendar Item 19A from the Closed Session meeting. PUBLIC COMMENTS Dale Helvig requested City Council to consider parking requirements on all future projects. CONSENT CALENDAR • Councilmember Sarmiento pulled Item 11A to recuse himself due to an economic interest within the transit zone area, dissented on 19C, and pulled 25C for separate discussion. • Councilmember Iglesias, pulled Agenda Items 19C, 25G and 25H for separate discussion. DRAFT CITY COUNCIL MINUTES 3 JULY 16, 2019 MUNI MOTION: Approve staff recommendations on the following Consent Calendar items: Items 11A through 25H with the following exceptions. Councilmember Sarmiento pulled Item 11A to recuse himself due to an economic interest within the transit zone area, dissented on 19C, and pulled 25C for separate discussion. Councilmember Iglesias, pulled Agenda Items 19C, 25G and 25H for separate discussion. MOTION: Mayor Pro SECOND: Councilmember Sarmiento Tern Villegas VOTE: AYES: Mayor Pulido, Mayor Pro Tern Villegas, Councilmember Iglesias, Councilmember Penaloza, Councilmember Sarmiento", Councilmember Solorio (6) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) "'Councilmember Sarmiento abstained from 11A. ADMINISTRATIVE MATTERS ORDINANCES/SECOND READING - In the event a Councilmember recorded an "abstention" before consideration of the following ordinance(s) on first reading, such abstention will also be reflected in the minutes for second reading. 11A. ADOPT AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADOPTING 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}{STRATEGIC PLAN NO. 5, 11 — Planning and Building Agency Placed on first reading at the July 2, 2019 City Council meeting and approved by a vote of 4-0 (Sarmiento absent and Pulido abstained). Published in the Orange County Reporter on July 5, 2019. Councilmember Sarmiento pulled Item 11A to recuse himself due to an economic interest within the transit zone area. DRAFT CITY COUNCIL MINUTES 4 JULY 16, 2019 10A-4 MOTION: Place ordinance on second reading and adopt. ORDINANCE NO. NS-2970 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADOPTING ZONING ORDINANCE AMENDMENT NO. 2019-03 AMENDING SECTIONS 41-2009, 41-2010, 41-2011, 41-2012, 41- 2013, 41-2014, 41-2015, 41-2020, 41-2021, 41-2022, 41-2023, 41-2024, 41- 2025, 41-2026, 41-2027, 41-2028, 41-2029, 41-2030, 41-2031, and 41-2032 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 This Consent — Motion was approved. BOARDS / COMMISSIONS / COMMITTEES 13A. NOMINATE ROXANA SANCHEZ TO SERVE ON THE COMMUNITY REDEVELOPMENT AND HOUSING COMMISSION AS THE SANTA ANA UNIFIED SCHOOL DISTRICT REPRESENTATIVE FOR A PARTIAL -TERM EXPIRING DECEMBER 8, 2020 — Clerk of the Council Office MOTION: Appoint Roxana Sanchez to the Community Redevelopment and Housing Commission for a partial -term expiring December 8, 2020 as the Student Representative. This Consent — Motion was approved. IJ116Y01AIA90lxil1�y9QJtl1LI1631:7_AIEel 0l 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: A) Alex Tran, et al. v. Elias Martinez, Jr., et al., OCSC Case No. 30-2017- 00945774-C U-PA-CJ C MOTION: City Council approved a settlement in the amount of $65,000 by a vote of 5-1 (Iglesias dissented; Agreement No. 2019-110). DRAFT CITY COUNCIL MINUTES 5 JULY 16, 2019 10A-5 Councilmember Sarmiento motioned to approve, seconded by Mayor Pro Tern Villegas. MOTION: VOTE Councilmember SECOND: Mayor Pro Tern Villegas Sarmiento AYES: Mayor Pulido, Mayor Pro Tern Villegas, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio (5) NOES: Councilmember Iglesias (1) ABSTAIN: None (0) ABSENT: None (0) B) City of Santa Ana v. Alda South, LLC et al., Orange County Superior Court Case No. 30-2017-00938576 MOTION: City Council approved a final payment for the acquisition of property in the settlement of goodwill in the amount of $275,000 by a vote of 6-0 (Agreement No. 2019-111). Councilmember Solorio motioned to approve, seconded by Mayor Pro Tern Villegas. MOTION: VOTE Councilmember SECOND: Mayor Pro Tern Villegas Solorio AYES: Mayor Pulido, Mayor Pro Tern Villegas, Councilmember Iglesias, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio (6) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) 19B. EXCUSED ABSENCES — None. DRAFT CITY COUNCIL MINUTES 6 JULY 16, 2019 10A-6 19C. APPROVE DESTRUCTION OF PUBLIC WORKS AGENCY OBSOLETE CITY RECORDS AS OUTLINED IN RESOLUTION 2013-014 {STRATEGIC PLAN NO. 5, 11 — Public Works Agency Councilmember Penaloza motioned to approve recommendation, seconded by Mayor Pro Tern Villegas. MOTION: Approve the requests for the destruction of obsolete records from the Public Works Agency in accordance with the retention schedule outlined in City Council Resolution 2013-014. The Citywide Records Retention Schedule has specific retention periods for many City documents. The Schedule is modeled after the California Secretary of State's sample for local government and incorporates other statutory periods applicable to Santa Ana. These are minimum retention periods. Each department makes discretionary decisions on whether to retain records past the minimum requirements. MOTION: 1161110 Councilmember Penaloza AYES: NOES ABSENT: BUDGETARY MATTERS U1 U U ZIA UVFill IEel II9911111,3IJtl:11IN1 SECOND: Mayor Pro Tern Villegas Mayor Pulido, Councilmember Solorio (4) Councilmember Sarmiento (2) None (0) None (0) Mayor Pro Tern Villegas, Penaloza, Councilmember Iglesias, Councilmember 20A. APPROVE APPROPRIATION ADJUSTMENTS AND AWARD A CONSTRUCTION CONTRACT TO C.S. LEGACY CONSTRUCTION, INC., IN THE AMOUNT OF $990,743 FOR THE CENTER STREET URBAN GREENING PROJECT, FOR A TOTAL DELIVERY COST OF $1,238,430 (PROJECT NO. 17-2674) {STRATEGIC PLAN NO. 6, 1 G) - Public Works Agency and Parks, Recreation and Community Services Agency MOTION: 1. Approve appropriation adjustments. (Requires five affirmative votes). DRAFT CITY COUNCIL MINUTES 7 JULY 16, 2019 10A-7 a. APPROPRIATION ADJUSTMENT NO. 2020-008 - Recognizing $420,000 in Residential Development District 4 prior year fund balance and appropriating the same amount into the District 4 Acquisition & Development expenditure account. b. APPROPRIATION ADJUSTMENT NO. 2020-008 - Recognizing $53,942 in Capital Outlay prior year fund balance and appropriating the same amount into the Park Improvements expenditure account. c. APPROPRIATION ADJUSTMENT NO. 2020-008 - Recognizing $93,045 in Parks, Recreation and Community Services Agency Fee & Donation (Carnival Revenue) prior year fund balance and appropriating the same amount into the Parks, Recreation and Community Services Agency Fee & Donation expenditure account. 2. Award a construction contract to C.S. Legacy Construction, Inc., the lowest responsible bidder, in accordance with the base bid in the amount of $990,743, for the term beginning upon execution of the contract and ending upon project completion, for construction of the Center Street Urban Greening 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. 3. Approve the Project Cost Analysis for a total estimated construction delivery cost of $1,238,430, which includes $990,743 for the construction contract; $148,612 for contract administration, inspection, and testing; and a $99,075 project contingency (approximately 10% of the construction contract amount), paid with State of California Natural Resources Agency grant, District 4 Acquisition & Development funds, Capital Outlay funds, and Parks, Recreation and Community Services Agency Fee & Donation funds. This Consent — Motion was approved. PROJECTS/CHANGE ORDERS 23A. AMEND THE FISCAL YEAR 2019-20 CAPITAL IMPROVEMENT PROGRAM AND AWARD A CONSTRUCTION CONTRACT TO VIDO SAMARZICH, INC., IN THE AMOUNT OF $495,750 FOR THE LOCAL STREET CURB RAMP IMPROVEMENTS PROJECT ESTIMATED DELIVERY COST: $619,708 (PROJECT NO 20-7532) {STRATEGIC PLAN NOS. 6, 1 B AND 1 G) - Public Works Agency MOTION: DRAFT CITY COUNCIL MINUTES 8 JULY 16, 2019 10A-8 1. Approve an amendment to the Fiscal Year 2019-20 Capital Improvement Program adding the Local Street Curb Ramp Improvements Project and $620,000 in Community Development Block Grant funding. 2. Award a construction contract to Vido Samarzich, Inc., the lowest responsible bidder, in accordance with the base bid in the amount of $495,750, for construction of the Local Street Curb Ramp 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. 3. Approve the Project Cost Analysis for a total estimated construction delivery cost of $619,708, which includes $495,750 for the construction contract, $74,383 for contract administration, inspection and testing, and a $49,575 project contingency (approximately 10% of the construction contract amount), paid with Community Development Block Grant funding. This Consent — Motion was approved. 23B. AWARD CONSTRUCTION CONTRACT TO ARNAZ ENGINEERING CONTRACTORS, INC. FOR THE CIVIC CENTER STORMWATER LIFT STATIONS PROJECT ESTIMATED DELIVERY COST: $1,330,000 (PROJECT NO 17-2675) {STRATEGIC PLAN NOS. 6, 1 C & 1 G) - Public Works Agency; and Parks, Recreation and Community Services Agency MOTION: Award a contract to Arnaz Engineering Contractors Inc., the lowest responsible bidder, in accordance with the base bid in the amount of $1,022,000, for construction of the Civic Center Stormwater Lift Stations 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 $1,330,000, which includes $1,022,000 for the construction contract, $153,300 for contract administration, inspection, and testing, and a $154,700 project contingency (approximately 15% of the construction contract amount) paid with Civic Center Capital Project funding. This Consent — Motion was approved. DRAFT CITY COUNCIL MINUTES 9 JULY 16, 2019 10A-9 AGREEMENTS 25A. APPROVE A MEMORANDUM OF UNDERSTANDING WITH CO -LOCATED PARTNER ORGANIZATION HOME OWNERSHIP OC AT THE WORK CENTER AND AUTHORIZE REIMBURSEMENT FROM PARTNER IN THE ESTIMATED AMOUNT OF $22,117 FOR TERM EXPIRING JUNE 30, 2022 {STRATEGIC PLAN NO. 2, 41 - Community Development Agency Workforce Development Board approved the recommended action at its regular meeting on May 16, 2019, by a vote of 13-0 (Alegre, Baetz, Korthuis, and Smith absent). MOTION: Authorize the City Manager and Clerk of the Council to execute a Memorandum of Understanding with the Santa Ana Workforce Development Board and Home Ownership OC, which outlines the sharing of resources and expenses associated with the operations of a comprehensive one stop center for a term beginning August 1, 2019 to June 30, 2022 in the estimated amount of $22,117, subject to non -substantive changes approved by the City Manager and City Attorney (AGMT. No. 2019-112). 2. Authorize the City Manager and Clerk of the Council to execute non - substantive amendments such as adjustments of shared operational expenses during the term of the Memorandum of Understanding. This Consent — Motion was approved. 25B. APPROVE AMENDMENT TO LOAN AGREEMENT WITH SANTA ANA VILLAGE L.P. FOR THE SANTA ANA VETERANS VILLAGE PROJECT LOCATED AT 3312 WEST FIRST STREET IN THE AMOUNT OF $124,383 (GRANT FUNDED) {STRATEGIC PLAN NOS. 5, 3A; 5, 3C) - Community Development Agency MOTION: Authorize the City Manager and the Clerk of the Council to execute an amendment to the loan agreement with Santa Ana Village, L.P. for an additional $124,383 in HOME Investment Partnerships Program funds for a total loan amount not to exceed $477,346, subject to non -substantive changes approved by the City Manager and City Attorney (AGMT. No. 2019-113). This Consent — Motion was approved. DRAFT CITY COUNCIL MINUTES 10 JULY 16, 2019 10A-10 25C. APPROVE AN AMENDMENT TO THE AGREEMENT WITH STANTEC IN THE AMOUNT OF $45,620 TO CONDUCT A STORMWATER FUNDING FEASIBILITY STUDY, FOR A TOTAL AGREEMENT AMOUNT NOT TO EXCEED $230,620 (NONGENERAL FUND) {STRATEGIC PLAN NO. 6, 1 H) — Public Works Agency Councilmember Sarmiento motioned to approve recommendation, seconded by Mayor Pro Tern Villegas. MOTION: Authorize the City Manager and Clerk of the Council to amend the Scope of Work for the agreement with Stantec which commenced on July 3, 2018 and is scheduled to terminate on July 2, 2021 with provision for two 1-year extensions, in order to conduct a stormwater funding feasibility study and increase the compensation by an amount not to exceed $45,620, for a total agreement amount not to exceed $230,620 in the Water Admin/Engineering fund, subject to non -substantive changes approved by the City Manager and City Attorney (AGMT. No. 2019-114). MOTION: Councilmember SECOND: Mayor Pro Tern Villegas Sarmiento VOTE: AYES: Mayor Pulido, Mayor Pro Tern Villegas, Councilmember Iglesias, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio (6) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) 25D. APPROVE COOPERATIVE REIMBURSEMENT AGREEMENT WITH THE CITY OF COSTA MESA FOR MACARTHUR BOULEVARD IMPROVEMENTS (PROJECT NO. 20-6953) {STRATEGIC PLAN NO. 6, 1 B, 1 C, 1 G } — Public Works Agency MOTION: Authorize the City Manager and Clerk of the Council to execute a cooperative reimbursement agreement with the City of Costa Mesa for the MacArthur Boulevard Improvements Project, in an amount not to exceed $64,568.40, subject to non -substantive changes approved by the City Manager and City Attorney (AGMT. No. 2019-115). This Consent — Motion was approved. DRAFT CITY COUNCIL MINUTES 11 JULY 16, 2019 10A-11 25E. APPROVE SECOND AMENDMENT TO THE AGREEMENT WITH OCEAN BLUE ENVIRONMENTAL SERVICES, INC., IN THE AMOUNT OF $102,000 FOR SPILL RESPONSE, STORM DRAIN FACILITY CLEANING, CRIME SCENE CLEANUP, AND JAIL CELL DECONTAMINATION SERVICES FOR A NEW TOTAL AGREEMENT AMOUNT OF $1,222,000 {STRATEGIC PLAN NO. 6, 1 C) — Public Works Agency and Police Department MOTION: Authorize the City Manager and the Clerk of the Council to execute a second amendment to the Agreement with Ocean Blue Environmental Services, Inc., to increase the annual expenditure amount for the one-year term ending June 19, 2020, by $57,000, and increase the annual expenditure amount for the optional one-year extension term ending June 19, 2021, by $45,000, if exercised, for a total increase of $102,000, for a new total agreement amount of $1,222,000, subject to non -substantive changes approved by the City Manager and City Attorney (AGMT. No. 2019-116). This Consent — Motion was approved. 25F. AWARD AGREEMENTS TO PROJECT PARTNERS, INC., INTERWEST CONSULTING GROUP, PENCO ENGINEERING, INC., GK ASSOCIATES, AND TRANSTECH FOR ENGINEERING AND TECHNICAL SUPPORT SERVICES FOR UP TO FIVE YEARS, FOR A TOTAL AGGREGATE AMOUNT NOT TO EXCEED $2,500,000 {STRATEGIC PLAN NO. 6, 1 C) — Public Works Agency MOTION: Authorize the City Manager and the Clerk of the Council to execute five agreements with the firms listed below to provide engineering, technical, and administrative support services, for a three-year period commencing July 16, 2019, and expiring July 15, 2022, with a provision for one, two-year renewal option exercisable by the City Manager and City Attorney, for a total aggregate amount not to exceed $2,500,000 for the five contracts combined, for the term of the contract, including the optional renewal, subject to non -substantive changes approved by the City Manager and the City Attorney: 1. Project Partners (AGMT. No. 2019-117-01); 2. Interwest Consulting Group, Inc. (AGMT. No. 2019-117-02); 3. Penco, a Cannon Company (AGMT. No. 2019-117-03); 4. GK & Associates (AGMT. No. 2019-117-04) and 5. Transtech Engineers, Inc. (AGMT. No. 2019-117-05) In order to provide the best services to the City, staff will endeavor to distribute work equally among the five consultants, but reserves the right to assign more DRAFT CITY COUNCIL MINUTES 12 JULY 16, 2019 10A-12 work to one or more consultants over another based on type of support position required, availability of staff, and performance, among other factors. This Consent — Motion was approved. Mayor Pro Tern Villegas motioned to approve recommendations for Item 25G and 25H, seconded by Councilmember Sarmiento. 25G. APPROVE A SIX-MONTH EXTENSION TO SECOND AMENDED AGREEMENT FOR PARAMEDIC/MEDICAL BILLING AND COLLECTION SERVICES WITH WITTMAN ENTERPRISES, LLC FOR UP TO $200,000 {STRATEGIC PLAN NO. 7, 5F) — Finance and Management Services Agency RECOMMENDED ACTION: Authorize the City Manager and Clerk of the Council to execute a six-month extension to the second amended agreement with Wittman Enterprises, LLC, ("Wittman") effective July 1, 2019 through December 31, 2019, extending the current two-year agreement that expired on June 30, 2019, for an amount of $200,000 subject to nonsubstantive changes approved by the City Manager and City Attorney (AGMT. No. 2019-118). 25H. APPROVE AGREEMENT WITH AMERICAN CAPITAL ENTERPRISES, INC. AND SECOND AMENDMENT WITH PENNCREDIT FOR COLLECTION AGENCY SERVICES {STRATEGIC PLAN NO. 4, 11 - Finance and Management Services Agency RECOMMENDED ACTION: Authorize the City Manager and Clerk of the Council to execute an agreement with American Capital Enterprises, Inc. for a five-year period effective July 1, 2019 through June 30, 2024, for referral of delinquencies beginning July 1, 2019, subject to non -substantive changes approved by the City Manager and City Attorney (AGMT. No. 2019-119). 2. Authorize the City Manager and Clerk of the Council to execute a second amendment to the agreement with PennCredit for a two-year period effective July 1, 2019 through June 30, 2021, for referral of existing delinquent accounts placed prior to June 30, 2019, subject to non -substantive changes approved by the City Manager and City Attorney (AGMT. No. 2019-120). MOTION: Mayor Pro SECOND: Councilmember Sarmiento Tern Villegas VOTE: AYES: Mayor Pulido, Mayor Pro Tern Villegas, DRAFT CITY COUNCIL MINUTES 13 JULY 16, 2019 10A-13 NOES: ABSTAIN: ABSENT: END OF CONSENT CALENDAR Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio (5) Councilmember Iglesias (1) None (0) None (0) Mayor Pulido made an announcement regarding Item 75A. ADMINISTER OATH OF OFFICE TO ROXANA SANCHEZ, COMMUNITY REDEVELOPMENT AND HOUSING COMMISSIONER: BUSINESS CALENDAR RESOLUTIONS 55A. APPROVE AN APPROPRIATION ADJUSTMENT; ADOPT A RESOLUTION AMENDING RESOLUTION NO. 2015-026 TO EFFECT CERTAIN CHANGES TO THE CITY'S BASIC CLASSIFICATION AND COMPENSATION PLAN ADDING THE POSITION OF CORRECTIONAL MANAGER (NON -SWORN) AND DELETING THE POSITION OF CORRECTIONAL MANAGER; AND APPROVE A MEMORANDUM OF UNDERSTANDING WITH THE SANTAANA POLICE MANAGEMENT ASSOCIATION (SAPMA) {STRATEGIC PLAN NO. 7, 4, & 61 - Human Resources Department AMENDED MOTION: Continue Item 55A to the next meeting in August. MOTION: Councilmember SECOND: Mayor Pulido Solorio VOTE: AYES: Mayor Pulido, Mayor Pro Tern Villegas, Councilmember Iglesias, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio (6) NOES: None (0) DRAFT CITY COUNCIL MINUTES 14 JULY 16, 2019 1 OA-14 ABSTAIN: None (0) ABSENT: None (0) ADMINISTRATIVE MATTERS - BUSINESS 60A. 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, 31 — Community Development Agency; and Planning and Building Agency Planning Commission approved recommended action on June 4, 2018 by a vote of 4-1 (Bacerra dissented). PUBLIC COMMENT • Lisa Pedersen spoke in support of item. • Elizabeth Hansburg on behalf of People for Housing Orange County, spoke in support of item. • Kimberly Adams spoke in support of item. • Jonathan Gibson spoke in support of item. • Isuri Ramos on behalf of the Kennedy Commission, spoke in support of item. A motion was made by Councilmember Solorio; seconded by Councilmember Sarmiento with comment. However, after discussion, Councilmember Solorio withdrew his motion. Michael Massey, Chief Development Officer, representing Jamboree Housing addressed City Council regarding parking management concerns. Laura Archuletta, President and Chief Executive Officer of Jamboree Housing, provided a brief presentation. Councilmember Solorio withdrew his motion. MOTION: Authorize the City Manager and Clerk of the Council to execute a Density Bonus Agreement with Santa Ana Pacific Associates, and Santa Ana Pacific Associates 11, or assigns, for a 55-year term, for the development of a 552-unit affordable rental project at 2110, 2114, and 2020 East First Street, subject to non -substantive changes approved by the City Manager and City Attorney (AGMT. No. 2019-XXX). MOTION: Councilmember Sarmiento VOTE: AYES: SECOND: Councilmember Penaloza Councilmember Penaloza. Councilmember DRAFT CITY COUNCIL MINUTES 15 JULY 16, 2019 10A-15 Sarmiento (2) NOES: Mayor Pulido None, Mayor Pro Tern Villegas, Councilmember Iglesias (3) ABSTAIN: Solorio (1) ABSENT: None (0) Motion failed. REPORTS 65A. CONSIDER AN APPROPRIATION ADJUSTMENT TO APPROPRIATE $399,606 OF NEW GENERAL FUND MONEY FROM UNCLAIMED DEPOSITS {STRATEGIC PLAN NO. 4,11 - Finance and Management Services Agency Councilmember Iglesias requested staff to focus on senior services, music programs for youth, and paid internship programs for youth. Mayor Pro Tern Villegas requested funds to be allocated to senior programs. Councilmember Penaloza requested allocation of funds towards census outreach. Mayor Pulido in support of allocation of funds of $50,000 or more towards census outreach. Councilmember Solorio provided direction to staff regarding allocation of funds to various programs. Councilmember Sarmiento echoed colleagues' requests along with allocation of funds to address deteriorating park restrooms. 11l1:1I[NZK61JtlVtl:1011 Thomas Gordon expressed concern as to City's efforts to address homeless issues. MOTION AMENDED: to approve appropriation adjustments. (Requires five affirmative votes). APPROPRIATION ADJUSTMENT NO. 2020-011 -Approve an Appropriation Adjustment of $399,606, to appropriate newly recognized General Fund money in the service program(s) and amounts selected by City Council as follows: DRAFT CITY COUNCIL MINUTES 16 JULY 16, 2019 10A-16 • Census Outreach Efforts - $99,000 • Senior Services Programs - $ 100,000 • Quality of Life Team - $100,000 • Additional Youth Programing, Newhope Library and Park Restroom Maintenance - $100,000 MOTION: Councilmember Solorio VOTE: AYES: IzIQNK! ABSENT: Il�J:l�[yp1�9:71�[e�y SECOND: Mayor Pulido Mayor Pulido, Mayor Pro Tern Villegas, Councilmember Iglesias, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio (6) None (0) None (0) None (0) Discussion of Item 75A taken out of order. 75A. PUBLIC HEARING - APPROVE ORDINANCE AMENDMENT NO. 2019-01 TO AMEND CERTAIN SECTIONS OF CHAPTERS 18, 21, AND 40 OF THE SANTA ANA MUNICIPAL CODE ALLOWING VERTICAL AND HORIZONTAL INTEGRATION OF CANNABIS BUSINESSES; UPDATING OWNERSHIP TRANSFERS PROCEDURAL STANDARDS AND REQUIREMENTS, SECURITY DEPOSITS, AND VARIOUS ADMINISTRATIVE PROCESSES; UPDATING AND STREAMLINING REGULATORY COMPONENTS; REDUCING CANNABIS TESTING TAXES TO TWO PERCENT OF GROSS RECEIPTS; AND ADOPTING A CANOPY MEASUREMENT AND SQUARE FOOTAGE ALLOCATION SERVICE FEE {STRATEGIC PLAN NOS. 3, 2; 3, 3; 3, 5; 4, 31 - Planning and Building Agency and Finance and Management Services Agency Legal Notice published in the Orange County Reporter on July 5, 2019 and July 12, 2019. Mayor Pulido and Councilmember Sarmiento recused themselves from discussion of Business Item 7513; and discussion of item taken out of order. AMENDED MOTION: To continue Item 75A to the next meeting in August. I IA 150 1 IQ z �4=�. IIi 1ii OT-a'=4*07zIBi[ .. �. IIi 1ii OTaf.Y.7. . DRAFT CITY COUNCIL MINUTES 17 JULY 16, 2019 10A-17 Penaloza VOTE: AYES: Mayor Pro Tern Villegas, Councilmember Penaloza, Councilmember Solorio (3) NOES: None (0) ABSTAIN: Mayor Pulido and Councilmember Sarmiento (2) ABSENT: Councilmember Iglesias (1) Amended motion failed. 75B. PUBLIC HEARING -APPEAL APPLICATION NO. 2019-02 FILED BY FIEDLER GROUP ON BEHALF OF 7-ELEVEN INC. (PROJECT APPLICANT) PERTAINING TO CONDITIONAL USE PERMIT NO. 2019-12 AND TO CONSIDER A MITIGATED NEGATIVE DECLARATION (ENVIRONMENTAL REVIEW NO. 2017-140) AND AMENDMENT APPLICATION NO. 2019-02 TO PERMIT THE ESTABLISHMENT AND CONSTRUCTION OF A 7-ELEVEN CONVENIENCE STORE AND GAS STATION AT 1904 WEST FIRST STREET AND TO CHANGE THE ZONING DESIGNATIONS OF THE PROPERTIES AT 1904, 1910 AND 1916 WEST FIRST STREET AND AT 1901 WEST WALNUT STREET FROM LIGHT INDUSTRIAL (M1) TO GENERAL COMMERCIAL (C2) AND 2002 WEST FIRST STREET FROM COMMUNITY COMMERCIAL (Cl) TO GENERAL COMMERCIAL (C2) {STRATEGIC PLAN NO. 3,21 - Planning and Building Agency On June 10, 2019, the Planning Commission by a vote of 7-0 approved the Conditional Use Permit (CUP) and the Variance and recommended approval of the Mitigated Negative Declaration (MND) and zone change and added conditions to CUP as reflected in staff report. Legal Notice published in the Orange County Reporter on July 5, 2019 and notices mailed on said date. Mayor Pulido opened the public hearing at 8:27 p.m. Note: Correspondence received and on file. Mayor Pulido reopened the public hearing at 8:28 p.m., and the following speakers addressed council: David Benavides in support of denying appeal. Ben Steckler addressed City Council to request approval of appeal of the second requirement to have security on the premises. DRAFT CITY COUNCIL MINUTES 18 JULY 16, 2019 10A-18 Diego Zarate unsupportive of item. Chris Rodriguez addressed City Council to express concerns. Sherri Olson asking council to support their store without the condition of security guards, since they have security measures in place. City Manager Kristine Ridge clarified the motion based on council discussion. Councilmember Sarmiento motioned to adopt as amended, seconded by Mayor Pulido. Councilmember Penaloza moved for substitute motion. Discussion and vote of substitute motion considered prior to the vote on the amended motion. SUBSTITUE MOTION : It is recommended that the City Council take the following actions: Adopt a resolution to amend with the condition of placing a six-month review period to determine if a security guard is required after consulting with Police Department, the neighborhood association, and local non-profit organizations. A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA DENYING APPEAL APPLICATION NO. 2019-02 OF THE DETERMINATION OF THE PLANNING COMMISSION TO ADD TWO ADDITIONAL CONDITIONS FOR CONDITIONAL USE PERMIT (CUP) NO. 2019-12 FOR THE 24 HOUR OPERATION OF THE 7 ELEVEN CONVENIENCE STORE TO BE LOCATED AT 1904 WEST FIRST STREET AND UPHOLDING GRANTING OF THE CUP WITH THE ADDITIONAL TWO CONDITIONS FOR THE HEALTH, SAFETY AND GENERAL WELFARE OF THE COMMUNITY 2. Adopt a resolution. A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADOPTING MITIGATED NEGATIVE DECLARATION, ENVIRONMENTAL REVIEW NO. 2017-140 AND ADOPTING A MITIGATION MONITORING AND REPORTING PROGRAM RELATIVE TO AMENDMENT APPLICATION NO. 2019-02, CONDITIONAL USE PERMIT NO. 2019-12 AND VARIANCE NO. 2019-01 FOR THE PROJECT LOCATED AT 1904 WEST FIRST STREET 3. Place ordinance on first reading and authorize publication of title. DRAFT CITY COUNCIL MINUTES 19 JULY 16, 2019 10A-19 AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING AMENDMENT APPLICATION NO.2019-02 REZONING THE PROPERTIES LOCATED AT 1904 WEST FIRST STREET, 1910 WEST FIRST STREET, 1916 WEST FIRST STREET, AND 1901 WEST WALNUT STREET FROM LIGHT INDUSTRIAL (M1) TO GENERAL COMMERCIAL (C2) AND 2002 WEST FIRST STREET FROM COMMUNITY COMMERCIAL (Cl) TO GENERAL COMMERCIAL (C2) MOTION: Councilmember SECOND: Councilmember Iglesias Penaloza VOTE: AYES: Councilmember Penaloza, Councilmember Iglesias (2) NOES: Mayor Pulido, Mayor Pro Tern Villegas, Councilmember Sarmiento, Councilmember Solorio (4) ABSTAIN: None (0) ABSENT: None (0) Substitute motion failed; and original amended motion considered and passed. AMENDED MOTION: It is recommended that the City Council take the following actions: Adopt a resolution with the condition of placing security guard for a six- month review period and authorize staff to negotiate the hours for security guard after consulting with Police Department, the neighborhood association, and local non-profit organizations. AMENDED RESOLUTION NO. 2019-066 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA DENYING APPEAL APPLICATION NO. 2019-02 OF THE DETERMINATION OF THE PLANNING COMMISSION TO ADD TWO ADDITIONAL CONDITIONS FOR CONDITIONAL USE PERMIT (CUP) NO. 2019-12 FOR THE 24 HOUR OPERATION OF THE 7 ELEVEN CONVENIENCE STORE TO BE LOCATED AT 1904 WEST FIRST STREET AND UPHOLDING GRANTING OF THE CUP WITH THE ADDITIONAL TWO CONDITIONS FOR THE HEALTH, SAFETY AND GENERAL WELFARE OF THE COMMUNITY DRAFT CITY COUNCIL MINUTES 20 JULY 16, 2019 1 OA-20 2. Adopt RESOLUTION NO. 2019-067 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADOPTING MITIGATED NEGATIVE DECLARATION, ENVIRONMENTAL REVIEW NO. 2017-140 AND ADOPTING A MITIGATION MONITORING AND REPORTING PROGRAM RELATIVE TO AMENDMENT APPLICATION NO. 2019-02, CONDITIONAL USE PERMIT NO. 2019-12 AND VARIANCE NO. 2019- 01 FOR THE PROJECT LOCATED AT 1904 WEST FIRST STREET 3. Place ordinance on first reading and authorize publication of title. ORDINANCE NO. NS-2971 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING AMENDMENT APPLICATION NO. 2019-02 REZONING THE PROPERTIES LOCATED AT 1904 WEST FIRST STREET, 1910 WEST FIRST STREET, 1916 WEST FIRST STREET, AND 1901 WEST WALNUT STREET FROM LIGHT INDUSTRIAL (M1) TO GENERAL COMMERCIAL (C2) AND 2002 WEST FIRST STREET FROM COMMUNITY COMMERCIAL (Cl) TO GENERAL COMMERCIAL (C2) MOTION: VOTE Councilmember Sarmiento AYES: IZIQNK! ABSENT: SECOND: Mayor Pulido Mayor Pulido, Mayor Pro Tern Villegas, Councilmember Sarmiento, Councilmember Solorio (4) Councilmember Penaloza, Iglesias (2) None (0) None (0) :.. � . I"i iii1.Mm 75C. PUBLIC HEARING— REPORT ON WATER QUALITY RELATIVE TO PUBLIC HEALTH GOALS {STRATEGIC PLAN NO. 5,61 -Public Works Agency Legal Notice published in the Orange County Reporter on July 5, 2019. Mayor Pulido opened the Public Hearing at 9:12 p.m. There were no speakers and the Hearing closed. Water Resources Manager Nabil Saba provided council with a brief presentation. MOTION: Receive and file the report on Water Quality Relative to Public Health Goals. DRAFT CITY COUNCIL MINUTES 21 JULY 16, 2019 1 OA-21 MOTION: Mayor Pro SECOND: Councilmember Sarmiento Tern Villegas VOTE: AYES: Mayor Pulido, Mayor Pro Tern Villegas, Councilmember Iglesias, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio (6) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) 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. Only action available to City Council is to provide direction to City Manager. 85A. DISCUSS AND PROVIDE DIRECTION, IF ANY, TO CITY MANAGER REGARDING OC STREETCAR PROJECT AND TRANSIT -ORIENTED DEVELOPMENT OPPORTUNITIES AROUND PROPOSED PROJECT STATIONS, INCLUDING THE WILLOWICK STATION AREA AND PROPERTY — Councilmember Solorio Councilmember Solorio directed staff to provide City Council with OC Streetcar Project review and surrounding transit development. COMMENTS PUBLIC COMMENTS (Non -Agenda Items). John Raya and Mary Lara, addressed City Council to extend invitation to TKO's recognition ceremony on July 21, 2019. Mayor Pulido requested staff to place the TKO recognition Ceremony event on counciImembers' calendars. Carl Beninger commended Santa Ana Police Department for their efforts in responding to neighborhood incident, thanked staff for addressing railroad clean-up, and expressed concern with lack of funds for tree maintenance. DRAFT CITY COUNCIL MINUTES 22 JULY 16, 2019 1 OA-22 Councilmember Penaloza directed City Manager to address tree concerns. Chris Schmidt echoes Carl Beninger's request for additional tree maintenance funds. Also, spoke in support of creating new libraries and increasing library staff. Ellen Koldeway addressed City Council to express recommendations to operations to Boards and Commissions and updating gift limitations. 90A. CITY MANAGER'S COMMENTS City Manager Ridge informed City Council of upcoming Shakespeare by the Sea performance at Birch Park on Thursday, July 25th; Street Breakfast event held on Sunday, July 28th; Blessing of the City to be held on Saturday, August 4th in honor of the City's 150th Anniversary; and provided City Council with update on medium enhancement efforts. 90B. CITY COUNCILMEMBER COMMENTS Councilmember Penaloza reported on attendance at Independence Day event, appointment to Orange County Housing Finance Trust, and opening of Benchmark restaurant. Councilmember Solorio directed staff to provide update on parking management study, inquired about a past pilot median program highlighting California friendly landscape, noted upcoming attendance to the Santa Anita Neighborhood Association meeting to speak on the redevelopment of Willowick, and congratulated Public Works Agency staff for receiving a grant. Councilmember Iglesias reported attendance at Police Department simulator facility and the 4th of July celebration event. Directed staff to introduce a parade at the next 4th of July event and to address Ward 4 appointments at the next City Council meeting. Councilmember Sarmiento welcomed Daisy Gomez, Clerk of the Council; going forwarded requested public comments to be heard at the beginning of meeting; thanked Police Chief and department this past week for the Nixle messaging; and thanked Public Works Agency director and staff for expediting applications. Mayor Pro Tern Villegas thanked Santa Ana Police Department for their efforts in assisting pool -drowning incident that occurred over the weekend. Congratulated 11 Orange County Fire Authority Explorers who will be graduating this coming weekend. DRAFT CITY COUNCIL MINUTES 23 JULY 16, 2019 1 OA-23 ADJOURNED 9:54 P.M. - The next regular meeting scheduled for August 6, 2019 has been canceled. The next meeting of the City Council will be held on Tuesday, August 20, 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. Daisy Gomez Clerk of the Council DRAFT CITY COUNCIL MINUTES 24 JULY 16, 2019 1 OA-24 DRAFT MINUTES OF THE REGULAR MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA August 20, 2019 CLOSED SESSION MEETING CALL TO ORDER - MAYOR PULIDO Mayor Pulido called the meeting to order at 5:08 p.m. Council Member Iglesias joined the closed session at 5:55 p.m. Mayor Pulido announced that Items 20B, 55A, 55B, and 55C will be continued to a future meeting. COUNCILMEMBERS Present: Mayor Pulido Mayor Pro Tern Villegas Councilmember Iglesias Councilmember Penaloza Councilmember Sarmiento Councilmember Solorio COUNCILMEMBERS Absent: Ward 4 is vacant as of Friday, March 1, 2019. IIl1:IINZK.7JaIAIA►r0211111►rem 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: Mayor Pulido recessed the meeting at 5:09 p.m. to discuss Closed Session Items 1-4 as listed on the agenda: 1. CONFERENCE WITH LEGAL COUNSEL - EXISTING LITIGATION pursuant to Paragraph (1) of subdivision (d) of Section 54956.9 of the Government Code: A) City of Santa Ana v. Tacos Mexico, Inc. et al., Orange County Superior Court Case No. 30-2017- 00938893-CU-EI-CXC B) 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) C) 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) DRAFT CITY COUNCIL MINUTES 1 August 20, 2019 1OB-1 City Council approved a settlement for the purchase of property for an additional amount of $157,000 by a vote of 4-1-1 (Penaloza dissented, Iglesias absent; Agreement No. 2019-170). 2. CONFERENCE WITH LEGAL COUNSEL - ANTICIPATED pursuant to paragraph (2) or (3) of subdivision (d) of Section 54956.9 of the Government Code: ONE 3. CONFERENCE WITH LEGAL COUNSEL - POTENTIAL LITIGATION Significant exposure to litigation pursuant to paragraph (2) or (3) of subdivision (d) of Section 54956.9 of the Government Code: One case. 4. 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) Confidential Association of Santa Ana (CASA) Santa Ana Management Association (SAMA) CLOSED SESSION REPORT - The City Attorney will report on any action(s) to be taken at the Regular Meeting which will begin immediately following the Closed Session Meeting. ADJOURN CLOSED SESSION AND CONVENE TO THE REGULAR OPEN SESSION. Mayor Pulido adjourned the Closed Session at 6:30 p.m. DRAFT CITY COUNCIL MINUTES 2 August 20, 2019 10 B-2 REGULAR OPEN MEETING WTI In riPl ZI 91:1 :a Ji I_ytel 0 all I I IX Mayor Pulido called the Regular Open Session to order at 6:32 p.m. COUNCILMEMBERS Present: Mayor Pulido Mayor Pro Tern Villegas Councilmember Iglesias Councilmember Penaloza Councilmember Sarmiento Councilmember Solorio COUNCILMEMBERS Absent: Ward 4 is vacant. : I Biel Eel y9IIEel M90Eel = LTA U &IZ4allIIBPI INVOCATION - JANE KELLER, POLICE CHAPLAIN CEREMONIAL PRESENTATIONS 1. SPECIAL PRESENTATION by the office of Congressman Harley Rouda. Kate Alegria, Constituent Services Representative, 48th District of California, provided a brief presentation. 2. SPECIAL PRESENTATION by Registrar of Voters on the Orange County Vote Centers beginning 2020. Jackie Wu, Community Outreach with Orange County Registrar of Voters, provided a brief presentation. 3. CERTIFICATES OF RECOGNITION presented by MAYOR PRO TEM VILLEGAS recognizing the Orange County Fire Authority Explorers for their contributions to the community. 4. CERTIFICATE OF RECOGNITION presented by COUNCILMEMBER IGLESIAS recognizing the Stefanie Phillips for her years of service and her contributions to the community. 5. CERTIFICATE OF RECOGNITION presented by COUNCILMEMBER PENALOZA and COUNCILMEMBER SARMIENTO recognizing the Assistance League of Santa Ana for their contributions to the community. DRAFT CITY COUNCIL MINUTES 3 August 20, 2019 10 B-3 6. CERTIFICATE OF RECOGNITION presented by COUNCILMEMBER SOLORIO recognizing the Fundacion de Sobrevivientes de Trafico Humano for their contributions to the community. Public Hearing Item No. 75A was heard prior to Closed Session Report. CLOSED SESSION REPORT - The City Attorney will report items to be added to Consent Calendar Item 19A from the Closed Session meeting. PUBLIC COMMENTS - Public comments were heard after Item 90A. CONSENT CALENDAR MOTION: Approve staff recommendations on the following Consent Calendar items: Items 10A through 25L, with the exceptions of Items 11A, 13A, 13B, 19C, 20B, 20C, 25A, 25G, 25H, and 25K. Councilmember Solorio motioned to approve the consent calendar items 10A through 25L, with the exceptions of Items 11A, 13A, 13B, 19C, 20B, 20C, 25A, 25G, 25H, and 25K, seconded by Councilmember Sarmiento. MOTION: Councilmember SECOND: Councilmember Sarmiento Solorio VOTE: AYES: Mayor Pulido, Councilmember Iglesias, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio (5) NOES: None (0) ABSTAIN: None (0) ABSENT: Mayor Pro Tern Villegas (Mayor Pro Tern Villegas) ADMINISTRATIVE MATTERS MINUTES 10A. MINUTES FROM THE REGULAR MEETING OF JUNE 18, 2019 {Strategic Plan No. 5, 1) — Clerk of the Council Office MOTION: Approve Minutes. DRAFT CITY COUNCIL MINUTES 4 August 20, 2019 10 B-4 ORDINANCES/SECOND READING - In the event a Councilmember recorded an "abstention" before consideration of the following ordinance(s) on first reading, such abstention will also be reflected in the minutes for second reading. 11A. ADOPT AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING AMENDMENT APPLICATION NO. 2019-02 REZONING THE PROPERTIES LOCATED AT 1904 WEST FIRST STREET, 1910 WEST FIRST STREET, 1916 WEST FIRST STREET, AND 1901 WEST WALNUT STREET FROM LIGHT INDUSTRIAL (M1) TO GENERAL COMMERCIAL (C2) AND 2002 WEST FIRST STREET FROM COMMUNITY COMMERCIAL (Cl) TO GENERAL COMMERCIAL (C2){STRATEGIC PLAN NO. 5, 1) — Planning and Building Agency - Placed on first reading at the July 16, 2019 City Council meeting and approved by a vote of 4-2 (Iglesias and Penaloza dissented). Published in the Orange County Reporter on August 9, 2019. MOT/ON: Place ordinance on second reading and adopt: ORDINANCE NO. NS-2971 — AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADOPTING AMENDMENT APPLICATION NO. 2019-02 REZONING THE PROPERTIES LOCATED AT 1904 WEST FIRST STREET, 1910 WEST FIRST STREET, 1916 WEST FIRST STREET, AND 1901 WEST WALNUT STREET FROM LIGHT INDUSTRIAL (M1) TO GENERAL COMMERCIAL (C2) AND 2002 WEST FIRST STREET FROM COMMUNITY COMMERCIAL (Cl) TO GENERAL COMMERCIAL (C2) Mayor Pulido motioned to adopt item 11A, seconded by Councilmember Penaloza. MOTION: Mayor SECOND: Councilmember Penaloza Pulido VOTE: AYES: Mayor Pulido, Mayor Pro Tern Villegas, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio (5) NOES: Councilmember Iglesias (1) ABSTAIN: None (0) ABSENT: None (0) 13A. APPOINT ANDREANELA ORDONEZ NOMINATED BY COUNCILMEMBER PENALOZA AS THE WARD 2 REPRESENTATIVE (REGULAR) TO THE YOUTH COMMISSION FOR A FULL -TERM EXPIRING DECEMBER 13, 2022 {STRATEGIC PLAN NO. 5, 11 - Clerk of the Council Office MOTION: Nominate Andreanela Ordonez for an appointment to the Youth Commission as a Regular member representing Ward 2 (replaces J. Plascencia). DRAFT CITY COUNCIL MINUTES August 20, 2019 1 OB-5 13B. APPOINT MIGUEL CALDERON NOMINATED BY COUNCILMEMBER PENALOZA AS THE WARD 2 REPRESENTATIVE TO THE COMMUNITY REDEVELOPMENT AND HOUSING COMMISSION FOR A FULL -TERM EXPIRING DECEMBER 13, 2022 {STRATEGIC PLAN NO. 5, 11 - Clerk of the Council Office MOT/ON: Nominate Miguel Calderon for an appointment to the Community Redevelopment and Housing Commission as the Ward 2 representative (replaces I. Ramos). 13C. BOARDS AND COMMISSIONS BIANNUAL ATTENDANCE REPORT JANUARY THROUGH JUNE 2019 {STRATEGIC PLAN NO. 5, 1) - Clerk of the Council Office 1. Receive and file Boards and Commissions Biannual Attendance Report. 2. Provide direction as necessary. 13D. RE -APPOINT ENRIQUE PEREZ TO THE WORKFORCE DEVELOPMENT BOARD FOR A FOUR YEAR TERM EXPIRING MAY 31, 2023 {STRATEGIC PLAN NO 5, 11 — Community Development Agency MOT/ON: Reappoint Enrique Perez to the Santa Ana Workforce Development Board, representing Rancho Santiago Community College, for a four-year term expiring May 31, 2023. 13E. COUNCIL COMMITTEES — AGENDA AND MINUTES {STRATEGIC PLAN NO. 5, 1) - Clerk of the Council Office MOT/ON: Receive and file. Legislative Affairs, Ethics and Transparency Committee - 10/17/2018; Youth, Education, and Community Services Committee - 4/15/2019; Economic Development Infrastructure, Budget and Technology Committee - 6/10/2019 Councilmember Penaloza motioned to approve the consent calendar items 13A and 13B, seconded by Mayor Pro Tern Villegas. MOTION: Councilmember SECOND: Mayor Pro Tern Villegas Penaloza VOTE: AYES: Mayor Pulido, Mayor Pro Tern Villegas, Councilmember Iglesias, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio (6) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) DRAFT CITY COUNCIL MINUTES 6 August 20, 2019 f MISCELLANEOUS ADMINISTRATION 19A. CONFIRMATION OF CLOSED SESSION ACTION(S) — City Attorney's Office 19C. QUARTERLY REPORT OF CONTRACTS UP TO $50,000 FOR NON-PUBLIC WORKS AND UP TO $250,000 FOR PUBLIC WORKS AUTHORIZED BY THE CITY MANAGER AS PERMITTED BY CHARTER SECTION 421 {STRATEGIC PLAN NO. 4, 11 - Finance and Management Services Agency MOT/ON: Receive and file Quarterly Report of Contracts entered into between April 1, 2019 to June 30, 2019 valued at up to $50,000 for non-public works contracts and agreements and up to $250,000 for public works contracts and agreements. Councilmember Penaloza motioned to receive and file item 19C, seconded by Councilmember Solorio. MOTION: Councilmember SECOND: Councilmember Solorio Penaloza VOTE: AYES: Mayor Pulido, Councilmember Iglesias, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio (5) NOES: None (0) ABSTAIN: None (0) ABSENT: Mayor Pro Tern Villegas (Mayor Pro Tern Villegas) 19D. RECEIVE AND FILE QUARTERLY REPORT OF INVESTMENTS AS OF JUNE 30, 2019 {STRATEGIC PLAN NO. 4, 1 D) — Finance and Management Services Agency MOT/ON: Receive and file. 19E. APPROVE AND AUTHORIZE THE MAYOR TO SIGN THE BIENNIAL UPDATE TO THE REGIONAL AND LOCAL WORKFORCE PLAN FOR FISCAL YEARS 2017- 2021 {STRATEGIC PLAN NO. 2, 4) - Community Development Agency - Workforce Development Board approved recommended action on January 17, 2019 by a vote of 14-0 (Elliott, Rose, Ruiz, absent). MOT/ON: Approve the biennial update to the Regional and Local Workforce Plan for Program Years 2017 through 2021 and authorize the Mayor, City Manager and Clerk of the Council to sign all documents necessary for submission to the California Workforce Development Board and State of California Employment Development Department. DRAFT CITY COUNCIL MINUTES 7 August 20, 2019 10 B-7 19F. RECEIVE AND FILE QUARTERLY REPORT FOR HOUSING DIVISION PROJECTS AND ACTIVITIES APRIL 2019 — JUNE 2019 {STRATEGIC PLAN NO. 5, 3C) — Community Development Agency - Community Redevelopment and Housing Commission approved recommended action on July 24, 2019 by a vote of 7-0 (Urzua and Garcia absent). MOT/ON: Receive and file the Quarterly Report for Housing Division Projects and Activities for the period of April 2019 — June 2019. BUDGETARY MATTERS r_���:t.»:a_�r�.�►euan��rwia►r� 20A. APPROVE APPROPRIATION ADJUSTMENT AND AGREEMENT WITH SANTA ANA COLLEGE WORKFORCE SERVICES PROGRAM ($60,176) {STRATEGIC PLAN NO. 2, 4) - Community Development Agency Authorize the City Manager and Clerk of the Council to execute an agreement recognizing $60,176 awarded to the City of Santa Ana, Santa Ana WORK Center by the Rancho Santiago Community College District for workforce and job development activities, effective June 18, 2019 through December 31, 2020, subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. A-2019-xxx). Approve an appropriation adjustment. (Requires five affirmative votes). APPROPRIATION ADJUSTMENT NO. 2020-016 - Recognizing Rancho Santiago Community College District program funds in the amount of $60,176 into the OC Grant Revenue, State Grant -Indirect and appropriating the same amount into Rancho Santiago Community College District Grant Expenditure account. This Consent Item - Agreement No. 2019-129 was approved. ���r�r_���:z.�•��_vr_���:t.»:a_�r�.err_uan��rwia►rrrr.�:�xya►•��_vu� APPROPRIATE $23,760 FROM THE SOCAL WATER$MART PUBLIC AGENCY LANDSCAPE PROGRAM TO PURCHASE CENTRAL COMPUTER IRRIGATION CONTROLLERS FOR CENTENNIAL PARK {STRATEGIC PLAN NO. 6, 1) — Parks, Recreation and Community Services Agency MOTION: Approve an appropriation adjustment. (Requires five affirmative votes). APPROPRIATION ADJUSTMENT NO. 2020-017 - Recognizing $23,760 from the SoCal Water$mart Public Agency Landscape Program in the Miscellaneous income account and appropriate the same amount to the Parks, Recreations and Community Services Agency Operating Materials & Supplies Buildings/Grounds account to purchase central computer irrigation controllers for Centennial Park. This Consent Item - was continued to a future meeting. DRAFT CITY COUNCIL MINUTES August 20, 2019 ' woo 20C. APPROVE AN APPROPRIATION ADJUSTMENT AND AGREEMENTS WITH THE METROPOLITAN WATER DISTRICT OF SOUTHERN CALIFORNIA AND ORANGE COUNTY WATER DISTRICT FOR FUTURE SUPPLY ACTIONS FUNDING PROGRAM MUSSELS STUDY ($122,796 EACH AGREEMENT) {STRATEGIC PLAN NO. 5, 21 — Public Works Agency Approve an appropriation adjustment. (Requires five affirmative votes). APPROPRIATION ADJUSTMENT NO. 2020-018 - Recognizing $122,796 in Metropolitan Water District of Southern California Future Supply Actions Funding Program funds into the Public Works Water Revenue, Miscellaneous Recoveries revenue account, and appropriating the same amount into the Water Admin/Engineering Contract Services Professional expenditure account. 2. Authorize the City Manager and Clerk of the Council to execute an agreement with the Metropolitan Water District of Southern California through its Future Supply Actions Funding Program for the Restoration of Local Recharge Sources from Invasive Dreissenid Mussels Study, for the term commencing May 7, 2019, through December 31, 2021, for an amount not to exceed $122,796 (Agreement No. 2019-xxx). 3. Authorize the City Manager and Clerk of the Council to execute agreement with the Orange County Water District to complete the Restoration of Local Recharge Sources from Invasive Dreissenid Mussels Study, for the term commencing May 7, 2019, through December 31, 2021, at a 50%-share cost not to exceed $122,796 (Agreement No. 2019-xxx). Councilmember Sarmiento motioned to approve 20C - Agreement Nos. 2019-130 and 2019-131, seconded by Councilmember Solorio. MOTION: Councilmember SECOND: Councilmember Solorio Sarmiento VOTE: AYES: Mayor Pulido, Councilmember Iglesias, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio (5) NOES: None (0) ABSTAIN: None (0) ABSENT: Mayor Pro Tern Villegas (Mayor Pro Tern Villegas) 20D. APPROVE APPROPRIATION ADJUSTMENTS NO. 2019-179 INCREASING REVENUE AND EXPENDITURE ACCOUNTS BY $74,000 TO COVER REIMBURSABLE LEGAL COSTS ASSOCIATED WITH SPECIFIC DEVELOPMENT PROJECTS FOR FISCAL YEAR 2018-19 AND AN APPROPRIATION ADJUSTMENT DRAFT CITY COUNCIL MINUTES 9 August 20, 2019 10 B-9 2020-013 INCREASING REVENUE AND EXPENDITURE ACCOUNTS BY $500,000 TO COVER REIMBURSABLE LEGAL COSTS FOR LEGAL SERVICES PROVIDED BY BEST BEST AND KRIEGER LLP ASSOCIATED WITH SPECIFIC DEVELOPMENT PROJECTS FOR FISCAL YEAR 2019-20 {STRATEGIC PLAN NO. 4, 2A) — Planning and Building Agency MOTION: Approve appropriation adjustments. (Requires five affirmative votes). APPROPRIATION ADJUSTMENT NO. 2019-179 - Adding $74,000 to the Expense Reimbursement Account to reflect anticipated fees collected from developers to cover outside legal costs associated with processing development projects and adding $74,000 to Contract Services -Professional Account to reflect anticipated payment of legal costs incurred by the City in processing development projects. The total allocations are subject to non -substantive changes by the City Manager and City Attorney. APPROPRIATION ADJUSTMENT NO. 2020-013 - Adding $500,000 to Expense Reimbursement Account to reflect anticipated fees collected from developers to cover as needed third party legal support associated with processing development projects and adding $500,000 to Contract Services -Professional Account to reflect anticipated payment of legal costs incurred by the City in processing development projects. The total allocations are subject to non - substantive changes by the City Manager and City Attorney. SPECIFICATIONS - PURCHASE OF EQUIPMENT AND SERVICES 22A. AWARD A 2-YEAR BLANKET ORDER CONTRACT IN THE AMOUNT NOT TO EXCEED $1,500,000 TO EARTH TOOL COMPANY LLC, DBA HAMMERHEAD, FOR SEWER LINING MATERIALS AND SUPPLIES (SPECIFICATION NO. 19-059) (NON - GENERAL FUND) {STRATEGIC PLAN NO. 6, 2) - Public Works Agency and Finance and Management Services Agency MOTION: Award a blanket order contract to Earth Tool Company LLC dba HammerHead, for sewer lining materials and supplies for a two-year period beginning August 20, 2019, and expiring August 19, 2021, with provisions for three one-year renewals exercisable by the City Manager, in an annual amount of $300,000, for a total amount not to exceed $1,500,000, subject to non -substantive changes approved by the City Manager and City Attorney. 22B. AWARD CONTRACTS TO DITCH WITCH WEST FOR PIPE BURSTING SYSTEM AND RELATED MATERIALS IN AN AMOUNT NOT TO EXCEED $107,744 (SPECIFICATION NO. 19-053) (NON -GENERAL FUND) {STRATEGIC PLAN NO. 6,21 - Public Works Agency and Finance and Management Services Agency Authorize one-time purchase and payment of purchase order to Ditch Witch West for a HammerHead pipe bursting system for a total amount not to exceed DRAFT CITY COUNCIL MINUTES 10 August 20, 2019 1OB-10 $32,744, subject to non -substantive changes approved by the City Manager and City Attorney. 2. Award a blanket order contract to Ditch Witch West for pipe bursting materials for a two-year period beginning September 1, 2019, and expiring August 31, 2021, with provisions for three one-year renewals exercisable by the City Manager, in an annual amount of $15,000, for a total amount not to exceed $75,000, to be paid with Sanitary Sewer Service funds, subject to non -substantive changes approved by the City Manager and City Attorney. 23A. AWARD A CONSTRUCTION CONTRACT TO G.J. GENTRY GENERAL ENGINEERING, INC., IN THE AMOUNT OF $1,269,090 FOR THE CITYWIDE SEWER MAIN IMPROVEMENTS PROJECT ESTIMATED DELIVERY COST: $1,629,500 (PROJECT NO. 17-6437) (NON -GENERAL FUND) {STRATEGIC PLAN NO. 6, 1 B AND 1 C) - Public Works Agency Award a construction contract to G.J. Gentry General Engineering, Inc., the lowest responsible bidder, in accordance with the base bid in the amount of $1,269,090, for construction of the Citywide Sewer 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 $1,629,500, which includes $1,269,090 for the construction contract, $190,364 for contract administration, inspection and testing, and a $170,046 project contingency (approximately 13.40% of the construction contract amount), paid with Capital Recovery Charges funding. 23B. AWARD A CONSTRUCTION CONTRACT TO G.J. GENTRY GENERAL ENGINEERING, INC., IN THE AMOUNT OF $805,829 FOR THE WILLARD NEIGHBORHOOD SEWER MAIN IMPROVEMENTS PROJECT ESTIMATED DELIVERY COST: $1,047,579 (PROJECT NO. 16-6466) (NON -GENERAL FUND) {STRATEGIC PLAN NO. 6, 1 B; 1 C) — Public Works Agency Award a construction contract to G.J. Gentry General Engineering, Inc., the lowest responsible bidder, in accordance with the base bid in the amount of $805,829, for construction of the Willard Neighborhood Sewer 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. DRAFT CITY COUNCIL MINUTES 11 August 20, 2019 1OB-11 Approve the Project Cost Analysis for a total estimated construction delivery cost of $1,047,579, which includes $805,829 for the construction contract, $120,875 for contract administration, inspection and testing, and a $120,875 project contingency (approximately 15% of the construction contract amount), to be paid with Sanitary Sewer Capital funds. 23C. AWARD A CONSTRUCTION CONTRACT TO R.J. NOBLE COMPANY IN THE AMOUNT OF $843,301 FOR THE ALTON AVENUE REHABILITATION AND D-03 CHANNEL IMPROVEMENTS AT ALTON AVENUE REPAIR PROJECTS ESTIMATED DELIVERY COST: $1,033,360 (PROJECT NOS.19-6941, 19-6617) (NON -GENERAL FUND) {STRATEGIC PLAN NO. 6, 1 B; 1 C; 1 G) - Public Works Agency Award a construction contract to R.J. Noble Company, the lowest responsible bidder, in accordance with the base bid in the amount of $843,301, for construction of the Alton Avenue Rehabilitation from Raitt Street to Bristol Street Project and the D-03 Channel Improvements Project at Alton Avenue, 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. Approve the Project Cost Analysis for a total estimated construction delivery cost of $1,033,360, which includes $843,301 for construction contract, $105,789 for contract administration, inspection and testing, and a $84,270 project contingency (approximately 10% of the construction contract amount), paid with Highway Users Tax Account -Road Maintenance and Rehabilitation funds and Public Works Storm Drain Construction funds. The budget is sufficient to cover the contract. AGREEMENTS 25A. APPROVE COMMUNITY BENEFIT AGREEMENTS WITH NATI'S HOUSE, SANTA ANA XTREME, AND WISEPLACE FOR FISCAL YEAR 2019-2020 FOR A TOTAL AMOUNT OF $110,000 {STRATEGIC PLAN NO. 1, 6; 2, 2; 5, 41 - Community Development Agency MOT/ON: Authorize the City Manager and the Clerk of the Council to execute agreements with the following non-profit organizations to provide community benefit programs during the period of August 20, 2019 through June 30, 2020 in a total amount not to exceed $110,000, subject to non -substantive changes approved by the City Manager and City Attorney: Nati's House (dba, Neutral Ground) to provide after school programming and mentoring to youth focusing on violence prevention, gang intervention, restorative practices, mentoring, and drug and alcohol prevention, in the amount of $50,000 (Agreement No. 2019-xxx); DRAFT CITY COUNCIL MINUTES 12 August 20, 2019 1OB-12 b. Santa Ana Xtreme Softball to provide youth softball team that develops female athletes as future civic leaders through self-discipline, hard -work and important life lessons in the amount of $30,000 (Agreement No. 2019-xxx); C. WISEPlace to provide programs that help transition unaccompanied homeless women back to self-sufficiency and reunite them with their families in the amount of $30,000 (Agreement No. 2019-xxx). Mayor Pulido motioned to approve item 25A—Agreement Nos. 2019-132, 2019-133, and 2019-134, seconded by Councilmember Sarmiento. MOTION: Mayor SECOND: Councilmember Sarmiento Pulido VOTE: AYES: Mayor Pulido, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio (4) NOES: Councilmember Iglesias (1) ABSTAIN: None (0) ABSENT: Mayor Pro Tern Villegas (Mayor Pro Tern Villegas) 25B. APPROVE THE THIRD AMENDMENT AND ONE YEAR EXTENSION IN THE AMOUNT OF $129,437.94 FOR INOVAH CASHIERING SYSTEM SOFTWARE SUPPORT AND HARDWARE MAINTENANCE WITH SYSTEM INNOVATORS, A DIVISION OF N. HARRIS COMPUTER CORPORATION {STRATEGIC PLAN NO. 7, 5) - Finance and Management Services Agency Authorize the City Manager and Clerk of the Council to execute the third amendment to the agreement with N. Harris Computer Corporation, System Innovators, for ongoing professional software services, related hardware purchases, support, and maintenance for the City's cashiering system by an additional amount of $129,437.94, which includes a ten percent (10%) contingency of $12,735.00, subject to non -substantive changes approved by the City Manager and Clerk of the Council and; Approve the exercise of the first year of a previously authorized two-year optional agreement extension, effective for the period January 1, 2020 through December 31, 2020, extending the current three-year agreement set to expire on December 31, 2019, along with a re -authorization for a second additional one-year extension for the period January 1, 2021 through December 31, 2021 exercisable by the City Manager, subject to non -substantive changes approved by the City Attorney and City Manager (Agreement No. 2019-xxx). DRAFT CITY COUNCIL MINUTES 13 August 20, 2019 1OB-13 This Consent Item - Agreement No. 2019-135 was approved. 25C. APPROVE AGREEMENT WITH CLEARSOURCE FINANCIAL CONSULTING TO PREPARE AN INDIRECT COST ALLOCATION PLAN AND INTERNAL SERVICE FUNDS COST ALLOCATION METHODOLOGY FOR UP TO FIVE YEARS, FOR A TOTAL AGGREGATE AMOUNT NOT TO EXCEED $170,700 {STRATEGIC PLAN NO. 4, 1 } — Finance and Management Services Agency MOT/ON: Authorize the City Manager and Clerk of the Council to execute an agreement with Clearsource Financial Consulting to prepare an Indirect Cost Allocation Plan and Internal Service Funds Cost Allocation Methodology, for a three-year period August 20, 2019 through August 19, 2022, with a provision for two additional one-year terms exercisable (beginning August 2022 through August 2024) by the City Manager and the City Attorney, for a total aggregate amount not to exceed $170,700 for the term of the contract, including the optional renewals, subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. 2019-xxx). This Consent Item - Agreement No. 2019-136 was approved. 25D. APPROVE AN AGREEMENT WITH VMI, INC. FOR THE PURCHASE AND INSTALLATION OF A NEW VIDEO WALL IN THE CITY COUNCIL CHAMBERS IN THE AMOUNT NOT TO EXCEED $159,342 FOR THE PERIOD AUGUST 20, 2019 TO FEBRUARY 19, 2020 TO BE FUNDED BY PUBLIC, EDUCATIONAL, AND GOVERNMENTAL FUNDS {STRATEGIC PLAN NO. 2, 3} — Parks, Recreation and Community Services Agency MOT/ON: Authorize the City Manager and Clerk of the Council to execute an agreement with VMI, Inc. for the purchase and installation of a new video wall in the City Council Chambers in the amount not to exceed $159,342, which includes a 10% contingency for the period August 20, 2019 to February 19, 2020 to be funded with Public, Educational and Governmental funds, subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. 2019-xxx). This Consent Item - Agreement No. 2019-137 was approved. ��yar_���:z.�•����ya►�y�_��:�aawia►rr_wia►u�wia►r��a�rr:��•u_�ry:�l.�ur� TENNIS ACADEMY, LLC FOR THE MANAGEMENT AND OPERATION OF CABRILLO TENNIS CENTER AND TO RECEIVE THE AMOUNT OF $4,000 PER MONTH FOR A MONTH -TO -MONTH TERM STARTING SEPTEMBER 5, 2019 TO DECEMBER 31, 2019 TO BE DEPOSITED IN THE GENERAL FUND {STRATEGIC PLAN NO. 2, 11 — Parks, Recreation and Community Services Agency MOT/ON: Authorize the City Manager and Clerk of the Council to execute a license agreement amendment with Match Point Tennis Academy for the management and operation of Cabrillo Tennis Center and the City to receive the amount of $4,000 per month for a month -to -month term starting September 5, 2019 until December 31, 2019, to be deposited in the General Fund, subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. 2019-xxx). DRAFT CITY COUNCIL MINUTES 14 August 20, 2019 1OB-14 This Consent Item - Agreement No. 2019-138 was approved. 25F. APPROVAL OF A HISTORIC PROPERTY PRESERVATION AGREEMENT - 2112 NORTH FLOWER STREET {STRATEGIC PLAN NO. 5, 2; 5, 3) - Planning and Building Agency MOT/ON: Authorize the City Manager and Clerk of the Council to execute the attached Mills Act agreement with the below -referenced property owners for the identified structures, subject to non -substantive changes approved by the City Manager and City Attorney. Property Owner(s) Khanh B. Nguyen and Chinh K. Do; Historic Property Preservation Agreement No. 2019-01; Address/House - 2112 North Flower Street; Vote by HRC - 8:0 (Ramos absent) (Agreement No. 2019-xxx) This Consent Item - Agreement No. 2019-139 was approved. 25G. APPROVE AN AGREEMENT WITH FIESTA DE CARNIVAL FOR CARNIVAL SERVICE RIGHTS FOR THE FIESTAS PATRIAS 2019 EVENT AND THE CITY TO RECEIVE 25% OF TOTAL REVENUE SALES TO BE DEPOSITED IN THE GENERAL FUND {STRATEGIC PLAN NO. 5, 5) — Parks, Recreation and Community Services Agency MOT/ON: Authorize the City Manager and Clerk of the Council to execute an agreement with International Promotions, Inc. doing business as Fiesta de Carnival for carnival services rights for the Fiestas Patrias 2019 event and the City to receive 25% of total revenue sales deposited in the General Fund, for a term starting August 20, 2019 through November 30, 2019, subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. 2019-XXX). Councilmember Penaloza motioned to approve item 25G — Agreement No. 2019-140, seconded by Councilmember Sarmiento. MOTION: Councilmember SECOND: Councilmember Sarmiento Penaloza VOTE: AYES: Mayor Pulido, Mayor Pro Tern Villegas, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio (5) NOES: Councilmember Iglesias (1) ABSTAIN: None (0) ABSENT: None (0) 25H. APPROVE AGREEMENT WITH SWAYZER CORPORATION FOR LANDSCAPE MAINTENANCE SERVICES, FOR A 3-YEAR PERIOD, IN AN AMOUNT NOT TO EXCEED $125,000 ANNUALLY FOR A TOTAL AMOUNT OF $625,000 (NON - GENERAL FUND) {STRATEGIC PLAN NO. 6, 1C) — Public Works Agency DRAFT CITY COUNCIL MINUTES 15 August 20, 2019 1OB-15 MOT/ON: Authorize the City Manager and Clerk of the Council to execute an agreement with Swayzer Corporation for Landscape Maintenance Services at Water Facilities and at the Santa Ana Regional Transportation Center, for the three-year period beginning August 20, 2019, and expiring August 19, 2022, with a provision for one, two-year renewal option exercisable by the City Manager and City Attorney, in an amount not to exceed $125,000 annually, for a total amount of $625,000 subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. 2019-XXX). Councilmember Penaloza motioned to approve item 25H — Agreement No. 2019-141, seconded by Councilmember Sarmiento. MOTION: Councilmember SECOND: Councilmember Sarmiento Penaloza VOTE: AYES: Mayor Pulido, Mayor Pro Tern Villegas, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio (5) NOES: Councilmember Iglesias (1) ABSTAIN: None (0) ABSENT: None (0) 251. APPROVE AGREEMENTS WITH MIKE PRLICH AND SONS, INC.; PAULUS ENGINEERING, INC.; AND T. E. ROBERTS, INC., FOR EMERGENCY ON -CALL SEWER AND WATER SYSTEM REPAIR SERVICES, FOR A 3-YEAR PERIOD, IN AMOUNT NOT TO EXCEED $500,000 ANNUALLY AND NOT TO EXCEED A TOTAL OF $2,500,000 (NON -GENERAL FUND) {STRATEGIC PLAN NO. 6, 11 — Public Works Agency MOT/ON: Authorize the City Manager and Clerk of the Council to execute agreements with Mike Prlich and Sons, Inc.; Paulus Engineering, Inc.; and T.E. Roberts, Inc., for on - call emergency sewer and water system repair services for a three-year period beginning August 20, 2019, and expiring August 19, 2022, in an aggregate annual amount of $500,000, with provision for a two-year renewal exercisable by the City Manager and City Attorney, for a total amount not to exceed $2,500,000, to be paid with Water Systems Maintenance and Sanitary Sewer Service funds, subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. 2019-xxx). This Consent Item - Agreement No. 2019-142 was approved. 25J. APPROVE MEMORANDUM OF UNDERSTANDING WITH COMMUNITY ACTION PARTNERSHIP OF ORANGE COUNTY, RANCHO SANTIAGO COMMUNITY COLLEGE DISTRICT, AND THE SOUTHERN CALIFORNIA INDIAN CENTER AS PARTNERS UNDER THE WORKFORCE INNOVATION AND OPPORTUNITY ACT {STRATEGIC PLAN NO 2, 4) — Community Development Agency DRAFT CITY COUNCIL MINUTES 16 August 20, 2019 1OB-16 MOT/ON: Authorize the Mayor, City Manager and Clerk of the Council to execute a Memorandum of Undersanding with the Santa Ana Workforce Development Board and Community Action Partnership of Orange County, Rancho Santiago Community College District, and the Southern California Indian Center as part of America's Job Center of California to establish a cooperative working relationship between the parties and to define respective roles and responsibilities, subject to non -substantive changes approved by the City Manager and City Attorney (Agreement Nos. 2019-xxx, 2019-xxx, 2019-xxx). This Consent Item - Agreement Nos. 2019-143, 2019-144, and 2019-145 were approved. 25K. APPROVE AN AGREEMENT WITH PRIORITY LANDSCAPE SERVICES, LLC TO PROVIDE LANDSCAPE MAINTENANCE SERVICES IN DISTRICT A FOR AN AMOUNT NOT TO EXCEED $329,739 FOR THE PERIOD JULY 1, 2019 TO JUNE 30, 2020 TO BE FUNDED BY CIVIC CENTER AUTHORITY FUNDS {STRATEGIC PLAN NO. 6, 1) — Parks, Recreation and Community Services Agency MOT/ON: Authorize the City Manager and Clerk of the Council to execute an agreement with Priority Landscape Services, LLC to provide landscape maintenance services in District A for an amount not to exceed $329,739, which includes a 15% contingency, for the period July 1, 2019 to June 30, 2020 to be funded by Civic Center Authority funds, subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. 2019-xxx). Mayor Pulido motioned to approve item 25K — Agreement No. 2019-146, seconded by Councilmember Penaloza. MOTION: Mayor SECOND: Councilmember Penaloza Pulido VOTE: AYES: Mayor Pulido, Mayor Pro Tern Villegas, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio (5) NOES: Councilmember Iglesias (1) ABSTAIN: None (0) ABSENT: None (0) 25L. APPROVE AN AMENDMENT TO THE AGREEMENT WITH STRAIGHTLINE COMMUNICATIONS, LLC IN THE ANNUAL AMOUNT OF $25,000 FOR ADDITIONAL AUXILIARY SERVICES, FOR A NEW ANNUAL AMOUNT NOT TO EXCEED $95,000{STRATEGIC PLAN NO. 5, 4) - Public Works Agency MOT/ON: Authorize the City Manager and Clerk of the Council to execute an amendment to the agreement with Straightline Communications, LLC to provide additional auxiliary support services related to community outreach and education by increasing the annual DRAFT CITY COUNCIL MINUTES 17 August 20, 2019 1OB-17 agreement amount by $25,000, for a total annual amount not to exceed $95,000 for the remaining 2 years of the agreement and the 2-year optional extension, if exercised, which increases the total agreement amount by $100,000, to a total of $450,000 inclusive of the 2 year optional extension, subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. 2019-xxx). This Consent Item - Agreement No. 2019-147 was approved. END OF CONSENT CALENDAR ADMINISTER OATH OF OFFICE TO THE NEWLY APPOINTED COMMISSIONERS: 1. Community Redevelopment and Housing Commission - Miguel Calderon Daisy Gomez, Clerk of the Council, administered the oath of office to Miguel Calderon after Items 13A and 13B were heard. 2. Youth Commission - Andreanela Ordonez Daisy Gomez, Clerk of the Council, administered the oath of office to Andreanela Ordonez after Items 13A and 13B were heard. BUSINESS CALENDAR RESOLUTIONS 55A. APPROVE AN APPROPRIATION ADJUSTMENT IN THE AMOUNT OF $696,120; ADOPT A RESOLUTION AMENDING RESOLUTION NO. 2015-026 TO EFFECT CERTAIN CHANGES TO THE CITY'S BASIC CLASSIFICATION AND COMPENSATION PLAN; AND APPROVE A MEMORANDUM OF UNDERSTANDING WITH THE SANTA ANA POLICE MANAGEMENT ASSOCIATION {STRATEGIC PLAN NO. 7, 4, & 61 - Human Resources Department 1. Approve an appropriation adjustment. (Requires five affirmative votes). APPROPRIATION ADJUSTMENT NO. 2020-020 — Transferring $696,120 from the General Fund Non -Departmental accounting unit into the appropriate General Fund accounting units. 2. Adopt a resolution. A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING RESOLUTION NO. 2015-026 TO EFFECT CERTAIN CHANGES TO THE CITY'S BASIC CLASSIFICATION AND COMPENSATION PLAN 3. Authorize the City Manager and the Clerk of the Council to execute a Memorandum of Understanding with the Santa Ana Police Management Association (SAPMA) for the period July 1, 2018 through June 30, DRAFT CITY COUNCIL MINUTES 18 August 20, 2019 1OB-18 2021, regarding wages and other terms of conditions of employment (Agreement No. 2019-XXX). Item 55A was continued to a future meeting. 55B. APPROVE AN APPROPRIATION ADJUSTMENT IN THE AMOUNT OF $277,818; ADOPT A RESOLUTION AMENDING RESOLUTION NO. 2015-026 TO EFFECT CERTAIN CHANGES TO THE CITY'S BASIC CLASSIFICATION AND COMPENSATION PLAN; AND APPROVE A MEMORANDUM OF UNDERSTANDING WITH THE SANTA ANA MANAGEMENT ASSOCIATION (SAMA) {STRATEGIC PLAN NO. 7, 4, & 6) - Human Resources Department 1. Approve an appropriation adjustment. (Requires five affirmative votes). APPROPRIATION ADJUSTMENT NO. 2020-021 - Transferring $277,818 from General Fund Non -Departmental into the appropriate General Fund Accounting Units. 2. Adopt a resolution. A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING RESOLUTION NO. 2015-026 TO EFFECT CERTAIN CHANGES TO THE CITY'S BASIC CLASSIFICATION AND COMPENSATION PLAN 3. Authorize the City Manager and the Clerk of the Council to execute a Memorandum of Understanding with the Santa Ana Management Association (SAMA) for the period January 1, 2019 through June 30, 2022, regarding wages and other terms of conditions of employment (Agreement No. 2019-XXX). Item 55B was continued to a future meeting. 55C. APPROVE AN APPROPRIATION ADJUSTMENT IN THE AMOUNT OF $183,279; APPROVE AN AMENDMENT TO THE CITY'S BASIC CLASSIFICATION AND COMPENSATION PLAN AND APPROVE A MEMORANDUM OF UNDERSTANDING WITH THE CONFIDENTIAL ASSOCIATION OF SANTA ANA {STRATEGIC PLAN NO. 7, 4 & 61 - Human Resources Department 1. Approve an appropriation adjustment. (Requires five affirmative votes). APPROPRIATION ADJUSTMENT NO. 2020-022 - Transferring $183,279 from General Fund Non -Departmental into the appropriate General Fund Accounting Units. 2. Adopt a resolution. A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING RESOLUTION NO. 2015-026 TO EFFECT CERTAIN CHANGES TO THE CITY'S DRAFT CITY COUNCIL MINUTES 19 August 20, 2019 1OB-19 BASIC CLASSIFICATION AND COMPENSATION PLAN 3. Authorize the City Manager and the Clerk of the Council to execute a Memorandum of Understanding (MOU) with the Confidential Association of Santa Ana (CASA) for the period of January 1, 2019 through June 30, 2022, regarding wages and other terms and conditions of employment (Agreement No. 2019-XXX). Item 55C was continued to a future meeting. 55D. ADOPT A RESOLUTION REINSTATING THE LIBRARY DEPARTMENT {STRATEGIC PLAN NO. 7,6) — Human Resources Department MOT/ON: Adopt a resolution. A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA REINSTATING THE LIBRARY DEPARTMENT Councilmember Iglesias motioned to adopt Item 55D, seconded by Councilmember Penaloza. MOTION: Councilmember SECOND: Councilmember Penaloza Iglesias VOTE: AYES: Mayor Pulido, Mayor Pro Tern Villegas, Councilmember Iglesias, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio (6) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) 55E. ADOPT A RESOLUTION ACCEPTING A DONATION OF POLICE K-9 ANIMALS, EQUIPMENT AND SUPPLIES FROM JOHANNA SCILLIERI FOR THE SANTA ANA POLICE DEPARTMENT K-9 PROGRAM {STRATEGIC PLAN GOAL NO. 1, C) — Police Department MOT/ON: Adopt a resolution. A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ACCEPTING THE DONATION OF POLICE K-9 ANIMALS, EQUIPMENT AND SUPPLIES FROM JOHANNA SCILLIERI FOR THE SANTA ANA POLICE DEPARTMENT K-9 PROGRAM Mayor Pro Tern Villegas motioned to adopt 55E, seconded by Councilmember Iglesias. MOTION: Mayor Pro SECOND: Councilmember Iglesias Tern Villegas DRAFT CITY COUNCIL MINUTES 20 August 20, 2019 1 OB-20 VOTE: AYES: Mayor Pulido, Mayor Pro Tern Villegas, Councilmember Iglesias, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio (6) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) 55F. ADOPT A RESOLUTION AMENDING THE FEE FOR RELEASE OF IMPOUNDED VEHICLES FOR UNLICENSED OR SUSPENDED/REVOKED DRIVER'S LICENSES {STRATEGIC PLAN NO. 4, 2A)— Police Department MOT/ON: Adopt a resolution. A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTAANA MODIFYING THE UNIFORM SCHEDULE OF MISCELLANEOUS FEES AMENDING THE FEE FOR RELEASE OF IMPOUNDED VEHICLES FOR UNLICENSED OR SUSPENDED/REVOKED DRIVER'S LICENSES Councilmember Penaloza motioned to adopt 55F, seconded by Mayor Pro Tern Villegas. MOTION: Councilmember SECOND: Mayor Pro Tern Villegas Penaloza VOTE: AYES: Mayor Pulido, Mayor Pro Tern Villegas, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio (5) NOES: Councilmember Iglesias (1) ABSTAIN: None (0) ABSENT: None (0) 55G. ADOPT REIMBURSEMENT AGREEMENT RESOLUTION FOR LAND USE APPLICATIONS AND PROJECTS {STRATEGIC PLAN NO. 3, 5A) - Planning and Building Agency MOT/ON: Adopt a resolution. RESOLUTION OF THE CITY OF SANTA ANA AUTHORIZING THE CITY MANAGER TO EXECUTE DEPOSIT/REIMBURSEMENT AGREEMENTS FOR PROFESSIONAL SERVICES RELATED TO DEVELOPMENT PROJECTS Councilmember Penaloza motioned to adopt 55G, seconded by Mayor Pro Tern Villegas. DRAFT CITY COUNCIL MINUTES 21 August 20, 2019 1 OB-21 MOTION: Councilmember SECOND: Mayor Pro Tern Villegas Penaloza VOTE: AYES: Mayor Pulido, Mayor Pro Tern Villegas, Councilmember Iglesias, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio (6) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) r_1QIAI1►16-1r:LAr►•21:8JAfill aIA:��:11)t91►1:&X 60A. APPROVE A DENSITY BONUS AGREEMENT TO ALLOW A 552 UNIT AFFORDABLE RENTAL PROJECT AT 2110, 2114, AND 2020 EAST FIRST STREET {STRATEGIC PLAN NO. 3, 2; 5, 31 - Planning and Building Agency and Community Development Agency Planning Commission approved recommended action on June 14, 2018 by a vote of 4-1 (Bacerra dissented). MOT/ON: Authorize the City Manager and Clerk of the Council to execute a Density Bonus Agreement with Santa Ana Pacific Associates, and Santa Ana Pacific Associates II, or assigns, for a 55-year term, for the development of a 552-unit affordable rental project at 2110, 2114, and 2020 East First Street, subject to non -substantive changes approved by the City Manager and City Attorney. PUBLIC COMMENT Kimberly Adams spoke in support of the item. Elizabeth Hensburg spoke in support of the item. Aaron McCall spoke in support of the item. Thai Phan spoke in support of the item. Jessie Lopez spoke in support of the item. Claudio Gallegos, on behalf of Congressman Lou Correa, spoke in support of the item. Dang T. Le spoke in support of the item. Roger Richards spoke in support of the item. Michael Wright spoke in support of the item. DRAFT CITY COUNCIL MINUTES 22 August 20, 2019 1 OB-22 Councilmember Sarmiento motioned to approve item 60A, seconded by Mayor Pulido. MOTION: Councilmember SECOND: Mayor Pulido Sarmiento VOTE: AYES: Mayor Pulido, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio (4) NOES: Mayor Pro Tern Villegas, Councilmember Iglesias (2) ABSTAIN: None (0) ABSENT: None (0) 60B. RECEIVE AND FILE STAFF REPORT APPROVING TENTATIVE PARCEL MAP NO. 2018-02 (COUNTY MAP NO. 2016-165) TO COMBINE TWO LOTS INTO ONE AND CREATE TWO UNITS FOR CONDOMINIUM PURPOSES AT 2110, 2114, AND 2020 EAST FIRST STREET - JOY HENDRICKS, APPLICANT {STRATEGIC PLAN NO. 3, 2; 5, 31 - Planning and Building Agency MOT/ON: It is recommended that the City Council receive and file the staff report approving Tentative Parcel Map No. 2018-02 as conditioned. Councilmember Sarmiento motioned to receive and file item 60B, seconded by Councilmember Solorio. MOTION: Councilmember Sarmiento VOTE: AYES: NOES: ABSTAIN ABSENT: PUBLIC HEARINGS Mayor Pulido, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio (4) Mayor Pro Tern Villegas, Councilmember Iglesias (2) None (0) None (0) DRAFT CITY COUNCIL MINUTES 23 August 20, 2019 1 OB-23 75A. PUBLIC HEARING -APPROVE ORDINANCE AMENDMENT NO. 2019-01 TO AMEND CERTAIN SECTIONS OF CHAPTERS 18, 21, AND 40 OF THE SANTA ANA MUNICIPAL CODE ALLOWING VERTICAL AND HORIZONTAL INTEGRATION OF CANNABIS BUSINESSES; UPDATING OWNERSHIP TRANSFERS, PROCEDURAL STANDARDS AND REQUIREMENTS, SECURITY DEPOSITS, AND VARIOUS ADMINISTRATIVE PROCESSES; UPDATING AND STREAMLINING REGULATORY COMPONENTS; REDUCING CANNABIS TESTING TAXES TO TWO PERCENT OF GROSS RECEIPTS; ADOPTING A CANOPY MEASUREMENT AND SQUARE FOOTAGE ALLOCATION SERVICE FEE; AND AUTHORIZING AMENDMENT OF THE COMMERCIAL CANNABIS OPERATING AGREEMENT TEMPLATE {STRATEGIC PLAN NO. 3, 2; 3, 3; 3, 5; 4, 3) - Planning and Building Agency and Finance and Management Services Agency Legal Notice published in the Orange County Reporter August 9, 2019 and August 16, 2019. 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) Place ordinance on first reading and authorize publication of title. AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING CERTAIN SECTIONS OF ARTICLE XIII OF CHAPTER 18 OF THE SANTA ANA MUNICIPAL CODE PERTAINING TO MEDICINAL MARIJUANA AND CHAPTER 40 OF THE MUNICIPAL CODE PERTAINING TO COMMERCIAL CANNABIS TO UPDATE AND STREAMLINE IMPLEMENTATION OF COMMERCIAL CANNABIS, INCLUDING MEDICINAL CANNABIS PURCHASING AGE (SECTION 18-613), EMPLOYEE BADGES (SECTIONS 18-613 AND 40- 8), MANUFACTURING PERMIT REQUIREMENTS DRAFT CITY COUNCIL MINUTES 24 August 20, 2019 1 OB-24 (SECTION 40-8), AND ADMINISTRATION AND IMPLEMENTATION AMENDMENTS (SECTIONS 18- 617.5, 40-1, 40-2, 40-5, 40-8, 40-9.1, AND 40-10) 3. 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 4. 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 5. Adopt a resolution. A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING AMENDMENT OF THE COMMERCIAL CANNABIS OPERATING AGREEMENT TEMPLATE TO IDENTIFY SOCIAL EQUITY GOALS, AND REQUIREMENTS AND SPECIFY REQUIREMENTS FOR COMMUNITY BENEFIT AND SUSTAINABLE BUSINESS PRACTICES PLANS AND AUTHORIZE THE CITY MANAGER TO EXECUTE THE CANNABIS OPERATING AGREEMENTS Mayor Pro Tern Villegas opened the public hearing at 7:06 p.m. Iall:]I[+ZKe]JAIJi1:1►11 Brandon Sisco spoke in support of the item. Claudio Gallegos spoke in support of the item. Arya Maghbouleh spoke in support of the item. Will Emrick spoke in support of the item. Arturo Sanchez spoke in support of the item. Jillian Farrugia spoke in support of the item. Erica Gardea spoke in support of the item. Melahat Rafie spoke in support of the item. Mayor Pro Tern Villegas closed the public hearing at 7:24 p.m. DRAFT CITY COUNCIL MINUTES 2S August 20, 2019 1 OB-25 Councilmember Sarmiento motioned to adopt 75A as amended to reduce the test labs taxes from five (5) to one (1) percent and exclude the resolution agreement template to identify social equity goals, seconded by Councilmember Solorio. MOTION: Councilmember SECOND: Councilmember Solorio Sarmiento VOTE: AYES: Mayor Pro Tern Villegas, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio (4) NOES: Councilmember Iglesias (1) ABSTAIN: Mayor Pulido (1) ABSENT: None (0) 75B. PUBLIC HEARING — ADOPT A RESOLUTION FOR RECOVERY OF UNCOLLECTED COSTS FOR ABATEMENT OF DANGEROUS AND ABANDONED BUILDINGS {STRATEGIC PLAN NO. 5, 4) — Planning and Building Agency Legal Notice published in the Orange County Reporter on August 9, 2019 and notices mailed on said date. MOT/ON: Adopt a resolution. A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA CONFIRMING THE COSTS OF SECURING AND/OR DEMOLITION OF VARIOUS STRUCTURES DECLARED TO BE PUBLIC NUISANCES; MAKING, CONFIRMING AND LEVYING ASSESSMENTS FOR SUCH COSTS; AND ORDERING SUCH COSTS TO BE RECORDED WITH THE ORANGE COUNTY RECORDER'S OFFICE AND FORWARDED TO THE COUNTY AUDITOR, COUNTY ASSESSOR, AND COUNTY TAX COLLECTOR Seeing no one wishing to speak, Mayor Pulido opened and closed the public hearing at 8:54 p.m. Mayor Pro Tern Villegas motioned to adopt item 75B, seconded by Councilmember Sarmiento. MOTION: Mayor Pro SECOND: Councilmember Sarmiento Tern Villegas VOTE: AYES: Mayor Pulido, Mayor Pro Tern Villegas, Councilmember Iglesias, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio (6) DRAFT CITY COUNCIL MINUTES 26 August 20, 2019 1 OB-26 NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) 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. Only action available to City Council is to provide direction to City Manager. 85A. DISCUSS AND CONSIDER DIRECTING CITY MANAGER TO DIRECT STAFF TO REVIEW THE MEMBERSHIP OF BOARDS AND COMMISSIONS — Councilmember Iglesias Council Member Iglesias requested that staff bring back to Council the process and options for a vacant Council seat and review the appointments for Ward 4. Councilmember Penaloza nominated Alberta Christi to the Historic Resources Commission. 85B. DISCUSS AND CONSIDER DIRECTING CITY MANAGER TO DIRECT STAFF TO REVIEW PROPOSED REGIONAL HOUSING NEEDS ASSESSMENT (RHNA) ALLOCATION METHODOLOGY BY THE SOUTHERN CALIFORNIA ASSOCIATION OF GOVERNMENTS (SCAG) — Councilmember Iglesias Council Member Iglesias announced the two public hearings that will be held by the Southern California Association of Governments, and requested that staff provide the information on the city's website to encourage public participation at the hearings. 85C. DISCUSS AND CONSIDER DIRECTING CITY MANAGER TO DIRECT STAFF TO FORM A CHARTER REVIEW COMMITTEE TO MAKE AMENDMENTS TO THE CITY CHARTER — Councilmember Penaloza Council Member Penaloza requested that staff form a charter review committee to consider amendments. Iall,.]I[NZKe7JIIdl1:11►11 Chris Schmidt spoke in support of the item. 85D. DISCUSS AND CONSIDER DIRECTING CITY MANAGER AND CITY ATTORNEY TO EVALUATE POTENTIAL ENFORCEMENT ACTIONS AND REMEDIES RELATED TO NUISANCE CONDITIONS RESULTING FROM MENTAL HEALTH ASSOCIATION OF ORANGE COUNTY'S OPERATIONS ON MAIN STREET — Councilmember Sarmiento DRAFT CITY COUNCIL MINUTES 27 August 20, 2019 1 OB-27 Council Member Sarmiento requested for report to evaluate potential enforcement actions and remedies related to nuisance conditions resulting from mental health association of Orange County's operations on Main Street. PUBLIC COMMENT Chris Schmidt spoke in support of the item. PUBLIC COMMENTS (If not considered by the Chair at an earlier time. Please refer to Basic City Council Meeting Information page for details). Paul Berry spoke regarding supporting immigrants. Jorge Rodriguez spoke regarding in support of street improvements and ribbon cutting of inaguration. Irene Bautista spoke regarding in support of improvements with the four installments of the four roundabouts. Fatima Paque spoke in support of the installations of the four roundabouts in the Lacey neighborhood with the presence of Councilmember Penaloza a part of the inauguration. Kuananari Morales spoke regarding the support of roundabout. Vincent Navarrete spoke in support of the installations of the roundabout. Milton Linares spoke regarding the support of increase of police. Pedro Cesar Salgado spoke regarding the support of increase of police. Venancio Chavez spoke regarding being a victim of towing company theft. Marco Bello spoke regarding the safety and concerns of the Downtown Civic Center. Byron Lopez spoke regarding preserving Willowick and in opposition of any developments. Nabor Palomino spoke regarding preserving Willowick and in opposition of any developments. Marlha Sanchez spoke regarding preserving Willowick and requested that developers work with the residents. Sean Drexler spoke regarding preserving Willowick and in opposition of any developments. DRAFT CITY COUNCIL MINUTES 28 August 20, 2019 1 OB-28 Nina Baldwin spoke regarding preserving Willowick and in opposition of any developments. Robert Escandon, with RiseUp Willowick, spoke regarding preserving Willowick and in opposition of any developments. Cynthia Guerra spoke regarding preserving Willowick and in opposition of any developments. Jessie Lopez spoke regarding preserving Willowick and in opposition of any developments. Karen Rodriguez spoke regarding preserving Willowick and in opposition of any developments. Dale Helvig spoke regarding preserving Willowick and in opposition of any developments. Carlo Bonanni spoke regarding the safety concerns of bike trails and railroad tracks. Manny Escamilla spoke in support of open space and regional parks. Chris Schmidt spoke regarding the safety concerns throughout the city. 90A. CITY MANAGER'S COMMENTS City Manager Kristine Ridge provided brief comments. 90B. CITY COUNCILMEMBER COMMENTS 1. AB1234 DISCLOSURE — If the City paid for travel or other expenses this is the time for members of the Council to provide a brief oral report on attendance of any regional board or commission meeting or any conference, meeting or event attended. 2. ORAL REPORTS FROM STANDING OR AD -HOC CITY COUNCIL a. Legislative Affairs, Ethics and Transparency Committee, Chair Solorio - 7/29/2019 b. Youth, Education, and Community Services Committee, Chair Villegas - 7/29/2019 C. Economic Development Infrastructure, Budget and Technology Committee, Chair Solorio - 8/12/2019 Council Member Solorio provided a brief report and made announcements. DRAFT CITY COUNCIL MINUTES 29 August 20, 2019 1 OB-29 Council Member Penaloza provided a brief report and made announcements. Council Member Iglesias provided a brief report and made announcements. Council Member Sarmiento provided a brief report and made announcements. Mayor Pro Tern Villegas provided a brief report and made announcements. ADJOURNMENT - The next meeting of the City Council is scheduled for Tuesday, September 3, 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. Adjourned Meeting in Memory of Former City Employee Bruce Dunams at 10:27 p.m. Daisy Gomez, Clerk of the Council DRAFT CITY COUNCIL MINUTES 30 August 20, 2019 1 OB-30 DRAFT MINUTES OF THE REGULAR MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA September 3, 2019 CLOSED SESSION MEETING WTI In11exel 91:1:011111Iu_vc l:»:i llr:11JAI Mayor Pro Tern Villegas called the meeting to order at 5:14 and quorum established with the presence of Mayor Pro Tern Villegas, Councilmember Iglesias, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio; and Mayor Pulido joined at 5:15 p.m. COUNCILMEMBERS Present: Mayor Pulido Mayor Pro Tern Villegas Councilmember Iglesias Councilmember Penaloza Councilmember Sarmiento Councilmember Solorio COUNCILMEMBERS Absent: Ward 4 is vacant. PUBLIC COMMENTS - Members of the public may address the City Council on items on the Closed Session Agenda. There were no public comments made. 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: Mayor Pro Tern recessed the meeting to room 147 at 5:14 p.m. to discuss Closed Session Items 1-3 as listed on the agenda: 1. CONFERENCE WITH LEGAL COUNSEL - EXISTING LITIGATION pursuant to Paragraph (1) of subdivision (d) of Section 54956.9 of the Government Code: A) City of Santa Ana v. Antranik Ozbag Zorayan et al., Orange County Superior, Court Case No. 30- 2017-00938838 B) Orange County Catholic Worker, et al. v. DRAFT CITY COUNCIL MINUTES 1 September 3, 2019 10C-1 Orange County, et al.., U.S. District Court (Central District of California), Case No. SA CV 18-0155-DOC (KESx) C) 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) D) Rogelio Reyes v. City of Santa Ana, Case. No. SA CV 18-1537-DOC (ADSx) E) Santa Ana Police Officers Association et. al v. City of Santa Ana OC Superior Court, Case No. 30-2015-00771129-CU-WM-CJC 2. CONFERENCE WITH LEGAL COUNSEL --ANTICIPATED LITIGATION pursuant to paragraph (2) OR (3) of subdivision (d) of Section 54956.9 of the Government Code: One 3. 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); Confidential Association of Santa Ana (CASA); Santa Ana Management Association (SAMA) CLOSED SESSION REPORT - The City Attorney will report on any action(s) to be taken at the Regular Meeting which will begin immediately following the Closed Session Meeting. ADJOURN CLOSED SESSION AND CONVENE TO THE REGULAR OPEN SESSION. Mayor Pulido adjourned Closed Session at 6:20 p.m. DRAFT CITY COUNCIL MINUTES 2 September 3, 2019 10C-2 REGULAR OPEN MEETING WTI InriP1:791:1:aJiI_\'[e1:iall IIIX Mayor Pulido called the Regular Open Session to order at 6:21 p.m. COUNCILMEMBERS Present: Mayor Pulido Mayor Pro Tern Villegas Councilmember Iglesias Councilmember Penaloza Councilmember Sarmiento Councilmember Solorio COUNCILMEMBERS Absent: Ward 4 is vacant. PLEDGE OF ALLEGIANCE - MAYOR PULIDO INVOCATION - DAVE MITCHELL, POLICE CHAPLAIN CEREMONIAL PRESENTATIONS 1. SPECIAL PRESENTATION presented by the Santa Ana Chamber of Commerce, "YOUR Santa Ana Chamber of Commerce at Work." Dave Elliot, Chief Executive Officer, and team provided a brief presentation. 2. CERTIFICATES OF RECOGNITION presented by MAYOR PULIDO recognizing Alison Young for her contributions to the community. 3. CERTIFICATE OF RECOGNITION presented by COUNCILMEMBER SOLORIO recognizing the Professor John Dombrink for his contributions to the community. CLOSED SESSION REPORT - The City Attorney will report items to be added to Consent Calendar Item 19A from the Closed Session meeting. PUBLIC COMMENTS Bruce Channing spoke in support of Item 20B. CONSENT CALENDAR DRAFT CITY COUNCIL MINUTES 3 September 3, 2019 10C-3 MOTION: Approve staff recommendations on the following Consent Calendar items: Items 11A through 25F; 39A pulled for separate discussion. Councilmember Penaloza motioned to approve, seconded by Councilmember Solorio. MOTION: Councilmember SECOND: Councilmember Solorio Penaloza VOTE: AYES: Mayor Pulido, Mayor Pro Tern Villegas, Councilmember Iglesias, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio (6) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) ADMINISTRATIVE MATTERS ORDINANCES/SECOND READING - In the event a Councilmember recorded an "abstention" before consideration of the following ordinance(s) on first reading, such abstention will also be reflected in the minutes for second reading. 11A. ADOPT ORDINANCE NO. NS-2972 ENTITLED - 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) {STRATEGIC PLAN NO. 5, 1)— Planning and Building Agency Placed on first reading at the August 20, 2019 City Council meeting and approved by a vote of 4-1 (Iglesias dissented, Pulido absent). Published in the Orange County Reporter on August 23, 2019. MOTION: Place ordinance on second reading and adopt. This Consent — Motion was approved. DRAFT CITY COUNCIL MINUTES 4 September 3, 2019 10C-4 11 B. ADOPT ORDINANCE NO. NS-2973 ENTITLED: AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING CERTAIN SECTIONS OF ARTICLE XIII OF CHAPTER 18 OF THE SANTA ANA MUNICIPAL CODE PERTAINING TO MEDICINAL MARIJUANA AND CHAPTER 40 OF THE MUNICIPAL CODE PERTAINING TO COMMERCIAL CANNABIS TO UPDATE AND STREAMLINE IMPLEMENTATION OF COMMERCIAL CANNABIS, INCLUDING MEDICINAL CANNABIS PURCHASING AGE (SECTION 18-613), EMPLOYEE BADGES (SECTIONS 18-613 AND 40-8), MANUFACTURING PERMIT REQUIREMENTS (SECTION 40-8), AND ADMINISTRATION AND IMPLEMENTATION AMENDMENTS (SECTIONS 18-617.5, 40-1, 40-2, 40-5, 40-8, 40-9.1, AND 40-10) {STRATEGIC PLAN NO. 5, 11 — Planning and Building Agency Placed on first reading at the August 20, 2019 City Council meeting and approved by a vote of 4-1 (Iglesias dissented, Pulido absent). Published in the Orange County Reporter on August 23, 2019. MOTION: Place ordinance on second reading and adopt. This Consent — Motion was approved. BOARDS / COMMISSIONS / COMMITTEES 13A. APPOINT ALBERTA CHRISTY NOMINATED BY COUNCILMEMBER PENALOZA AS THE WARD 2 REPRESENTATIVE TO THE HISTORIC RESOURCES COMMISSION FOR A FULL -TERM EXPIRING DECEMBER 13, 2022 {STRATEGIC PLAN NO. 5, 1) - Clerk of the Council Office MOTION: Nominate Alberta Christy for an appointment to the Historic Resources Commission as the Ward 2 representative (replaces G. Hardy). This Consent — Motion was approved and oath issued. MISCELLANEOUS ADMINISTRATION 19A. CONFIRMATION OF CLOSED SESSION ACTION(S) — None. 19B. EXCUSED ABSENCES — Clerk of the Council Office None. DRAFT CITY COUNCIL MINUTES 5 September 3, 2019 10C-5 BUDGETARY MATTERS ����_w_���:z.�.��_vr_���:t.»:a_�r�.�►r_uan��rwia►rrrra:�xya►.�w_vu� APPROPRIATE $23,760 FROM THE SOCAL WATER$MART PUBLIC AGENCY LANDSCAPE PROGRAM TO PURCHASE CENTRAL COMPUTER IRRIGATION CONTROLLERS FOR CENTENNIAL PARK {STRATEGIC PLAN NO. 6, 1) — Parks, Recreation and Community Services Agency MOTION: Approve an appropriation adjustment. (Requires five affirmative votes). APPROPRIATION ADJUSTMENT NO. 2020-017 - Recognizing $23,760 from the SoCal Water$mart Public Agency Landscape Program in the Miscellaneous income account and appropriate the same amount to the Parks, Recreations and Community Services Agency Operating Materials & Supplies Buildings/Grounds account to purchase central computer irrigation controllers for Centennial Park. This Consent — Motion was approved. 20B. AUTHORIZE THE CITY MANAGER TO INITIATE A MEMBERSHIP WITH THE ASSOCIATION OF CALIFORNIA CITIES - ORANGE COUNTY AND APPROVE AN APPROPRIATION ADJUSTMENT OF $68,677 {STRATEGIC PLAN NO. 1, THROUGH 7) - City Manager's Office Authorize the City Manager to initiate a membership with the Association of California Cities — Orange County. Approve an appropriation adjustment. (Requires five affirmative votes). APPROPRIATION ADJUSTMENT NO. 2020-025 - Transferring $68,677 from general fund non -departmental into the legislative accounting unit. This Consent — Motion was approved. SPECIFICATIONS - PURCHASE OF EQUIPMENT AND SERVICES 22A. AMEND THE BLANKET ORDER CONTRACT FOR CHAIN LINK FENCE RENTALS IN THE AMOUNT OF $118,400 WITH UNITED SITE SERVICES, INC. (SPECIFICATION NO. 16-059) {STRATEGIC PLAN NO. 5,4) - Finance and Management Services Agency; Community Development Agency; Parks, Recreation and Community Services; and Public Works Agency MOTION: Authorize the City Manager to amend the annual amount of the blanket order contract with United Site Service, Inc. for citywide chain link fence rentals by $97,000 plus a 10 percent contingency of $21,400, for a new total annual amount DRAFT CITY COUNCIL MINUTES September 3, 2019 10C-6 not to exceed $235,400, subject to non -substantive changes approved by the City Manager and City Attorney. This Consent — Motion was approved. 22B. AWARD A BLANKET ORDER CONTRACT IN THE AMOUNT NOT TO EXCEED $240,120 TO CESAR VARGAS AND ASSOCIATES FOR TRANSLATION SERVICES (SPECIFICATION NO. 19-086) {STRATEGIC PLAN NO. 5, 1) - Finance and Management Services Agency; Community Development Agency; Human Resources Department; Police Department and Public Works Agency MOTION: Award a blanket order contract to Cesar Vargas and Associates for translation services for a one-year period beginning September 3, 2019, and expiring on September 2, 2020 in an amount not to exceed $63,780 for the first year, with provisions for three one-year renewals exercisable by the City Manager, in an annual amount not to exceed $58,780, for a total amount not to exceed $240,120, subject to non -substantive changes approved by the City Manager and City Attorney. This Consent — Motion was approved. PROJECTS/CHANGE ORDERS 23A. AUTHORIZE A BUDGET REALLOCATION AND AWARD A CONSTRUCTION CONTRACT TO ARAMEXX CONSTRUCTION IN THE AMOUNT OF $2,856,418, FOR THE CIVIC CENTER BIKE BOULEVARD AND SAFE ROUTES TO SCHOOL ENHANCEMENTS FOR SEPULVEDA ELEMENTARY SCHOOL PROJECT ESTIMATED PROJECT COST: $3,383,000 (PROJECT NOS. 17-6801 & 17-6886) {STRATEGIC PLAN NO. 6, 1 C & 1 G) - Public Works Agency Authorize the reallocation of $65,000 in unspent Fiscal Year 2018-19 Measure M2 Local Fairshare Funds from Local Preventative Maintenance FY 17/18 Project (Project #18-6907) to the Safe Routes to School Enhancements for Sepulveda Elementary School Project (Project #17-6886). Award a contract to Aramexx Construction, the lowest responsible bidder, in accordance with the base bid in the amount of $2,856,418, for construction of the Civic Center Bike Boulevard and Safe Routes to School Enhancements for Sepulveda Elementary School Project, for the term beginning upon execution of the contract and ending upon project completion, and authorize the City Manager to execute the contract subject to non -substantive changes approved by the City Manager and the City Attorney. 3. Approve the Project Cost Analysis for a total estimated construction delivery cost of $3,383,000, which includes $2,856,418 for the construction contract; $226,422 DRAFT CITY COUNCIL MINUTES September 3, 2019 10C-7 for contract administration, inspection and testing; and a $300,160 project contingency (approximately 10% of the construction contract amount), funded by Active Transportation Program Cycle 2 Funds. This Consent — Motion was approved. AGREEMENTS 25A. APPROVE AMENDMENT TO LEGAL SERVICES AGREEMENT FOR SPECIAL LEGAL COUNSEL SERVICES WITH CARPENTER, ROTHANS & DUMONT TO INCREASE HOURLY BILLING RATE TO $225/HOUR FOR GENERAL LIABILITY AND POLICE LITIGATION DEFENSE MATTERS {STRATEGIC PLAN NO. 1, 3, 4, 5) — City Attorney's Office and Human Resources Department MOTION: Authorize the City Manager to execute an amendment to the legal services agreement with the law firm of Carpenter, Rothans & Dumont, ("CRD") for litigation matters concerning general liability and police litigation defense, effective October 1, 2019, subject to non -substantive changes approved by the City Manager and the City Attorney. The amendment reflects a change in the CRD hourly billing rate from $200 to $225 per hour effective October 1, 2019. While the hourly rate will increase by $25/hour, the overall appropriation for Agreement (A-2017-070), approved by the Council on April 18, 2017, will remain the same (Agreement No. A-2019-xxx). This Consent Item - Agreement No. A-2019-148 was approved. 25B. APPROVE AGREEMENTS WITH URBAN FUTURES INC. (NOT -TO -EXCEED $72,500) AND BEST BEST & KRIEGER, LLP (NOT -TO -EXCEED $117,500) FOR PROFESSIONAL SERVICES RELATED TO THE REFUNDING OF THE GAS TAX REVENUE CERTIFICATES OF PARTICIPATION, SERIES 2007 {STRATEGIC PLAN NO. 4, 2D) - Finance and Management Services Agency Authorize the City Manager to execute an agreement with Urban Futures Inc. for financial advisor services related to the refunding of the Certificates of Participation beginning September 3, 2019 through June 30, 2020, for a not -to - exceed amount of $72,500, with a provision for a one-year extension exercisable by the City Manager and the City Attorney and subject to non -substantive changes approved by the City Manager and the City Attorney (Agreement No. A- 2019-xxx). This Consent Item - Agreement No. A-2019-149 was approved. Authorize the City Manager to execute an agreement with Best Best & Krieger, LLP for bond counsel and disclosure counsel services related to the refunding of DRAFT CITY COUNCIL MINUTES September 3, 2019 10C-8 the Certificates of Participation beginning September 3, 2019 through June 30, 2020, for a not -to -exceed amount of $117,500, with a provision for a one-year extension exercisable by the City Manager and City Attorney and subject to non - substantive changes approved by the City Manager and the City Attorney or his/her designee (Agreement No. A-2019-xxx). This Consent Item - Agreement No. A-2019-150 was approved. 25C. APPROVE THE FIRST AMENDMENT TO THE AGREEMENTS WITH ADMINSURE, INC., FOR THIRD PARTY ADMINISTRATOR CLAIMS SERVICES ADDITIONAL ANNUAL FEES FOR GENERAL LIABILITY OF $93,360 AND WORKERS' COMPENSATION CLAIMS OF $49,800 {STRATEGIC PLAN NO. 7; 61 — Human Resources Department MOTION: Authorize the City Manager to execute the attached first amendments to the agreements with AdminSure, Inc., to provide an increased scope of services to the City's self -insured third party claims administration and management for General Liability and Workers' Compensation with term of agreements remaining from September 5, 2018 through August 31, 2021 which include two, two-year options for renewal. Additional amount of $7,780 per month for General Liability and $4,150 per month for Workers' Compensation, subject to non -substantive changes approved by the City Manager and City Attorney. This increase annualized is $49,800 for Workers' Compensation and $93,360 for General Liability (Agreement Nos. A-2019-xxx and A-2019-xxx). This Consent Item - Agreement Nos. A-2019-151 and A-2019-152 was approved. 25D. APPROVE RENEWAL AGREEMENT FOR BILL PRINT SERVICES WITH INFOSEND, INC. {STRATEGIC PLAN NO. 7, 5F) — Finance and Management Services Agency and Public Works Agency MOTION: Authorize the City Manager to execute an agreement with InfoSend, Inc. ("InfoSend") for printing, processing, mailing, and electronic bill presentment and payment for City water billing, licensing and/ or fee revenues effective July 1, 2019 through December 31, 2020, for an amount not to exceed $600,000, subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. A-2019-xxx). This Consent Item - Agreement No. A-2019-153 was approved. DRAFT CITY COUNCIL MINUTES September 3, 2019 10C-9 25E. APPROVE SECOND AMENDMENT TO COOPERATIVE AGREEMENT FOR THE SANTAANA-DELHI CHANNEL DIVERSION PROJECT AUTHORIZING REIMBURSEMENT OF UP TO $148,500 TO THE CITY OF COSTA MESA (PROJECT NO. 16-6467) {STRATEGIC PLAN NO. 6, 1 G) — Public Works Agency MOTION: Authorize the City Manager to execute a Second Amendment to the Cooperative Agreement with the City of Costa Mesa for the Santa Ana -Delhi Channel Diversion Project, authorizing reimbursement of up to $148,500 to the City of Costa Mesa for costs associated with constructing an underground segment of the Santa Ana -Delhi Channel Diversion Project, located on Bristol Street from Baker Street to Newport Boulevard, subject to non -substantive changes approved by the City Manager and the City Attorney (Agreement No. A- 2019-xxx). This Consent Item - Agreement No. A-2019-154 was approved. 25F. APPROVE AN AMENDMENT TO THE AGREEMENT WITH SINGLE POINT ALLIANCE, INC., IN THE AMOUNT OF $250,000 TO PROVIDE A CENTRAL STORES CONSIGNMENT INVENTORY PROGRAM (SPECIFICATION NO. 11-059) {STRATEGIC PLAN NO. 6, 1, C) — Public Works Agency MOTION: Authorize the City Manager to amend the agreement with Single Point Alliance, Inc., for a consignment inventory program in the amount of $250,000, for a new total annual amount not to exceed $917,500, and extend the term by four months for a new agreement expiration date of January 31, 2020, subject to non - substantive changes approved by the City Manager and City Attorney (Agreement No. A-2019-xxx). This Consent Item - Agreement No. A-2019-155 was approved. LAND USE MATTERS IJi16Ys1: 141 U101xi1l, RmA9►1QR,6-1q 39A. APPROVE NAMING OF THE NEW PARK AT 720 EAST SIXTH STREET "MARIPOSA PARK" {STRATEGIC PLAN NO. 5, 4) — Planning and Building Agency and Parks, Recreation and Community Services Agency Planning Commission approved recommended action on August 12, 2019 by a vote of 6-0. Board of Recreation and Parks recommended the Planning Commission name park "Parque Mariposa" on June 26, 2019 by a vote of 4-0 (Aleman, Sanchez and Velarde-Garcia absent). MOTION: Approve naming of the park at 720 East Sixth Street "Mariposa Park". Councilmember Penaloza motioned to approve, seconded by Mayor Pro Tern Villegas. DRAFT CITY COUNCIL MINUTES 10 September 3, 2019 10C-10 MOTION: Councilmember SECOND: Mayor Pro Tern Villegas Penaloza VOTE: AYES: Mayor Pulido, Mayor Pro Tern Villegas, Councilmember Iglesias, Councilmember Penaloza, Councilmember Solorio (5) NOES: Councilmember Sarmiento (1) ABSTAIN: None (0) ABSENT: None (0) IA01eZe1011K61►69A►1111H_14:4►1U9:7 ADMINISTERED OATH OF OFFICE TO ALBERTA CHRISTY, HISTORIC RESOURCES COMMISSIONER Mayor Pulido acknowledged Rosie Avila for her past service on the Santa Ana Unified School Board and contributions to the community. I:111�y1►1: & &YH_1I: 1►197-1V 1:7�Y�A�>t�[�7► 55A. ADOPT A RESOLUTION FOR THE OC PLAN FOR INTEGRATED REGIONAL WATER MANAGEMENT FOR NORTH AND CENTRAL ORANGE COUNTY AND THE ONE WATER ONE WATERSHED PLAN FOR THE SANTA ANA RIVER WATERSHED, AND AUTHORIZE THE SANTA ANA WATERSHED PROJECT AUTHORITY TO SUBMIT A PROP 1 INTEGRATED REGIONAL WATER MANAGEMENT GRANT APPLICATION ON BEHALF OF THE CITY OF SANTA ANA FOR THE RAITT AND MYRTLE PARK PROJECT {STRATEGIC PLAN NO. 5, 6F) - Public Works Agency Adopt a RESOLUTION NO. 2019-075 ENTITLED: A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADOPTING THE OC PLAN FOR INTEGRATED REGIONAL WATER MANAGEMENT FOR NORTH AND CENTRAL ORANGE COUNTY AND THE ONE WATER ONE WATERSHED PLAN FOR THE SANTA ANA RIVER WATERSHED, AND AUTHORIZING THE SANTA ANA WATERSHED PROJECT AUTHORITY TO SUBMIT A PROP. 1 IRWM GRANT APPLICATION DRAFT CITY COUNCIL MINUTES 11 September 3, 2019 10C-11 ON BEHALF OF THE CITY OF SANTA ANA FOR THE RAITT AND MYRTLE PARK PROJECT 2. Authorize the Santa Ana Watershed Project Authority to submit a Prop 1 Integrated Regional Water Management grant application on behalf of the City of Santa Ana for the Raitt and Myrtle Park Project. Councilmember Sarmiento motioned to adopt, seconded by Councilmember Solorio. MOTION: Councilmember SECOND: Councilmember Solorio Sarmiento VOTE: AYES: Mayor Pulido, Mayor Pro Tern Villegas, Councilmember Iglesias, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio (6) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) ADMINISTRATIVE MATTERS - BUSINESS 60A. AUTHORIZE THE NEGOTIATION OF A DISPOSITION AND DEVELOPMENT AGREEMENT (DDA) FOR THE RENOVATION AND REUSE OF THE YMCA PROPERTY LOCATED AT 203-205 W. CIVIC CENTER DRIVE {STRATEGIC PLAN NO. 3, 5A) — Community Development Agency MOTION: Authorize the City Manager to negotiate a Disposition and Development Agreement (DDA) for the reuse of the YMCA property with Caribou Industries, subject to non -substantive changes approved by the City Manager and City Attorney. PUBLIC COMMENT: Lucy Santana spoke in support of creating an educational institution as well as providing community space for culture and arts. Heather Luis -Martinez spoke in support of community center at the YMCA property. Oralia Aguilera spoke in support of the item. Valerie Sy spoke in opposition of the item. DRAFT CITY COUNCIL MINUTES 12 September 3, 2019 10C-12 Marlene Pena-Marin spoke in opposition of the item. Jose Rea spoke in opposition of the item. Cristina Garcia Rea spoke in opposition of the item. Jose De Jesus Rea III spoke in opposition of the item. Rosie Avila spoke in support of the item. Councilmember Solorio directed staff to find other facilities for the non-profit Relampago Del Cielo Grupo Folklorico and encourages both interested parties to work together. Councilmember Penaloza encouraged staff to include strict timeline language for any development. Councilmember Iglesias directed City Manager to include strict deadlines for completion of project and requested updates as the project moves along. City Manager Kristine Ridge informed council that the DDA includes hard deliverables, timelines and the agreement will be brought back to council for approval. Councilmember Penaloza encouraged staff to include language to protect the bees and honeycombs located in numerous parts of the area, along with language to restrict the sale to non-profit organizations. Mayor Pro Tern Villegas encourages both parties to work together. Councilmember Sarmiento requested to include reversion clause language as a friendly amendment. Mayor Pulido indicated the reversion clause would be a beneficial friendly amendment to the original motion; however, it should not discourage a potential partnership. Also, spoke to the importance of effective non -profits that provide a benefit to society and many different ways and enhance the community overall. Thus, spoke to the earlier direction that provided to City Manager to include a clause to restrict non -profits is not the intention. Councilmember Penaloza clarified his earlier statement and requested that the development benefit the city. Mayor Pulido encourages both parties work together, reiterated that parking is essential, encourages less than 180 days to complete the project, and assist in locating other homes that possibly might work for Relampago Del Cielo. DRAFT CITY COUNCIL MINUTES 13 September 3, 2019 10C-13 Councilmember Solorio motioned to adopt as amended, seconded by Councilmember Iglesias. MOTION: Councilmember Solorio VOTE: AYES: NOES ABSTAIN: REPORTS SECOND: Councilmember Iglesias Mayor Pulido, Mayor Pro Tern Villegas, Councilmember Iglesias, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio (6) None (0) None (0) None (0) 65A. BOARDS AND COMMISSIONS MEMBERS {STRATEGIC PLAN NO. 5, 1) - Clerk of the Council Office MOTION: To approve all members listed as serving expired terms for Ward 4 with the exception of Youth Commission. Councilmember Iglesias motioned to approve recommendation, seconded by Mayor Pro Tern Villegas. MOTION: Councilmember SECOND: Mayor Pro Tern Villegas Iglesias VOTE: AYES: Mayor Pulido, Mayor Pro Tern Villegas, Councilmember Iglesias, Councilmember Penaloza (4) NOES: Councilmember Sarmiento, Councilmember Solorio (2) ABSTAIN: None (0) ABSENT: None (0) City Attorney Sonia Carlvalho asked to confer with Clerk of the Council Daisy Gomez regarding Item 65A. DRAFT CITY COUNCIL MINUTES 14 September 3, 2019 1OC-14 City Manager Kristine Ridge would like council to clarify and retake vote on Item 65A. MOTION: To adopt as amended to to revote on removal of all members serving for Ward 4 including post 2018 General Election appointment with the exception of Youth Commission, board vacancies, and appointees with expired terms. Councilmember Iglesias motioned to adopt as amended, seconded by Mayor Pro Tern Villegas. MOTION: Councilmember Iglesias VOTE: AYES: I.IQNK! ABSTAIN: PUBLIC HEARINGS SECOND: Mayor Pro Tern Villegas Mayor Pulido, Mayor Pro Tern Villegas, Councilmember Iglesias, Councilmember Penaloza (4) Councilmember Sarmiento, Councilmember Solorio (2) None (0) None (0) 75A. PUBLIC HEARING - CONSOLIDATED ANNUAL PERFORMANCE AND EVALUATION REPORT {STRATEGIC PLAN NO 4, 1) — Community Development Agency Community Redevelopment and Housing Commission approved recommended action on August 14, 2019 by a vote of 7-0 (Frazier and Tardif absent). Legal Notice published in The Register on August 18, 2019. Seeing no one wishing to speak, Mayor Pulido opened and closed the public hearing at 8:04 p.m. MOTION: Authorize the submission of the Consolidated Annual Performance and Evaluation Report to the U. S. Department of Housing and Urban Development. Councilmember Solorio motioned to adopt, seconded by Mayor Pro Tern Villegas. MOTION: Councilmember SECOND: Mayor Pro Tern Villegas Solorio VOTE: AYES: Mayor Pulido, Mayor Pro Tern Villegas, Councilmember Iglesias, Councilmember Penaloza, Councilmember Solorio (5) DRAFT CITY COUNCIL MINUTES 15 September 3, 2019 10C-15 NOES: None (0) ABSTAIN: None (0) ABSENT: Councilmember Sarmiento (1) 75B. PUBLIC HEARING — RECOVERY OF COSTS AND EXPENDITURES IN AN AMOUNT OF $76,948.60 INCURRED BY THE CITY FOR WEED AND TRASH ABATEMENT WITHIN RAILROAD RIGHT-OF-WAYS IN THE CITY {STRATEGIC PLAN NO. 5, 4E) — Planning and Building Agency Legal Notice published in the Orange County Reporter on August 23, 2019 and notices mailed on August 22, 2019. Mayor Pulido opened the public hearing at 8:07 p.m. Iall:II[NZK67d4J11:11►11 Lupe C. Valdez spoke in support of the item. Mayor Pulido closed the public hearing at 8:11 p.m. MOTION: Adopt RESOLUTION NO. 2019-076 ENTITLED: A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA CONFIRMING THE COSTS AND EXPENDITURES INCURRED BY THE CITY FOR WEED, RUBBISH, AND GARBAGE ABATEMENT WITHIN UNION PACIFIC RAILROAD COMPANY RIGHT OF WAY WITHIN THE CITY; AND, MAKING, CONFIRMING, AND LEVYING ASSESSMENTS FOR SUCH COSTS Councilmember Iglesias motioned to adopt, seconded by Mayor Pro Tern Villegas. MOTION: Councilmember SECOND: Mayor Pro Tern Villegas Iglesias VOTE: AYES: Mayor Pulido, Mayor Pro Tern Villegas, Councilmember Iglesias, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio (6) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) DRAFT CITY COUNCIL MINUTES 16 September 3, 2019 10C-16 75C. PUBLIC HEARING -ANNEXATION NO. 2018-01 TO ADOPT A COOPERATIVE AGREEMENT BETWEEN THE CITY AND COUNTY OF ORANGE IN AN AMOUNT OF $711,814, AUTHORIZE STAFF TO SUBMIT AN ANNEXATION APPLICATION TO THE ORANGE COUNTY LOCAL AGENCY FORMATION COMMISSION, APPROVING A PROPERTY TAX EXCHANGE AGREEMENT WITH THE COUNTY OF ORANGE, APPROVING GENERAL PLAN AMENDMENT NO. 2018-04 AND AMENDMENT APPLICATION NO. 2018-07, AUTHORIZING A WATER SERVICE AGREEMENT WITH THE CITY OF TUSTIN AND APPROVING A CHANGE IN WARD 3 BOUNDARIES FOR THE ANNEXATION OF A 24.78-ACRE COUNTY ISLAND AT THE NORTHEAST CORNER OF SEVENTEENTH STREET AND TUSTIN AVENUE - CITY OF SANTA ANA APPLICANT {STRATEGIC PLAN NO. 3, 2) - Planning and Building Agency Legal Notice published in the Orange County Reporter on August 23, 2019 and August 30, 2019 and notices mailed on August 22, 2019. Mayor Pulido opened the public hearing at 8:15 p.m. Iall:II[NZK67d4J/1:1►11 Alan Rice spoke in opposition to the item. Peter Whittingham spoke in support of the item. Mayor Pulido closed the public hearing at 8:19 p.m. MOTION: 1. Approve the CEQA determination of a Categorical Exemption (Class 19) for the proposed County island annexation. 2. Adopt a RESOLUTION NO. 2019-077 ENTITLED: A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING ANNEXATION NO. 2018-01, THE DETACHMENT FROM THE MUNICIPAL WATER DISTRICT OF ORANGE COUNTY, AND AUTHORIZING THE SUBMITTAL OF A PROJECT APPLICATION FORM TO THE ORANGE COUNTY LOCAL AGENCY FORMATION COMMISSION FOR A 24.78-ACRE COUNTY ISLAND GENERALLY LOCATED AT THE NORTHEAST CORNER OF SEVENTEENTH STREET AND TUSTIN AVENUE 3. Authorize execution of a Cooperative Agreement between the City and the County of Orange for the acceptance of one-time funds in the amount of $711,814 and to allow the County to continue to process active development projects within the annexation area (Agreement No. A-2019-156). DRAFT CITY COUNCIL MINUTES 17 September 3, 2019 10C-17 4. Adopt RESOLUTION NO. 2019-078 ENTITLED: A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING A PROPERTY TAX EXCHANGE AGREEMENT WITH THE COUNTY OF ORANGE FOR THE 24.78-ACRE COUNTY ISLAND GENERALLY LOCATED AT THE NORTHEAST CORNER OF SEVENTEENTH STREET AND TUSTIN AVENUE TO BE DETACHED FROM THE COUNTY OF ORANGE AND ANNEXED TO THE CITY OF SANTA ANA 5. Adopt RESOLUTION NO. 2019-079 ENTITLED: A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING GENERAL PLAN AMENDMENT NO. 2018-04 FOR THE PROPOSED ANNEXATION OF A COUNTY ISLAND GENERALLY LOCATED AT THE NORTHEAST CORNER OF SEVENTEENTH STREET AND TUSTIN AVENUE 6. Place ordinance on first reading and authorize publication of title. ORDINANCE NO. NS- 2974 ENTITLED: AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING AMENDMENT APPLICATION NO. 2018-07 PRE -ZONING THE PROPERTIES LOCATED WITHIN AN UNINCORPORATED COUNTY ISLAND PROPOSED FOR ANNEXATION GENERALLY LOCATED AT THE NORTHEAST CORNER OF SEVENTEENTH STREET AND TUSTIN AVENUE 7. Authorize execution of a Water Service Agreement between the City of Santa Ana and the City of Tustin (Agreement No. A-2019-157). 8. Place ordinance on first reading and authorize publication of title. (Requires five affirmative votes). ORDINANCE NO. NS-2975 ENTITLED: 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 Councilmember Solorio motioned to approve, seconded by Councilmember Iglesias. DRAFT CITY COUNCIL MINUTES 18 September 3, 2019 10C-18 MOTION: Councilmember SECOND: Councilmember Iglesias Solorio VOTE: AYES: Mayor Pulido, Councilmember Iglesias, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio (5) NOES: None (0) ABSTAIN: None (0) ABSENT: Mayor Pro Tern Villegas (1) 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. Only action available to City Council is to provide direction to City Manager. 85A. DISCUSS AND DIRECT THE CITY MANAGER TO DIRECT STAFF TO PROMINENTLY DISPLAY "IN GOD WE TRUST" AND THE CITY SEAL IN THE CITY COUNCIL CHAMBERS — Councilmember Iglesias PUBLIC COMMENT Alberta Christy spoke in support of the item. Gisela Contreras spoke in support the item. Everlena Oliver spoke in support of the item. Melissa Jones spoke in support of the item. Ann Coil spoke in support of the item. Gale Oliver Jr. spoke in support of the item. Brenda Lebsack spoke in support of the item. Daniel De Leon spoke in support of the item. Rosie Avila spoke in support of the item. Councilmember Iglesias directed City Manager Kristine Ridge to explore the formation of an advisory group comprised of residents, non-profit organization, Chamber of Commerce and others to help advice in the city's efforts in addressing the homeless. DRAFT CITY COUNCIL MINUTES 19 September 3, 2019 10C-19 City Manager Kristine Ridge informed council that staff would return back to council with samples for council to review and approve on a final design. Councilmember Penaloza and Councilmember Solorio provided direction to staff to research other cities and institutions have in their chamber. Councilmember Sarmiento requested research on potential legal challenges to be presented to council. 85B. DISCUSS AND DIRECT THE CITY MANAGER TO RETURN TO THE CITY COUNCIL WITH OPTIONS FOR A COMMUNITY ADVISORY GROUP TO PROVIDE RECOMMENDATIONS FOR ADDRESSING HOMELESSNESS — Councilmember Iglesias City Manager to provide additional options outside of City services to creatively have additional services. COMMENTS There were no public comments on non -agenda items made. 90A. CITY MANAGER'S COMMENTS City Manager Ridge provided brief announcements. 90B. CITY COUNCILMEMBER COMMENTS Council Member Solorio made community announcements. Council Member Penaloza made community announcements. Council Member Iglesias made community announcements. Council Member Sarmiento made community announcements. Mayor Pro Tern Villegas made community announcements; and requested that naming of skate park after Pat McGuigan, Council Member Solorio and Mayor Pulido concurred. Mayor Pulido requested flowers and a copy of the video of Council meeting be sent to the family. DRAFT CITY COUNCIL MINUTES 20 September 3, 2019 1 OC-20 ADJOURNMENT - The next meeting of the City Council is scheduled for Tuesday, September 17, 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. Mayor Pulido adjourned the meeting in Memory of Pat McGuigan at 9 p.m. Daisy Gomez, Clerk of the Council DRAFT CITY COUNCIL MINUTES 21 September 3, 2019 1 OC-21 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 1, 2019 TITLE: RECEIVE AND FILE — PILOT PARKING STUDY UPDATE {STRATEGIC PLAN NO. 5,4131 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 /s/ Kristine Ridge FILE NUMBER CITY MANAGER RECOMMENDED ACTION Receive and file information related to status of the Pilot Parking Study. DISCUSSION The Public Works Agency (PWA) is conducting an ongoing Residential Pilot Parking Study in conjunction with the Police Department (PD); Planning and Building Agency (PBA); Parks, Recreation and Community Services Agency (PRCSA); and the Information Technology Department. The study focuses on two residential permit parking districts, namely Northeast and Eastside districts, and is intended to examine parking availability (supply) compared to parking need (demand), and potential remedies to reduce demand and increase supply. These two districts were selected based on the high number of parking -related requests for service, the housing density mixture, and the potential areas of additional parking supply opportunity. The Pilot Study is anticipated to be ready for presentation to the Economic Development, Infrastructure, Budget, and Technology Council Committee by November 2019, and subsequently to the City Council in December 2019 or thereafter. Summary and Preliminary Options Staff from the City's Information Technology Department is finalizing maps to reflect the parking supply and demand within groups of blocks. The maps include a summary of available parking as well as registered vehicles within neighborhoods. The maps are color coded with shades of blue to represent parking surplus, or shades of red to represent parking deficit. Based on the draft maps, the single-family residential (SFR) neighborhoods generally appear to have sufficient parking available to accommodate the vehicles registered, while the multi -family residential (MFR) complexes appear to range from severely under -parked to potential sufficiently parked. The Eastside District map (Exhibit 1) indicates a distinct parking shortage in the most of the MFR blocks east of Standard Avenue with parking supply -to -demand ratios at less than 0.8. The map 19C-1 Receive and File — Pilot Parking Study Status October 1, 2019 Page 2 for Northeast District map (Exhibit 2) also indicates parking shortages in two of the MFR neighborhoods with supply -to -demand ratios less than 0.8. Potential remedies include increasing parking supply in public streets by adding parking on arterials (signs only), adding parking by using revised striping, reinstating parking adjacent to City Parks, and partnering with neighboring property owners to maximize parking availability. Some surface parking is used daytime hours only, so that could provide some parking benefits from 6pm to 6am. To reduce the parking demand, the City could encourage or legislate parking devices which add on -site parking within multiple family residential units. The City could also work with multi -unit property managers to incentivize them to create additional parking. Long term, the City is improving transit, pedestrian, and bicycle facilities which over time should help to reduce demand. The solutions and tools that are developed could then be applied to other parking districts as needed. The information is also very useful to include in a Request for Proposals that the City could publish for a citywide parking management solution. Pilot Districts Northeast District - Portion of the City lying north of 17th Street and east of Lincoln Avenue, and encompasses Fairhaven, Portola Park, Meredith Parkwood, Fairbridge Square, and Young Square Neighborhoods. Eastside District — Bordered by First Street on the north, Union Pacific Railroad Tracks on the east (east of Standard Avenue), Edinger Avenue on the south, and Main Street on the west, and encompasses Cornerstone Village, Eastside, and Madison Park Neighborhoods. Parking Demand and Supply To help determine the severity of the parking shortage problem, the study includes a supply vs demand comparison. The supply is based on estimated parking spaces on private residential property and the adjacent public streets. The need is based on vehicles registered within each district's borders. Supply The first phase of the study included gathering data on available on -site parking on residential properties and available parking on the streets of these residential neighborhoods. Staff gathered data for parking availability inventory for SFR and MFR properties through record searches, field checks, and by contacting property managers. Field Checks — Staff visited the residential neighborhood to visually determine on -site (private property) and offsite (public street) parking space quantities, taking into account locations where parking is prohibited (e.g., driveways, fire hydrants, red curbs, "No Parking" areas). 19C-2 Receive and File — Pilot Parking Study Status October 1, 2019 Page 3 Record Search — Because many of the multi -family residential private properties were not accessible, staff determined on -site parking space counts by using available planning maps, original land use entitlement records, the City's Santa Ana Property Identification Network database, the City's GovClarity geographic information system aerial maps, and Orange County Tax Assessor data. Contacted Property Managers — Staff called property managers to inquire on their property's parking allocation. Demand To determine demand for parking, staff requested and received information from the Department of Motor Vehicles (DMV) regarding the number of vehicles registered for each residential address within each pilot study district. The data provided by the DMV included over 27,800 registered vehicles within the two districts. During the process of assigning a home to each vehicle for geocoding and mapping, staff encountered inconsistencies in the formatting of address data, resulting in manual data manipulation and mapping before any analysis could be performed. Staff has completed the process of reconciling the addressing data while concurrently, manually consolidating the information of the parking availability (supply) inventory (from field and record search) into a compatible Excel spreadsheet for comparison and analysis to the demand data provided by the DMV. Potential Remedies- Increase Supply The second part of the study includes identifying locations where additional on- and off-street parking could potentially be created near the impacted residential areas. These sources of parking could be: Additional Parking in Existing Multi -Family Residential Complexes Management of multi -unit properties that have flat parking spaces are being contacted to explore their interest on a variety of options including vehicle lifts on their property. Initial feedback from the property managers was not positive, as there were several concerns related to maintenance and repairs of the lifts. In addition, property managers are being asked to remind tenants to use the existing on -site spaces for parking as intended, rather than for other uses such as storage. Street Parking Staff identified street segments where parking was known or likely to exist in the past, but had been prohibited in response to complaints unrelated to traffic safety from homeowners, PD, PRCSA, or others. The reports ranged from nuisance type complaints such as nighttime noise, littering, and criminal activity. These areas of parking restrictions are typically on streets not fronting residential properties. Parking could be reinstituted on: • Arterial and collector streets on the side or rear yard of residential properties • Neighborhood streets fronting City parks and other uses 19C-3 Receive and File — Pilot Parking Study Status October 1, 2019 Page 4 In some cases, the replacement of parking could be accomplished by simply changing or removing signs; in other cases, restriping streets would be required. Parking (overnight) within City Parks Staff is exploring details of a program specific to selected City parks whereby parking within City parks for a monthly fee under a potential new and separate Permit Parking Program could be considered. The cost would be significantly higher than the current on -street Residential Permit Parking program, and may need to be restricted to allow residential overnight parking only. Parking (overnight) within School parking lots This type of permitted parking could operate in agreement with an appropriate school district, and could potentially operate similar to the City Parks parking program described above. Parking (overnight) within Commercial property parking lots Commercial property owners were contacted to discuss their interest in renting/leasing their property to allow overnight parking. Staff found that commercial properties were not interested due to some of the following reasons: • Vehicles not being moved prior to business hours begin • On -site safety (Do the properties need to provide security, lights, cameras, etc.?) • Liability (i.e., indemnification for personal safety, tripping, injury, etc.) • Unclear rights for the reservation of parking spaces on their property, and ultimately the control of spaces. • Additional maintenance on property (e.g., trash) Future Residential Developments In addition to the potential remedies to accommodate the parking needs for existing residential properties, the City should require future developments to provide appropriate levels of parking. Potential Remedies- Reduce Demand The City can explore various remedies to reduce the overall need for parking, such as improve transit, pedestrian, and bicycle facilities, as well as encouraging mixed -use and transit -oriented development. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 - Community Health, Livability, Engagement & Sustainability, Objective #4 (support neighborhood vitality and livability), Strategy B (improve neighborhood quality by locating or providing access to complementary services and public facilities, including access to healthy food options (community gardens, farmer's markets, corner markets, etc.) in neighborhoods). 19C-4 Receive and File — Pilot Parking Study Status October 1, 2019 Page 5 ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT There is no fiscal impact associated with this action. Fuad S. Sweiss, PE, PLS Executive Director Public Works Agency FSS/WEG/TH Exhibits: 1. Parking Pilot Study Map — Eastside District 2. Parking Pilot Study Map — Northeast District 19C-5 I ST _ EXHIBIT 1 E.1 ST5 ----- 1 ti1 f — '. EOINGER AV : — — — — — — EEGINE Ratio of Total Parking Availability to Registered Vehicles Greater Than 3 L J 0.9 - 1.0 - 2-3 - 0.8-0.9 ® 1-2 Less Than 0.8 O8 Street With Parking Permit i Parking Permit District Boundary = Not Included In Study Parking Pilot - Eastiit-6 e 0 250 500 Feet REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 1, 2019 TITLE: APPROVE AN APPROPRIATION ADJUSTMENTAND AWARD A CONSTRUCTION CONTRACT TO ROCKFORCE CONSTRUCTION, LLC, IN AMOUNT OF $7,606,500 AND APPROVE AN AGREEMENT WITH BUTIER ENGINEERING, INC., TO PROVIDE CONSTRUCTION ENGINEERING SERVICES FOR THE SAN LORENZO SEWER LIFT STATION PROJECT IN AMOUNT NOT TO EXCEED $550,000 — ESTIMATED TOTAL DELIVERY COST: $10,058,125 (PROJECT NO 06-3510) {STRATEGIC PLAN NOS. 6, 1 C & 1 G} CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 111 Reading ❑ Ordinance on 2i1 Reading ❑ Implementing Resolution ❑ Set Public Hearing For 111111•1►oil ►l1l0.i[•1 /s/ Kristine Ridge FILE NUMBER CITY MANAGER RECOMMENDED ACTION 1. Approve an appropriation adjustment to spend $1,416,100 from prior year fund balance in the Sewer Connection Fee fund, Improvements Other Than Building expenditure account. 2. Award a contract to Rockforce Construction, LLC, the lowest responsible bidder, in accordance with the base bid in the amount of $7,606,500, for construction of the San Lorenzo Sewer Lift Station Project, for the term beginning upon execution of the contract and ending upon project completion, and authorize the City Manager to execute the contract subject to non -substantive changes approved by the City Manager and the City Attorney. 3. Authorize the City Manager to execute an agreement with Butier Engineering, Inc., to provide Construction Engineering Services for the San Lorenzo Sewer Lift Station project, for the three-year term beginning October 1, 2019, and expiring on September 30, 2022, with provisions for two one-year extensions exercisable by the City Manager and City Attorney, in the total amount not to exceed $550,000, which includes a $479,572 project fee and a contingency of $70,428, subject to non -substantive changes approved by the City Manager and City Attorney. 4. Approve the Project Cost Analysis for a total estimated delivery cost of $10,058,125, which includes the contract base bid, Construction Engineering Services agreement, administration, 20A-1 Award Construction and Construction Engineering Contracts for the San Lorenzo Sewer Lift Station Project October 1, 2019 Page 2 inspection and testing, and an authorized contingency of $1,140,975, to be paid with Sewer Connection Projects funding. DISCUSSION The City of Santa Ana Segerstrom Sewer Lift Station, located on the east side of Bristol Street, about 300 feet north of Segerstrom Avenue, has been in service since 1965. This City -owned facility is providing a service to a tributary area of approximately 380 acres and pumping approximately 1.2 million gallons of sewage every day. Currently, this 55-year-old station has surcharge problems with upstream sewer mains and requires frequent maintenance and repair. In addition, City maintenance crews and vehicles must divert traffic out of the northbound traffic lanes on Bristol Street to access the facility. Maintenance efficiencies can be improved by relocating the facility and replacing the failing pumps and equipment. The proposed new San Lorenzo Sewer Lift Station will be located at the southwest corner of the intersection of San Lorenzo Avenue and Baker Street (Exhibit 1). The scope of work includes approximately 880 linear feet of 15-inch and 12-inch gravity sewer mains and 600 linear feet of parallel 10-inch force mains, sewer manholes, sewer gate valves, 3 vertical dry pit sewage pumps, motors with variable frequency drives, in -line grinders, flow meter, underground concrete dry well and wet well, piping, fittings, and appurtenances. Moreover, this project will construct a new concrete masonry unit block building with a Heating, Cooling & Ventilation (HVAC) system, ducting, rails, hoist system, gravity scrubber system, electrical and instrumentation; plus site grading, landscaping, and irrigation improvements. Once completed, the improvements will improve system efficiency, reliability, and enhance safety. Project Construction: 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 5 and 9, 2019, and bids were received electronically via the City's web -based electronic bidding system, PlanetBids, on July 9, 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 137 vendors, including 7 located in the City of Santa Ana, were notified of the project via PlanetBids. 108 vendors requested bidding documents and 5 bids were received, including 1 bid from a Santa Ana contractor. 20A-2 Award Construction and Construction Engineering Contracts for the San Lorenzo Sewer Lift Station Project October 1, 2019 Page 3 Bid Results Summary RANK BIDDER'S NAME LOCATION BASE BID 1 Rockforce Construction, LLC. Lake Forest $7,606,500 2 MMC, Inc La Palma $7,854,000 3 Steve P. Rados, Inc. Santa Ana $9,761,700 4 PCL Construction, Inc. Long Beach $10,712,501 5 Lonerock, Inc. Irvine, $10,714,824 All 5 bids received were deemed responsive. Rockforce Construction, LLC. submitted the lowest responsive bid in the amount of $7,606,500 (Exhibit 2). Based on the bid analysis and a contractor's reference check, staff recommends awarding the construction contract to Rockforce Construction, LLC, in the amount bid (Exhibit 3). Construction Engineering Services Currently, the Construction Services department is assisting with the construction management for the Orange County Streetcar project and providing field inspections, as well as ongoing coordination with other capital improvement projects. Therefore, the Construction Services department will utilize a consultant to oversee the San Lorenzo Sewer Lift Station project. The Public Works Agency issued a request for proposals (RFP) on the City's Website and notified qualified consulting firms to provide Construction Engineering Services for this project. Seven proposals were received and evaluated by a review committee from the Public Work Agency. Each firm was rated according to its organization, credentials, resumes, references, and fees to provide the required services, the list of the firms and their respective scores are listed on the following table. FIRM LOCATION SCORE Butier Engineering, Inc. Tustin 88 MWH Constructors Pasadena 85 Interwest Consulting Group Huntington Beach 84 Lee & Ro, Inc. City of Industry 81 NV5 Irvine 79 Willdan Group Anaheim 79 GK & Associates Diamond Bar 71 Butier Engineering, Inc., is the top ranking consultant for this project. Their cost proposal was negotiated to ensure the City would receive the highest quality and value. Staff recommends that Butier Engineering, Inc. be retained and a contract awarded for construction engineering services 20A-3 Award Construction and Construction Engineering Contracts for the San Lorenzo Sewer Lift Station Project October 1, 2019 Page 4 in the amount not to exceed $550,000, which includes a $479,572 project fee and a contingency of $70,428, for the term of the agreement (Exhibit 4). Protect Delivery In order 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 5) and as summarized in the table below, the estimated total construction delivery cost of the project is $10,058,125. Construction Contract $7,606,500 Construction Engineering Services Agreement $550,000 Inspection and Testing $608,520 Construction Administration $152,130 Contingencies $1,140,975 ESTIMATED CONSTRUCTION DELIVERY COST $10,058,125 Project funds will cover all staffing costs associated with the delivery of this capital project. No additional 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). ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review. Categorical Exemption Environmental Review No. ER-2011-04 was filed for the project. 20A-4 Award Construction and Construction Engineering Contracts for the San Lorenzo Sewer Lift Station Project October 1, 2019 Page 5 FISCAL IMPACT As indicated in the Cost Analysis (Exhibit 5), the estimated total construction delivery cost of the project is $10,058,125, which includes the construction contract, contract administration, inspection, testing, and project contingency. Approval of the requested Appropriation Adjustment will authorize expense of $1,416,100 from the prior year fund balance in the Sewer Connection Fee Fund - Improvements Other Than Building expenditure account (No. 05517660-66220). The estimated fund balance at June 30, 2019 is $12,866,589, which is sufficient for the proposed appropriation adjustment. The following table summarizes the budget to deliver construction of this project: Accounting Unit— Accounting Unit — Fiscal Year Account No. Fund Description Account No. Amount Project No. Description Sewer Connection FY 2019-20 05517660-66220 Sewer Connection Projects — $10,058,125 Oct. - June (Proj. 06-3510) Fee Improvements Other Than Building Total $10,058,125 All Funds are scheduled for expenditure in Fiscal Year 2019-20. Fuad S. Sweiss, PE, PLS Executive Director Public Works Agency FSS/TC/MO Exhibits: 1. Location Map 2. Bid Proposal 3. Construction Contract 4. Consultant Agreement 5. Cost Analysis APPROVED AS TO FUNDS & ACCOUNTS: Kathryn Downs, CPA Executive Director Finance and Management Services Agency 20A-5 City of Santa Ana San Lorenzo Sewage Lift Station (06.3510), bidding on July 9, 2019 2:00 PM (Pacific) Bid Results Bidder Details Vendor Name Rockforce Construction, LLC Address 26772 Vista Terrace Lake Forest, CA 92630 United States Respondee Craig Roth Respondee Title Vice President Phone 949-441-5200 Ext. 5245 Email craigr@rockforce.com Vendor Type License # 999390 CA DIR Bid Detail Bid Format Electronic Submitted July 9, 2019 1:52:38 PM (Pacific) Delivery Method Bid Responsive Bid Status Submitted Confirmation # 184065 Ranking 0 Respondee Comment Buyer Comment Attachments File Title General Forms Ownership Affidavit Bid Bond Non Collusion Affidavit Subs Line Items Type Item Code Base Bid Proposal 1 Mobilization/Demobilization* File Name Proposal.pdf Ownership Affidavit.pdf Bid Bond.pdf Non Collusion.pdf Subs.pdf UOM oty LS 1 2 Sheeting, Shoring, Bracing and Excavationffrench Protection LS 1 Page 1 Printed 08/15/2019 EXHIBIT 2 File Type General Forms Ownership Affidavit (Notary Public) - REQ Original Hard Copy Submittal In Addition Bid Bond Guaranty (Notary Public) - REQ Original Hard Copy Submittal In Addition Non -Collusion Affidavit (Notary Public) - REQ Original Hard Copy Submittal in Addition Subcontractor Listing Form Unit Price Line Total Comment $350,000.00 $360,000.00 $700,000.00 $700,000.00 PlanetBids, Inc. 20A-7 City of Santa Ana Page 2 San Lorenzo Sewage Lift Station (06-3510), bidding on July 9, 2019 2:00 PM (Pacific) Printed 08/15/2019 Bid Results Type Item Code UOM city Unit Price Line Total Comment 3 Construct, Operate and Maintain a Dewatering System LS 1 $300,000.00 $300,000.00 4 Construct Sewage Lift Station LS 1 $3,200,000.00 $3,200,000.00 5 Furnish and Install Electrical Equipment and Facilities LS 1 $570,000.00 $570,000.00 6 Furnish and Install Instrumentation and Control Equipment and Facilities including Programming LS 1 $116,000.00 $116,000.00 7 Construct Site Piping LS 1 $50,000.00 $50,000.00 8 Construct Site Improvements LS 1 $300,000.00 $300,000.00 9 Construct Temporaty Sewer Bypass of Existing 10" Sewer at Lift Station Site LS 1 $76,000.00 $75,000.00 10 Construct Electrical Conduit from Existing Generator by Directional Drilling LS 1 $20,000.00 $20,000.00 11 Demolition of Existing Segerstrom Lift Station LS 1 $20,000.00 $20,000.00 12 Construct Parallel Force Mains and Valves, and 16" Gravity Sewer and Manholes from Sts. 7+87f to Sta. 25+72f LS 1 $550,000.00 $550,000.00 13 Construct 15" Gravity Sewer and Manholes from Sta. 20+00 to Sta. 25+72± LS 1 $580,000.00 $680,000.00 14 Construct 12" Gravity Sewer and Manholes from Sta. 30+00 to Ste. 31+90f LS 1 $200,000.00 $200,000.00 15 Construct Connection to OCSD Existing Manhole (Manhole No. 11) LS 1 $5,000.00 $5,000.00 16 Abandon In Place Existing Sewer Mains LS 1 $12,000.00 $12,000.00 17 Furnish and Install Irrigation and Landscaping LS 1 $16,000.00 $15,000.00 18 Prepare and Obtain Approval of Traffic Control Plans LS 1 $10,000.00 $10,000.00 PlanetBids, Inc. 20A-8 City of Santa Ana Page 3 San Lorenzo Sewage Lift Station (06-3510), bidding on July 9, 2019 2:00 PM (Pacific) Printed 08/15/2019 Bid Results Type Item Code UOM Qty Unit Price Line Total Comment 19 Provide and Maintain Traffic Control LS 1 $50,000.00 $50,000.00 20 Prepare and Implement Stormwater Pollution Prevention Plan LS 1 $20,000.00 $20,000.00 21 Removal of Existing Median/Landscaping, Construct Temporary Pavement including Re -striping, and Replacement of Median and Landscaping LS 1 $130,000.00 $130,000.00 22 Removal and Replacement of Concrete Bus Pad LS 1 $30,000.00 $30,000.00 23 Removal and Replacement of Curb, Gutter, Sidewalk and Medians LS 1 $18,000.00 $18,000.00 24 Replacement of Traffic Lopps, Detectors and Wiring LS 1 $15,000.00 $15,000.00 25 Construct Grind and ARHM Overlay SF 44000 $2.25 $99,000.00 26 Furnish and Install Final Striping and Replacement of Pavement Markings LS 1 $15,000.00 $15,000.00 27 TV Inspection of Gravity Sewer Mains LS 1 $5,000.00 $5,000.00 28 Potholing LS 1 $50,000.00 $50,000.00 29 Over -Excavation and Subgrade Stabilization of Trenches' CY 100 $225.00 $22,500.00 30 Construction Staking LS 1 $30,000.00 $30,000.00 31 Start-up, Testing and Training LS 1 $15,000.00 $15,000.00 32 As -Built Plans, O&M Manuals and Warranties LS 1 $5,000.00 $5,000.00 33 Permits LS 1 $20,000.00 $20,000.00 34 Labor Agreement Oversight LS 1 $10,000.00 $10,000.00 PlanetBids, Inc. 20A-9 City of Santa Ana Page 4 San Lorenzo Sewage Lift Station (06-3510), bidding on July 9, 2019 2:00 PM (Pacific) Printed O6/15/2010 Bid Results Type Item Code UOM Oty Unit Price Line Total Comment Subtotal $7,606,500.00 Asterisk Notes (per P-3 of P-17 of Specifications) - NOT part of Total Bid Calculation 35 "= Mobilization/Demobilization bid item is limited to a maximum of 5%of the Total Bid as 0 0 0 36 "°"' = 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... as 0 0 0 Subtotal 0 Total $7,606,500.00 PlanetBids, Inc. 20A-10 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 06-3510 SAN LORENZO SEWAGE LIFT STATION BID PROPOSAL TO: CITY COUNCIL OF THE CITY OF SANTA ANA FROM: Rockforce Construction, LLC 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* Mobilization/Demobilization 1 LS $ $ 2 Sheeting, Shoring, Bracing and 1 LS $ $ Excavation/Trench Protection 3 Construct, Operate and Maintain a l LS $ $ Dewatering System 4 Construct Sewage Lift Station I LS $ $ 5 Furnish and Install Electrical Equipment 1 LS S $ and Facilities 6 Furnish and Install Instrumentation and 1 LS $ $ Control Equipment and Facilities including Proerammina 7 Construct Site Piping I LS $ $ 8 Construct Site Improvements I LS $ $ 9 Construct Temporary Sewer Bypass of I LS $ $ Existing 10" Sewer at Lift Station Site 10 Construct Electrical Conduit from Existing I LS $ $ Generator by Directional Drilling 11 Demolition of Existing Segerstrom Lift l LS $ $ Station 12 Construct Parallel Force Mains and Valves, 1 LS $ $ and 15" Gravity Sewer and Manholes from Sta. 7+87+ to Sta. 15+49t 13 Construct 15" Gravity Sewer and 1 LS $ $ 1 Manholes from Sta. 20+00 to Sta. 25+72+ P-1 ofP-17 20A-11 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 06-3510 SAN LORENZO SEWAGE LIFT STATION Item Description Qty Unit Unit Price Amount 14 Construct 12" Gravity Sewer and 1 LS $ $ Manholes from Sta. 30-00 to Sta. 31+90t 15 Construct Connection to OCSD Existing 1 LS $ $ Manhole (Manhole No. 11) 16 Abandon in Place Existing Sewer Mains 1 LS $ $ 17 Furnish and Install Irrigation and I LS $ $ Landscaping 18 Prepare and Obtain Approval of Traffic I LS $ $ Control Plans 19 Provide and Maintain Traffic Control 1 LS $ $ 20 Prepare and Implement Stormwater I LS $ $ Pollution Prevention Plan 21 Removal of Existing Median/Landscaping, 1 LS $ $ Construct Temporary Pavement including Re -striping, and Replacement of Median and Landscaping 22 Removal and Replacement of Concrete I LS $ $ Bus Pad 23 Removal and Replacement of Curb, Gutter, I LS $ $ Sidewalk and Medians 24 Replacement of Traffic Loops, Detectors 1 LS $ $ and Wiring 25 Construct Grind and ARHM Overlay 44,000 SF $ $ 26 Furnish and Install Final Striping and I LS $ $ Replacement of Pavement Markings 27 TV Inspection of Gravity Sewer Mains I LS $ $ 28 Potholing 1 LS $ $ 29** Over -Excavation and Subgrade 100 CY $ $ Stabilization of Trenches 30 Construction Staking 1 LS $ $ 31 Start-up, Testing and Training 1 LS $ $ 32 As -Built Plans, O&M Manuals and 1 LS $ $ Warranties 33 Permits I LS 1 $ 20,000 $ 20,000 P-2 ofP-17 20A-12 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 06-3510 SAN LORENZO SEWAGE LIEF STATION Item Description Qty Unit Unit Price Amount 34 Labor Agreement Oversight 1 LS $ 10,000 $ 10,000 TOTAL BASE BID $ 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). * Mobilization/Demobilization bid item is limited to a maximum of 5% of the Total Base Bid. ** The quantity for this bid item is shown for bid comparison only. This bid item shalt 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. 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 three hundred (300) workine 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 $1,500 per calendar day. Name of Firm Rockforce nstrucfon, LLC Signature of BIDDER a Title Chief Estimator / VP Heavy Civil (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 o f P-17 20A-13 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 06-3510 SAN LORENZO SEWAGE LIFT STATION 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 Rockforce Construction_ LLC Signature of BIDDER Title Chief Estimator / VP Heavy Civil (If an individual, so state. if a firm or co -partnership, state the firm name and give the names ol all individual co-partners composing the firm. If corporation, state legal name of corporation, and names of President, Secretary, Treasurer and Manager, thereof) P-4 of P-17 20A-14 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 06-3510 SAN LORENZO SEWAGE LIFT STATION CQNNTRACTOR'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: Rockforce Construction, LLC Business Address: 26772 Vista Terrace Lake Forest, CA 92630 Business E-Mail Address: Estimating@RockPorce.com Telephone: (949) 441-5200 State Contractor's License No. and Class: 999390 "A" License Expiration Date 12/31 /2020 State Dept. of Industrial Relations (DIR) Registration No.: 1000004540 State Dept. of Industrial Relations (DIR) Registration E�p{rationPqte: 6/30/2021 Signed: Title: Chief Estimator / VP Heavv Civil igfP-16 dX CITY OF SANTA ANA PROPOSAL PROJECT NO.: 06-3510 SAN LORENZO SEWAGE LIFT STATION 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 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 Rockforce Construction_ LLC Signature of BIDDER Title Chief Estimator/VP Heavy Civil (if an individual, so state) P-6 of P-17 20A-16 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 06-3510 SAN LORENZO SEWAGE LIFT STATION REFERENCES 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. County of San Bernardino - 157 West Fifth St. San Bernardino, CA 92415 Name and Address of Owner. Jeff Rienev (909) 387-5967 Name and Telephone Number of person familiar with project. $11,385,700,00 Dam Rehabilitation Contract Amount Type of Work 5/31/2019 2. Metropolitan Water District - 700 North Alameda St. Los Angeles, CA 90012 Name and Address of owner. Date Completed Name and Telephone Number of person familiar with project. $5,285,000 Siphons Erosion Protection 11/19/2018 Contract Amount Type of Work Date Completed 3. County of San Bernardino - Sp_ ecial Districts Dept. 825 East Third St. San Bernardino, CA 92415 Name and Address of owner. Name and Telephone Number of person familiar with project. $14.574,460.00 Basin and Dam Construction 8/1 1/2020 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. Bonding Co. / Surety - Arch Insurance Company 3 Parkway Suite 41500 Philadelphia, PA 19145 (215) 606-1600 Name of Surety Agent - CSBA 1411 No. Batavia. Suite #20I Orange. CA 92867 (714) 516-1232 Contact: Arturo Ayala P-10 of P-17 20A-17 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 06-3510 SAN LORENZO SEWAGE LIFT STATION 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. Name and Address of Owner. Name and Telephone Number of person familiar with project. Contract Amount Type of Work Date Completed z. NIA Name and Address of owner, 3. Name and Telephone Number of person familiar with project. Contract Amount of owner. Type of Work Name and Telephone Number of person familiar with project. Contract Amount Type of Work Date Completed 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. I •, CITY OF SANTA ANA PROPOSAL PROJECT NO.: 06-3510 SAN LORENZO SEWAGE LIFT STATION NON-DISCRIMINATION CERTIFICATE The undersigned contractor or corporate officer, during the performance of this contract, certifies as follows: 1. 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. The Contractor shall furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders ofthe 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-13 ofP-17 20A-19 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 06-3510 SAN LORENZO SEWAGE LIFT STATION 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 oChapte� Signed: �(/ �t1/��% 0 Title: Chief Estimator / VP Heavy Civil Firm: Rockforce Construction, LLC Date: 7/9/19 P-14 ofP-1 20A-2 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 06-3510 SAN LORENZO SEWAGE LIFT STATION 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 connnittee 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 amount to t California Apprenticeship Council. Signed: Z�"i Title: Chief Estimator / VP Heavy Civil Firm: Rockforce Construction. LLC Date: 7/9/19 P-15 ofP-17 20A-21 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 06-3510 SAN LORENZO SEWAGE LIFT STATION STATEMENT REGARDING "ANTI -KICKBACK" REOUIREMENT 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 Trwi21ZN� entitled. Signed: =� z Title: Chief Estimator / VP Heavy Civil Firm: Rockforce Construction, LLC Date: 7/9/19 ��6Qf PnlZ CITY OF SANTA ANA PROPOSAL PROJECT NO.: 06-3510 SAN LORENZO SEWAGE LIFT STATION 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 P-17 ofP-17 20A-23 EXHIBIT 3 CITY OF SANTA ANA CONSTRUCTION CONTRACT PROJECT 06-3510 SAN LORENZO SEWAGE LIFT STATION PROJECT This CONSTRUCTION CONTRACT is made and entered into this 17h day of September, 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 Rockforce Construction, LLC (hereinafter "CONTRACTOR"). WPI'NESSETH: 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 San Lorenzo Sewage Lift Station 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 Seven Million Six Hundred Six Thousand Five Hundred and No Cents ($7,606,500.00), 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 20A-24 Page 1 of 3 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: http://www.santa-ana.org/pwa/documents/CWA.pdf 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, furnish Certificates of Liability Insurance and Worker's Compensation Insurance as outlined in the General Provisions, to be approved by the CITY. // 20 " -25 Page 2 of 3 IN WITNESS WHEREOF, the parties hereto have executed this Construction Contract on the day and year first above written. ATTEST: DAISY GOMEZ Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: 4 / "-f WiN 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: Rockforce Construction, LLC AME: TITLE: 20A-26 Page 3 of 3 EXHIBIT 4 AGREEMENT TO PROVIDE CONSTRUCTION ENGINEERING SERVICES FOR THE SAN LORENZO SEWAGE LIFT STATION PROJECT THIS AGREEMENT is made and entered into this 1 st day of October, 2019 by and between Butier Engineering, 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 .Tune 14, 2018, the City issued Request for Proposal No. 18-049, by which it sought a contractor to provide construction engineering services for the San Lorenzo Sewage Lift Station Project. 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 REP No, 18-049. 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 REP No. 18-049 and that is attached as Exhibit A, and as further delineated in Contractor's proposal, which is attached as Exhibit B and incorporated in Rill. 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 C. The total sum to be expended under the terra of this Agreement, including any extension periods, shall not exceed $550,000. This sum is comprised of (1) base amount of $479,572 and (2) an approximate 15% contingency of $70,428 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 t of. 8 20A-27 3. TERM This Agreement shall commence on the date first written above and terminate on September 30, 2022, unless terminated earlier in accordance with Section 17, below. The term of this Agreement may be extended for up to two 1-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, of seq., as well as California Code of Regulations, Title 8, Section I6000, 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 teen 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 20A-28 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. Workers' Compensation Insurance. In accordance with the California Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for workers' 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 lhnit 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 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. Page 3 of 8 20A-29 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 20A-30 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 Pngc S of 8 20A-31 20 Civic Center Plaza (M-21) P.O. Box 1988 Santa Ana, CA 92702 To Contractor: Mark M. Butier Vice President/Chief Financial Officer Butier Engineering, Inc. 17822 E. 17th Street, Suite 404 Tustin, CA 92780 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 Page 6 of 8 20A-32 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. 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 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 furtber 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 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 20A-33 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. 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 patties hereto have executed this Agreement the date and year first above written. ATTEST: CITY OF SANTA ANA Daisy Gomez Kristine Ridge Clerk of the Colmcil City Manager APPROVED AS TO FORM CONTRACTOR SONIA R. CARVALHO City Attorney By: JWn M.Funk Name: Assistant City Attorney Title: �a�f"Fo RECOMMENDED FOR APPROVAL Fuad S. Sweiss, PE, PLS Executive Director Public Works Agency Page 8 of 8 20A-34 EXHIBIT A Appendix ATTACHMENT 1 SCOPE OF WORK CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR CONSTRUCTION ENGINEERING SERVICES FOR SAN LORENZO SEWAGE LIFT STATION RFP NO.: 17-115 Introduction and Sack round: The City desires to engage a professional consultant to perform construction engineering services for the San Lorenzo Sewage Lift Station project. The consultant shall provide three individuals to act as Project Manager (PM), Inspector, and a Contract Administrator (CA), and serve as an extension of City staff to assist in the overall delivery of this project, including pre - construction tasks, managing construction and ensuring that the work is completed in accordance with the contract documents, and project closeout and warranty phase. The consultant team will report directly to the City's Construction Manager or his authorized representative. City staff may assist in managing construction and will oversee the work of the Project Manager, Inspector, and Contract Administrator, The estimated construction cost for the San Lorenzo Sewage Lift Station project is $6 million, The City anticipates advertising construction bids in the early fall 2018, and starting construction, by late 2018. Total construction duration for the project is anticipated to be 14 months. Description of Work: The required services by the Project Manager, the Inspector and the Contract Administrator may include the following: The PM shall be a registered engineer in the State of California and shall represent the City Construction Manager in the field. The CM shall possess a minimum of (5) years' experience in sewer lift station construction management. The Inspector and the Contracts Administrator should have relevant experience in sewer lift station construction management and certifications that affirm the experience. 2. Prior to the start of the project, the PM shall be responsible for conducting a bid analysis to determine who the lowest responsible bidder for the project will be. Shall obtain certificates of insurance, performance bond and `New Vendor Packet" requirements have been satisfied. This includes verifying that all sub- contractors have a valid City ,Business License. Once determined, a staff report will need to be generated to recommend the award of a Construction Contract. City oT Santa Ana RFP 18,049 Page At-1 20A-35 3. The PM shall be responsible for review of completeness and quantity of all required shop drawings, product data, samples and other submittals ("Submittals"). Shall transmit the Submittals to City staffing for review and approval, and shall establish and implement procedures for expediting the processing and approval of Submittals. 4. Attend pre -construction meeting and schedule and conduct weekly construction and progress meetings to discuss such matters as procedures, progress, problems and scheduling. Will prepare and promptly distribute minutes. 5. Shall be responsible for ensuring that all building permits and special permits, if required are obtained and that all applicable fees have been paid, and shall obtain approvals from authorities having jurisdiction over the Project. 6. Shall review construction schedule, including activity sequences and duration, schedule of submittals and schedule of delivery for products with long lead-time. Update the project schedule as required showing current conditions and revisions required by actual progress. 7. Shall conduct comprehensive evaluation of change order requests, provide independent estimates, render recommendations and assist in claim resolution. Shall regularly monitor and report on the status of the Project Construction Budget on a monthly basis, indicating actual costs for completed activities and work in progress, and indicating estimates for uncompleted work. Report should identify variances between actual and budgeted or estimated costs, and shall advise the City whenever it appears that the Actual Construction Cost has exceeded, or will exceed, the Project Construction Budget for the entire Project or any Project Component. 8. Monitor the contractor's safety program. Take necessary steps to ensure the job site conditions are in compliance with OSHA regulations. 9. Maintain cost accounting records on authorized work performed under unit costs and additional work performed on the basis of actual costs of labor and materials, or other work requiring accounting records. 10. May develop and implement procedures for the review and processing of applications by contractor for progress and 'frnal payments. Make recommendations for certification to the City for payment. 11, Determine that the work of contractor is being performed in accordance with the contract documents. Make recommendations to the City regarding special inspection or testing of work not in compliance with the provisions of the contract documents. Subject to review by the City. reject work which does not conform to the requirements of contract documents, 12. The individuals, Project Manager, Inspector and Contract Administrator, shall City of Santa Ana RFP 1 B-049 Page Al-2 20A-36 not be responsible for construction means, methods, techniques, sequences and procedures employed by the contractor in the performance of the contract, and shall not be responsible for the failure of the contractor to carry out work in accordance with the contract documents. However, any errors, omissions, or discrepancies found in the Contract Documents shall be called to the attention of the City's Construction Manager and clarified prior to construction starts. 13. Consult with the City when the contractor requests interpretations of the meaning and intent of the drawings and specifications, and assist in achieving the resolution of problems which may arise. 14. Record the progress of the project. Submit written daily and progress reports to the City. Keep daily logs containing a record of weather, contractor's work on the site, number of workers and equipment, work accomplished, problems encountered, and other relevant data. Make the log available to the City. Prepare and send Weekly Statement of Working Days to the contractor. Monitor contractor's compliance with labor code requirements. 15. Maintain, at the job site, records of contract documents including drawings, addenda, change orders, and other modifications of plans and specifications marked to show all changes made during construction. Maintain as -built records of underground utilities, including locations and depths of trenches. At the completion of the project, deliver to the City all contract documents including as - built records. 16. Evaluate the completion of the work of the contractor and make recommendations to the City when work is ready for final inspection. Assist the City in conducting final inspections. 17. Facilitate and coordinate inspection by representatives of other agencies 18. Schedule and coordinate special inspection and material testing with the County of Orange or other consultants. 19. Shall monitor and enforce prevailing wage forms and requirements for conformance to the prevailing wage rates on a weekly basis. Shall verify that all Trade personnel listed in the daily log are also listed in the certified payroll and shall conduct weekly employee interviews, one for each trade, and submit verification with the monthly progress payments. 20, Shall monitor and enforce the City's Community Workforce Agreement (CWA) forms and requirements to ensure compliance. Verification should be provided with the monthly progress payments. 21. The PM shall be responsible for all project closeout items, such as: As -Built plans and related documentation, punch list completion, commissioning, warranty requests doing the one-year period. Shall schedule and oversee the City of Santa Ana RFP 18-049 Page Al-3 20A-37 warranty repair, Should include site visits as requested by the City to look at defects or imperfection to determine if it is a warranty issue. The city reserves the right to add or reduce some of the above tasks and duties as it sees fit. The consultant, serving as staff extension, shall remain sufficiently flexible to meet the needs of the City and of the project. ON lieSnQnsibilities: 1. Provide a testing laboratory for special inspection and material testing and other quality assurance program as required by the contract documents. 2. Process progress payments upon receipt of approved payment requests from the resident engineer/inspector. 3. Furnish copies of constriction documents, including plans and specifications. 4. Communicate with other consultant to review shop drawings and submittals, respond to requests for information and revise plans if needed. 5. Provide a field office for the Project Manager, the Inspector and the Contract Administrator. 6. Coordinate with the CM and serve as liaison with other City departments Fee Proposal: In addition to Section III.13.3 (Submittal Requirements: Fee Proposal) fez schedule shall be structured as follows: The cost proposal must include the projected staff hours, hourly rates, unit prices and reimbursable expenses for the project, as follows: [I] Itemized estimated breakdown for services for construction engineering services for the duration of construction. The breakdown should include pre -construction services, construction services, and warranty period services. a. Personnel costs - Itemized to show the following: 1. Personnel by classification/responsibilities. 2. Hourly rate for each classification. 3. Estimated hours for each personnel category. 4. Subtotal cost for each category. 5. Total estimated personnel cost. City of Santa Ana RFP 18-049 Page Al-4 20A-38 6. Include percent breakdown availability for each of the classifications The estimated construction duration stated above is for the purpose of cost estimate only. The length of time requiring Consultant's services will be dependent on the construction progress. For services under this category, the Consultant shall be paid according to hourly rates set forth herewith and the actual hours of service. b. Estimated reimbursable Expenses: 1, Costs of supplies and materials (itemized). 2. Travel - Transportation and per diem or subsistence listed separately, if any. 3. Any other direct charges. 4, Total estimated reimbursable expenses. For services under this category, the Consultant shall be paid according to the rates set forth herewith and the actual reimbursable expenses. c. Subtotal of a and b. [II] Contingency services for each month after the original construction contract time, Services under this category will be provided when requested by the City, and the Consultant shall be paid according to hourly rates set forth herewith and the actual hours of sernrice. For the purpose of comparison, each proposer shall use the same number of hours: 500 hours for the Project Manager, the Inspector and the Contract Administrator. The subtotal of this category shall be calculated as follows: Proposed Hourly Rate Hours Total Project Manager $ Mr. 500 Inspector $ Mr. 500 Contract Administrator $ Mr. 500 City of Santa Ana RFP 15-049 Page Al-5 20A-39 Fs O it J k t I Proposal for Due Date RFP No. 18-049 Construction Engineering Services for the July 31, 2018 San Lorenzo Sewage Lift Station No kV . p1 • 1 • Proposal to Provide Construction Engineer] ng Services for the San Lorenzo Sewage Lift Station RFP No. 18-049 Due: July 31, 2018 BUTIER Con T@rE/F.tioa �8J1€gE'i'S� (:plly JE egg IIueiS SECTION A Cover Letter SECTION B Firm & Team Experience SECTION C Understanding of Need SECTION D Relevant Project Experience SECTION E References SECTION F Scope of Services and Schedule SECTION G Certifications 20A-41 t rl "{�N3-,y yy,Fi' x 1 !N,k F* fl F`. 5Fi'' ,� RAY•` 3 "qr 4 MY sTs,S$s� {P ..0 .., +.- R� �y .ry �>'t�jy,3C t • � � a� 4 t L 20A-42 Section A. Cover Letter July 26, 2018 City of Santa Ana Attn: Tyrone Chesanek Public Works Agency 20 Civic Center Plaza 3� Floor Reception, Ross Annex Santa Ana, CA 92701 Subject: RFP No. 18-049—Construction Engineering Services for the San Lorenzo Sewage Lift Station Project Dear Mr, Chesanek; Butler Engineering, Inc. (Butler) is pleased to present five (5) hard copies of its proposal accompanied by one (1) digital file on a labeled USB Flash Drive for the above stated subject. Per the RFP instructions, we have also provided one (1) hardcopy of our Fee Proposal In a separate envelope. Our submittal is fully responsive to the RFP and Addendum Nos. 1 and 2. The Butler Team offers several distinguishing qualifications and a proven record of performance to the City of Santa Ana. To address the demands of the San Lorenzo Sewage Lift Station Project, we have assembled a team that has provided services on some of the largest water/wastewater capital improvement projects in Southern California. Contract Agreement Statement We have reviewed the Contract Agreement and concur with any and all provisions as contained in the Agreement attached in the RFP as Attachment 2 in the Appendix. Established Relationship with City of Santa Ana Butler is currently providing CM and inspection services for OCWD's Mid -Basin Injection Project. The project, which is located within the City of Santa Ana's 87-acre Centennial Park, includes the construction of four (4) groundwater injection wells. Our team is coordinating closely with the City and Santa Ana Unified School District. In addition, Butler performed numerous coordination meetings with the City's Public Works, Building, and Parks & Recreation Departments during the construction of OCWD's Groundwater Storage Program. The Program Included eight (8) wells within the OC groundwater basin, two of which were located in the City of Santa Ana. Team Member Firm Butler and ON -SITE Technical Services, Inc. have a 14-year working relationship on major water capital improvement projects for Orange County Water District (OCWD), Metropolitan Water District (MIWD), West Basin Municipal Water District (WBMWD), and San Diego County Water Authority (SDCWA). Butler and ON -SITE have completed 15 major projects and numerous operation upgrades for SDCWA and WBMWD. The most recent pump station project that was performed as a team was OCWD's $20.5 million Burris Pump Station Project —Phase 2. ON-SITE's domestic end international expertise in the inspection and testing of equipment is unmatched. They conduct quality assurance inspection services on structural steel, pump stations, recycled water facilities, pipelines, and engineered equipment manufactured at various domestic and international facilities on a daily basis. 20A-43 6PT{ER Cky of Santa Ana, Public Works Agency Construction Engineering Services for the San Lorenzo Sewage Lift Station, RFP No. 16-04g Unique Team Features • Professional Relationship with the Design Team--Butier has developed a strong working history with the Designer of Record. Butler and Tetra Tech —specifically, Mr. Tom Epperson — have nearly 25 years of project history. Our firm has provided CM and inspection services on several large, multi -phase projects designed by Tetra Tech, including the City of Tustin's Rawlings Reservoir Replacement and City of Anaheim's Noh€ Canyon Water Storage Tank projects. In addition, our firms recently worked together on OCW D's Burris Pump Station Project —Phase II. Our long-standing relationship with Tetra Tech and Mr. Epperson will make the development of our management approach more efficient and cost effective. • IT Infrastructure and Project Documentation —Butler will provide a sophisticated IT infrastructure. This web -based platform allows project information to be disseminated via the internet using Procoro as a cloud -based construction project management software. The program affords the project team with 2417 visibility into project status and a centralized, comprehensive platform to manage all vital project data. The platform will allow us to create "dashboards" specific to the user. This will allow the City to quickly access the project record for key metrics and provide near real time updates of project progress, • Extensive Experience in the Analysis and Defense of Contractor Claims—Butier's senior staff has been responsible for the administration and defense of complex construction claims. The firm's focus in water gives us a specific case history that aligns CM practices with the type of issues encountered on projects of this size and complexity. • Local Market Knowledge —The Butler team will provide unmatched cost control and estimating services. The firm's strong relationship with the Southern California construction community allows us to provide market price cost estimates. WE) also have the ability to survey local contractors on the current market environment. This provides our clients with an assessment of the best time to release a project for bidding. The construction management team will be managed out of Butler's corporate office located at 17822 E. 171h Street, Suite 404: Tustin, CA. We appreciate the opportunity to meet the City's project challenges with our most experienced personnel, and are confident that we have assembled a team that will serve the best interests of all project participants. If you have any questions regarding our proposal, please direct them to me for clarification at (714) 832-7222, Respectfully Yours, HUTtER Engineering, Inc, Construction /Managers, ConsultingEm'neer 6 Mark M. Butler, Jr. Vice PresidenUCFO A. COVER LETTER 20A-44 20A-45 Section S. Firm and Team Experience Butler Engineering, Inc. Butler Engineering Inc.'s focus as a firm is to provide third -party construction management services, a commitment we made to our clients 42 years ago. Butler Is a Southern California -based firm that services public agencies, special districts, and the private sector in the delivery of heavy civil infrastructure. Our project expertise is in pump stations, small and large diameter pipelines, Flow control facilities, water production wells, water/wastewater treatment facilities, reservoirs, and water quality laboratories. Representative clients include, but are not limited to, the following: ■ Chino Basin DesalterAuthority • Cities of Tustin, Anaheim, San Juan Capistrano, Newport Beach, Huntington Beach, Carlsbad, Escondido, and Vista • County of Orange • East Orange County Municipal Water District • Irvine Ranch Water District • Mesa Water District • Metropolitan Water District of S. California ■ Orange County Sanitation District • Orange County Water District • San Bernardino Valley MWD • San Diego County Water Authority • Santa Margarita Water District • South Coast Water District ■ South Orange County Wastewater Authority • Water Replenishment District of S. California ■ West Basin Municipal Water District Key Personnel Butler Engineering, Inc.'s team consists of 35 skilled project managers, schedulers, estimators, and inspectors who have successfully managed water/wastewater treatment, storage, and transmission projects throughout Southern California The Construction Management Team is a key link to a successful project. By having the Butler Team serve the City as a single -source of responsibility, the CM and Inspection activities will be well coordinated and delivered efficiently. In addition to our licensed professional engineers, our field engineering staff possess certifications from the following organizations: • American Concrete Institute (Field Testing Technicians) • American Welding Society(Certified Welding Inspectors) • International Code Council (Reinforced Concrete, Prestressed Concrete, Structural Masonry, Soils, Spray -Applied Fireproofing, Structural Steel And Bolting, Structural Welding, Electrical) ■ NACE International (Level 1, 2 and 3 Certified Coating Inspectors) • Post Tension Institute (Field Technicians) Approach to Managing Personnel We propose to approach this project with a spirit of partnership. This enables us to combine the knowledge, ideas, and talents of your staff with our construction administration experience. Our core team will be supplemented by as -needed technical and administrative resources provided by Butler. Butler's CM and inspection responsibilities are handled by the project team member best experienced to provide the needed service. Butler does not assign inspection staff to perform project document controls; rather, inspectors focus on implementing the QA/QC program and reports required to document daily activity. Likewise, all project documentation and controls are the responsibility of the Contract Administrator. All projects have a Project Manager assigned to monitor project field staff performance. Following this formula is critical for the Owner's defense in the event of project claims. It is also more cost efficient by matching staff skills to project needs. The Project Director has full access to teams of civil, mechanical, electrical, and structural engineers, specialty consultants, and inspectors through existing relationships and teaming arrangements with local firms. The CM Team is always vigilant during preconstruction, construction, and close-out to meticulously document project activities and minimize contractor claims. 41 A A { \\ . ,u fr«!$ - f � � � 20A- 7 BUTEER Conslrvellon Idonapere, famsr(m,p Cnglnaort Mark M. Butier, Jr. Project Director Professional Summary EDUCATION Mr. Butler serves as Vice -President and Chief Financial Officer for Butler MBA, Finance, university of Engineering. His primary duties include functioning as the primary point of California, Irvine, Graduate contact between Butlerand its clients; contract management; sub -consultant School of Management, contract management; maintenance of Butler's project Information system; 1998 development of thefirm's field procedural manuals; and staff resource Graduate Studies, Civil management. Mr. Butler works closely with the field construction management Engineering, Callomla state staff to ensure all contract scope requirements are being fully Implemented. Mr. University at Long Beach Butler also serves as the firm's contact between the field construction management stafflclient and the project public outreach effort, when necessary. B.A., Economics, University He has been responsible for generating, distributing, and presenting to of southern California, 1987 numerous public boards and community associations dealing with the impact of B.A., social Sciences, construction activity on the local community. University of Southern Project Experience California, 1987 Project Director, Mid -Basin Injection: Centennial Park Project; Santa LICENSES I Ana, CA; Orange County Water District (Est. Completion: 2018)—The CERTIFICATIONS Mid -Basin Injection project consists of the construction of the following: four General Engineering groundwater injection wells in below grade vaults; a monitoring well at the Contractor, state of Heritage Museum site; a purified recycled water injection supply pipeline California, Class A 716863 approximately 5,000 feet long that connects to the District's existing Registered Construction Groundwater Replenishment System (GWRS) pipeline and crosses the Santa Inspector, ACIA: Division I Ana River; a backflush discharge pipeline approximately 4,000 feet long that Engineering 5572 discharges to the Greenville -Banning Channel and Centennial Park Lake; installation of submersible pumps within the four injection wells; replacement YEARS WITH FIRM of approximately 9.6 acres of paving within the Park; demolishing an existing 31 yea rs City of Santa Ana restroom facility; and constructing two new buildings with shared City and District uses. Butler is coordinating closely with the City of AVAILABILITY Santa Ana, Santa Ana Unified School District, Heritage Museum, and As-NGeded state and federal agencies, Project Director, Edinger Avenue Well —Phase 11 Equipping Project; City of Tustin, Public Works (Estimated Completion: 2016; Value: $4,103,650)—Butier is providing construction management and inspection services for the Edinger Avenue Well - Phase II Equipping Project. Construction of the building and equipping of the pump includes installation of a 225 LF of 12-inch diameter CML ductile iron pipe discharge water line; connection to 12-inch ductile iron watermain; installation of 162 LF of 18-inch diameter C-905 drain line; connection to the existing storm drain; placement of new onsite sewer manhole; installation of 76 LF of 8-inch diameter SDR 26 sewer lateral; and connection to existing OCSD sewer manhole. The scope of nrork also includes the erection of 2.376 SF of CII block wall with a metal roof building to enclose the well pump, electrical equipment and chlorine room. The project is part of the City of Tustin's Water Services Division, which is responsible for the production and safe delivery of domestic water to more than 14,100 service connections through approximately 172 miles of water mains. Butler staff coordinated with several agencies including the City of Tustin, City of Santa Ana, and Caltrans, KO -• BUTLER � uno7rnn Munepere, Cnnrufni¢,Enyfnnors Mark M. Butler, Jr. Project Director Owner's Representative, Agua Hedionda Sewer Lift Station and VistalCarlsbad Interceptor Sewer Replacement; Vista, CA; Cities of Vista and Carlsbad (Completion: 2018; Value $64.2 million)•—Butier is performing as the Owner's Representative for the construction of the sewer lift station and interceptor sewer reaches. The project begins at the north shore of the Agua Hedionda Lagoon in Carlsbad and extends a distance of 2.3 miles to the Encina Water Pollution Control Facility. Major project components include the following: 1) Removal and replacement of the existing wood trestle sewer support bridge across the lagoon with a new steel support bridge. The existing 42-inch diameter sewer pipe along the bridge will be replaced with a new 54-Inch pipe; 2) Removal and replacement of the existing Ague Hedionda lift station. The new structure will house replacement motors and pumps, as well as new system enhancements including an emergency generator and bypass motors and pumps, an electrical control building, and odor control facilities; and 3) Construction of a new 30-inch diameter force main and a new 54-inch diameter gravity sewer line to increase system capacity and reliability. The force main will provide 4,000 linear feet of high density polyethylene pipe parallel to an existing line and will connect into 7,000 linear feet of new 54-inch diameter gravity sewer to be constructed in Avenida Encinas from Cannon Road to the Encina Water Pollution Control Facility. Project Director, Orange County Groundwater Storage Program; Orange County, CA (Orange County Water District) —The Orange County Groundwater Storage Program consisted of equipping eight (8) municipal water production wells in the cities of Santa Ana, Anaheim, Garden Grove, Westminster, Cypress, Placentia, and Buena Park, The scope of work for the wells included site work; installation of deep well turbine pump and motors, electrical and instrumentation work, disinfection facilities, discharge piping and valving, and off -site piping and valving, construction of concrete block buildings, paving, drainage, fencing, and landscaping; and startup, testing, and training. Mr. White coordinated with building officials, City engineers, and public works departments to learn the organization's operation, discover the hierarchy, and present solutions tailored to each of the agency's needs. Project Director, Burris Pump Station Project —Phase 2; Anaheim, CA; Orange County Water District (Completion: 2016; Value: $20,585,400}-- Mr. Butler oversaw the construction management and inspection services team for the Burris Pump Station Project — Phase 2, Phase 1 included the construction of a portion of the building site and an earthen berm. The berm allows the basin to remain in operation during final construction of the wet well and pump station. Phase 2 consisted of the construction of a new 10,000 SF storm water pump station that uses four conventional vertical turbine pumps installed in a circular wet well. The pump station also consists of new mechanical, electrical, and control systems. An intake pipe was installed on the slope of the embankment, connecting the new pumps to the intake invert. 20A-49 BUTTER C rtSbbNlpa M1vxhhjn2, COnauI,LVJ knylnavrr Casey Harris Principal -in -Charge/ Senior Scheduler/ Claims Professional Summary EDUCATION Mr. Harris has over 40 years of varied experience as a project/construction B.S., construction manager, resident engineer, and senior scheduler. As the on-sitelowner Engineering, Arizona State representative for major municipal, public agency, and special district capital University, 1977 improvement projects, Mr. Harris has successfully managed the construction of Graduate Studies, Arizona multi-milllon dollar water and wastewater treatment facilities, pipelines, airports, State university solid waste landfills, water quality laboratories, and ports. Collectively, this project experience represents over $700 million in construction costs. YEARS WITH FIRM Mr. Harris is an expert CPM scheduler, has established and implemented 37 years effective change order control systems, negotiated change orders wRh design/build contractors, performed routine shop drawing reviews, and AVAILABILITY 20% resolved contractor claims. As a Senior Scheduler, Mr. Harris conducts pre- construction scheduling meetings with the owner and contractor to discuss the scheduling specification requirements and format. The meeting facilitates timely submittal, review, and approval of the contractor's baseline schedule and helps to reduce the number of resubmiltals. Mr. Harris evaluates and monitors the contractor's baseline schedule, weekly look -ahead schedules, and provides monthly schedule updates, time impact analyses (TIAs), schedule revisions, and as -built schedule submittals. He is also responsible for updating the overall project schedule to reflect actual progress and changes. He Identifies slippage of contract activities on the critical path, as well as time sequence problems, early on so that the construction management team may take corrective action. Project Experience Senior Scheduler, Mid -Basin Injection: Centennial Park Project; Santa Ana, CA; Orange County Water District (Completion: 2018; Value: $23.2 million) —The Mid -Basin Injection project consists of the construction of the following: four groundwater injection wells in below grade vaults; a monitoring well at the Heritage Museum site; a purified recycled water injection supply pipeline approximately 5,000 feet long that connects to the District's existing Groundwater Replenishment System (GWRS) pipeline and crosses the Santa Ana River; a backflush discharge pipeline approximately 4,000 feet long that discharges to the Greenville -Banning Channel and Centennial Park Lake; installation of submersible pumps within the four injection wells; replacement of approximately 9.6 acres of paving within the Park; demolishing an existing City of Santa Ana restroom facility; and constructing two new buildings with shared City and District uses. Mr. Burce is coordinating closely with the City of Santa Ana, Santa Ana Unified Sehoot District, Heritage Museum, and state and federal agencies. Constructability Review and Senior Scheduler, Burris Pump Station Project —Phase 2; Anaheim, CA (Orange County Water District) —Mr. Harris performed civil/structural design review for the Burris Pump Station Project —Phase 2 as a part of Butier's construction management agreement with OCW D. The scope of services included report and data review and Phase 2 Design Review at the 75% design stage. Mr. Harris also provided schedule review services under the construction phase of the Burris Pump 20A-50 BUT1ER Cerpp,rciyu Ma„g„�, C-ibbiny Enyu,cen Casey Harris Principal -In -Charge / Senior Scheduler/ Claims Station Project, Phase 2 consisted of the construction of a new 10,000 SF storm water pump station that uses four conventional vertical turbine pumps installed in a circular wet well. The pump station also consists of new mechanical, electrical, and control systems. An Intake pipe was Installed on the slope of the embankment, connecting the new pumps to the intake Invert. Senior Scheduler, Chino It Desalter Concentrate Reduction Facility; Jurupa Valley, CA; Chino Basin Desalter Authority (Completion. 2016— Value: $46.6 miilion) --Senior Scheduler for the CRF groundwater treatment facility. Both ion exchange (IX) and RO treatment trains are used to treat brackish groundwater from eight welts that also have elevated nitrate concentrations. The project scope included construction of new softening, clarification, filtration, and secondary RO (SRO) treatment and solids dewaterfng and storage; installation of a new decarbonator; Installation of a now transfer pump with motor with associated VFD and motor controls and discharge piping and valves; installation of new cartridge filters; modification of the existing sulfuric acid chemical system; modification of the existing threshold Inhibitor chemical system; and site modifications. Including fencing and gates, yard piping, and storm drain replacement. Senior Scheduler, Carlsbad 50 MGD Seawater Reverse Osmosis Desalinatlon Plant and 10-Mlle Conveyance Pipeline; Carlsbad, CA; Poseidon Water (Completion: 1212015; Value: $697 mtllton)—Mr. Harris provided scheduling services for the new construction of a 50 MGD seawater reverse osmosis desalination plant at the Enclna Power Station located In Carlsbad, CA. The scope also included the construction of a 2.5 million gallon product water storage tank; product pump station; and conveyance pipeline to deliver the drinking water produced by the Project to water utilities and municipalities in San Diego County. The 10-mile, 54-inch diameter pipeline was constructed under Interstate 5 Highway and a railroad using a jack and bore tunnel method. Butier staff coordinated closely with the City of Carlsbad, SDCWA, SDG&E, Poseidon and the Coastal Commission during the construction of the tunnel option across Macario Canyon. The pipeline alignment includes over 6,000 feet of tunnels performed by four different tunneling subcontractors. One of the tunnels is over 1,700 linear feet, 30 feet below sea level, and required a vertical shaft over 00 feet In height. Senior SchedulerlRisk Analysis, Groundwater Reliability Improvement Program (GRIP) Advanced Water Treatment Facility Project; Water Replenishment District of Southem California (Value: $100 million) —Mr. Harris is providing scheduling and risk analysis services as a part of GHD's Owner's Agent/Owner's Engineer team for the GRIP Advanced Water Treatment Facility Project. As a part of the GRIP Program, an advanced water treatment facility is being constructed to purify 10.000 acre feet (3.25 billion gallons) of tertiary treated (recycled) water annually, The GRIP AWTF is being built on a 5.2 acre property in the City of Pico Rivera, adjacent to the San Gabriel River. The GRIP AWTF will include the following treatment processes: automatic strainer; microflltratlon (MF) and reverse osmosis (RO) followed by ultraviolet advanced oxidation (UVAO); cartridge filtration; decarbonation; and pH adjustmenticorrosivity stabilization. 20A-51 HUTIER CmMdwNlwr Men,gara. C¢nnJlln� Gngu,nan Kyle Morgheim, P.E. Project Manager Professional Summary EDUCATION Mr. Kyle Morgheim is a professional engineer with over 15 years of M.6,A. and M.S., Finance, comprehensive experience in civil engineering and project and construction University of Denver, Colorado, 2010 management, including resource allocation and cost! schedule management of major projects. He has extensive experience In providing PM and CM as., civil Engineering, services for water / wastewater treatment facilities, pump stations, reservoirs, University or Nebraska, pipelines, transportation, and land development projects from design through Lincoln, 2003 construction phases. LICENSES ! Mr. Morghalm has strong decision -making, leadership, communication, and CERTIFICATIONS technical skills, He Is extremely focused on Identifying potential problem Registered Professional areas, minimizing issues, and formulating and executing competent solutions. Engineer (Civil), State te oof His project management responsibilities typically include coordinating with California, No. 71736 agencies and stakeholders; scheduling; preparing and reviewing cost 9 estimates; managing the construction project field office and personnel; full SOFTWARE contract administration; leading project meetings; responding to contractor PROFICIENCY correspondence; negotiating and recommending monthly progress payments; AutcCAD Land Desktop maintaining a daily diary of events; preparing monthly project status reports, - Development and monitoring as-buflf drawings. Agtek 3-D Modeling Project Experience HEC-HMS Storm CAD Assistant Resident Engineer, Rawlings Reservoir Repair and Flowmaster Replacement; Tustin, CA; City of Tustin (Completion: 2013; Value: $12.5 A,E.s, (California Hydrology million) —The City's former4 MG hopper bottom reservoirwas taken out of Program) service due to its age and deteriorating condition. After its decommissioning, WSPG (California Hydraulic the City proceeded with the design of two 3.0 MG prestressed circular Modeling Program) concrete tanks to replace the reservoir. Prior to bidding, Butler assisted the City with solving construction access and temporary shoring issues. The YEARS WITH FIRM project originally required the construction of a tie -back retaining wall, which e years would have extended the project into an adjacent property. At the City's direction, Butler performed a constructability review and proposed using a AVAILABILITY cantilevered shoring system, which would keep the project within the City's 50% property line. In addition, Butler assisted the City in obtaining a temporary construction easement from the adjacent landowner to the north. Use of this undeveloped property provided the Project team with an access road down to the bottom of the tank elevation, as well as laydown and stockpiling areas. Resident Engineer, Chino Desalter Phase 3 Expansion Project; Norco, CA (Chino Basin Desalter Authority) —The Chino Desafter Phase 3 Expansion Project included the drilling of six (6) additional wells, new raw water and product water pipelines, and expansion of the Chino Desalter's treatment facilities. The scope of the Expansion increased desalter groundwater pumping from the lower Chino Basin to 40,000 acre-feet per year (AF/yr) and provides at least 10 MGD of additional product water capacity. The treatment processes include reverse osmosis (RO), ion exchange (IC), and air stripping. 20A-52 BUTNER C rmn:on Managnra. smlrna Crry�rvaz,n Kyle Morghelm, P.E. Project Manager Resident Engineer, Milliken 1010 Zone Pump Station; Chino, CA; Chino Basin Desalter Authority (Completion: 2014; Value: $1.3 million) —The scope of work includes the following potable water improvements: construction of a ventilated CMU Pump Station, 198 LF of 16-Inch discharge piping and interconnection to an existing 30-inch transmission line, and 24-inch suction piping and interconnection to an existing 24-inch transmission line; installation of 3 vertical turbine pumps and associated piping, fittings, valves, appurtenances, electrical instrumentation, and controls; and site improvements, including grading and paving and restoration of existing improvements. Technical Advisor, Moffett Drive and Park Avenue Roadway Extension Project; City of Tustin, Public Works (Completion: 2016; Value: $14.5 million) —Mr. Morgheim provided construction management services for the Moffett Drive and Park Avenue Extension Roadway Project, The project included the removal and compaction of 250,000 CY of removal and compaction of soil; 275,000 SF of subgrade preparation and street fine grading; and 4,000 LF of reinforced concrete box storm drain. The project also includes the construction of street improvements, paving, utility installation, signing, traffic installation, landscaping, and irrigation. Approximately 15,000 CY of concrete was used to construct the reinforced concrete box storm drain, which includes lateral storm drains with catch basins. Major dewatering efforts and shoring under the Jamboree Bridge at Moffett Drive presented significant challenges that Butler coordinated with success, Technical Advisor, Peter's Canyon Channel and Moffett Drive Bridge Construction and Street Improvements Project; City of Tustin, Public Works (Estimated Completion: 2018)—Mr. Morgheim is providing construction management services for the Peter's Canyon Channel and Moffett Drive Bridge Construction and Street Improvements Project. The scope of work consists of removing the existing bridge and constructing a single span cast -in -place concrete box girder bridge approximately 108 feet in length and 73.25 feet in width. The work also includes an architectural steel arch on each side of the bridge. In addition to the construction of bridge, the work shall include, but not limited to construction of barriers, sidewalks, wing - walls, foundation, railings, structure excavation, backfill, drainage, and bridge lighting. The channel work includes demolition, widening, and relining approximately 5,000 feet of the existing channel within the Cities of Tustin and Irvine. The channel scope of work also includes construction of new storm drain lines, extension of existing storm drain lines, and road undercrossings. Technical Support, Armstrong Avenue & Warner Avenue Extension Phase 2 Street Improvements, City of Tustin (Completion 2015; Value $13.2 million) ---Mr. Morgheim provided technical support services for the Armstrong/Warner Ave. Extension Phase 2 project. The scope of work included roadway improvements, traffic signals, landscape, dry utility, waterline, and reclaimed water and sewer line construction on the following streets: Armstrong Avenue Extension from Warner Avenue to Barranca Parkway and Warner Avenue Extension from Red Hill Avenue to Tustin Ranch Road. 20A-53 BUTIER {:msvun.'"n M1id,a�pa�. Conruinny En yrnaem Vladimir Burce, P.E. Technical Advisor EDUCATION Professional Summary Ms., construction Management, University of Mr, Burce is a registered civil engineer with over 23 ears of professional 9 9� Y Southern California, Los experience In project and construction management, Including planning, Angeles, California, 2003 design, resource allocation, and costtschedule management of major projects. He has extensive experience in providing PM and CM services for Bs., Civil Engineering, stateono, Polytechnic water/wastewater treatment facilities, wells, um stations, storm water University university -Pomona, detention / retentions stems, transportation, parking structures, industrial, y P P 9 California, 1995 educational, residential, and land development projects during the design and construction phases. LICENSES/ CERTIFICATIONS Mr. Burce has diverse project experience in public works and real estate P 1 P professional Civu Engineer: development. This background provides him with an In-depth understanding California (CE59405) of civil engineering disciplines. His professional responsibilities have ranged from feasibility study, geotechnical, civil design, complex drainage design and AFFILIATIONS regulatory requirements, technical spec'Ifications development and preparation Woject Management Institute of bid documents, designlconstructability review, schedule preparation, field Building industry Association, implementation and supervision, and construction management. Orange county chapter Relevant Experience Urban Land institute Resident Engineer, Mid -Basin Injection: Centennial Park Project; Santa YEARS WITH FIRM Ana, CA; Orange County Water District (Completion: 2018; Value: $23.2 3 years million) --The Mid -Basin Injection project consists of the construction of the following: four groundwater injection wells in below grade vaults; a monitoring AVAILABILITY well at the Heritage Museum site; a purified recycled water injection supply As Needed pipeline approximately 5,000 feet long that connects to the District's existing Groundwater Replenishment System (GW RS) pipeline and crosses the Santa Ana River; a backflush discharge pipeline approximately 4,000 feet long that discharges to the Greenville -Banning Channel and Centennial Park Lake; Installation of submersible pumps within the four Injection wells; replacement of approximately 9.6 acres of paving within the Park; demolishing an existing City of Santa Ana restroom facility; and constructing two new buildings with shared City and District uses. Mr. Burce is coordinating closely with the City of Santa Ana, Santa Ana Unified School District, Heritage Museum, and state and federal agencies. Resident Engineer, Chino II Well Field Equipping of Raw Water Wells Nos. 11-10 and 11.11; Eastvale and Ontario, CA; (Chino Basin Desalter Authority (Completion: 2017; Value: $3.8 milllon)—Mr. Burce provided resident engineering services for Well Nos. II-10 and II-11. Well II-10 is located on CDA property in the City of Eastvale within Riverside County. Well II-11 (Lot "A") is located on CDA property in the City of Ontario within San Bernardino County. The scope of work included equipping of two water wells including, but not limited to, the following: construction of 168" W x 41'4"L x 16"H reinforced masonry block building; Installation of 3,300 gpm vertical turbine stainless steel pumping unit and 600 hp premium efficiency motor, 16-inch diameter epoxy lined steel discharge header pipe, 12-inch diameter pump to waste piping, 16-inch diameter flow meter, site pressure piping and tubing, valves, taps and Corp stops, pressure gages, 16-inch diameter C905 PVC underground discharge pipeline, and connection to existing 24-inch 20A-54 HUTIER Garc�nreHrn Mau»ycrc Cennil�lny, Fnglnaer: Vladimir Burce, P.E. Technicai Advisor diameter discharge pipeline; and on- and off -site electrical, including power, control, lighting, underground electrical duct, instrumentation equipment and panels, switchgear, VFD and motor control center equipment, and installation of SCADA equipment. The project included close coordination with the City of Ontario, City of Eastvale, County of San Bernardino County Flood Control District, Southern California Edison, and local businesses and residents, Resident Engineer, Chino Desalter Reliability Project; Chino, CA; Chino Basin Desalter Authority (Completion: October 2017; Value: $3.8 million)—Butier provided CM and inspection services for the Chino I Reliability Project located at the existing Chino I Desaiter. The project scope included the following; new building built on to the existing Chino I Desalter facility; new RO train tied into the existing feed water, permeate, concentrate, and CIP piping manifolds; modification of the existing sulfuric acid chemical system by replacing two existing metering pumps and furnishing and installing two metering pumps; trench overflow constructed and connected below the air gap that conveys water to the brine line; slurry seal all existing and new asphalt surfaces; coating of the exterior of the existing process building to match the new process building exterior coating system; and coating of all existing trenches. Construction Manager, Chino II Desalter Concentrate Reduction Facility; Jurupa Valley, CA; Chino Basin Desalter Authority (Completion: 2016—Value: $46.6 million)—Butier provided CM and inspection services for the CRF groundwater treatment facility. Both ion exchange (IX) and RO treatment trains are used to treat brackish groundwater from eight wells that also have elevated nitrate concentrations. The project scope included construction of new softening, clarification, filtration, and secondary RO (SRO) treatment and solids dewatering and storage; installation of a new deearbonator; installation of a new transfer pump with motor with associated VFD and motor controls and discharge piping and valves; installation of new cartridge filters; modification of the existing sulfuric acid chemical system; modification of the existing threshold inhibitor chemical system; and site modifications, including fencing and gates, yard piping, and storm drain replacement. 20A-55 BUTTER LonShpHlnn 3Rfmgvn. 4'nnxolOng GnpH,eece EDUCATION Construction Apprenticeship, Rio Hondo College; Whittier, CA, 1981 Constructior Management, Pasadena College; Pasadena, CA, 1978 LICENSES CERTIFICATIONS ICC Reinforced Concrete Special Inspector No.5057063 Exp. 01 /31/2019 Amencan Concrete Institute Field Testing Technician - Grade I Certification Exp. 11/1512019 YEARS WITH FIRM 18 yea rs AVAILABILITY loom Bart Crawford Lead Inspector Professional Summary Mr. Bart Crawford came to Butler from the Metropolitan Water District, Los Angeles, where he spent over five years as an inspector. His heavy construction experience and knowledge of methods and equipment have facilitated an expertise in concrete and steel structures, various types of form work, bridge construction, controlled blasting, pre -stress, earth work, roadway improvements, rock bolting, reinforcing steel, tunneling, metal decking, architecturallinterior finish. As an inspector for Butior, Mr. Crawford works primarily on water capital improvement projects, including water and wastewater treatment plants, pipelines, pump stations, and reservoirs. His inspection duties typically include utility/agency coordination, submittals, RFI and field memo responses, interpretation of drawings and general correspondence with design engineer. His background includes 18 years of union carpentry. Mr. Crawford provides both pipeline encasement construction and pipeline inspection experience to water projects. Pipeline work has Involved piping for filtration plants, domestic water lines and reservoirs. Pipe material has included CML&C and ductile iron Experience has also included flow measure and flow metering for 144" and 66" lines, and tunneling. Project Experience Lead Inspector, Groundwater Reliability Improvement Project (GRIP) Advanced Water Treatment Facility Project; Water Replenishment District of Southern California (Value: $100 million) —Mr. Crawford is providing field inspection services as a part of GHD's Owner's Agent/Owner's Engineer team for the GRIP Advanced Water Treatment Facility Project. As a part of the GRIP Program, an advanced water treatment facility is being constructed to purify 10,000 acre feet (3,25 billion gallons) of tertiary treated (recycled) water annually. The GRIP AWTF is being built on a 5.2 acre property in the City of Pico Rivera, adjacent to the San Gabriel River. The GRIP AWTF will include the following treatment processes: automatic strainer; microfiltration (Ml and reverse osmosis (RO) followed by ultraviolet advanced oxidation (UVAO); cartridge filtration; decarbonation; and pH adjustment(corrosivity stabilization. Lead Inspector, Chino Creek Well Field Equipping -Wells 1-11 1-17, and I- 18; Chino, CA; Chino Basin Desalter Authority (Completion: 2013; Value: $1.5 million) —Provided inspection services for the Equipping of Chino Creek Well Field Wells 1-16, 1-17 & 1-18 project. The groundwater wells were equipped as part of the CDA Phase 3 Expansion Project. In addition to well equipping, the project Included the installation of 625 LF of 8" diameter HDPE corrugated storm drain pipe and the grading and paving of the well sites. Coordination with other projects was required, including connection of well discharge lines to the Chino Creek Well Field Raw Water Pipeline. The project also involved coordination with the City of Chino to secure the required permits. 20A-56 BUTTER Bart Crawford Lead Inspector Lead Inspector, Edward C. Little Water Recycling Facility Phase V Design -Build Expansion; Ell Segundo, CA (West Basin Municipal Water District) —Provided inspection services for the Phase V Design -Build project. West Basin expanded Title 22, Barrier Water and Low Pressure Bailer Feed water treatment processes. The Phase V project involved expanding the Title 22 pretreatment capacity by 10 MGD to achieve a total treatment capacity of 40 MGD, along with expanding the Barrier Water production from 12.5 MGD to 17.5 MGD and the Low Pressure Boller Feed water production from 1.7 to 2.2 MGD to serve Single -Pass RO water to NRG's El Segundo Power Plant, The Phase V project addressed numerous capacity expansion and treatment process upgrades. The project included Ozone-Microfiltration Pretreatment Process; West Coast Barrier; El Segundo Power -Low Pressure Boiler Feed Water; Title 22 Facility -High Rate Clarifier Expansion; Title 22 Pump Station; Chemical Facilities; and miscellaneous civil work. Lead Inspector, Chino It Desalter Concentrate Reduction Facility; Jurupa Valley, CA; Chino Basin Desalter Authority (Value: $46.6 million; Completion: 2015E-Mr. Crawford was the Lead Inspector for the CRF groundwater treatment facility, which is one of two plants managed by the Chino Basin Desalter Authority. Both ion exchange (IX) and reverse osmosis (RO) treatment trains are used to treat brackish groundwater from eight wells that also have elevated nitrate concentrations. The project scope included construction of new softening, clarification, filtration, and secondary RO (SRO) treatment and solids dewatering and storage; installation of a new decarbonator; installation of a new transfer pump with motor with associated VFD and motor controls and discharge piping and vaives; installation of new cartridge filters; modification of the existing sulfuric acid chemical system; modification of the existing threshold inhibitor chemical system; and site modifications, including new fencing and gates, yard piping, and storm drain replacement. Resident Engineer, Chino Desalter Reliability Project; Chino, CA; Chino Basin Desalter Authority (Completion. October 2017; Value: $3.8 million)—Butier provided CM and Inspection services for the Chino I Reliability Project located at the existing Chino I Desalter. The project scope included the following: new building built on to the existing Chino I Desalter facility; new RO train tied into the existing feed water, permeate, concentrate, and CIP piping manifolds; modification of the existing sulfuric acid chemical system by replacing two existing metering pumps and furnishing and installing two metering pumps; trench overflow constructed and connected below the air gap that conveys water to the brine line; slurry seal all existing and new asphalt surfaces; coating of the exterior of the existing process building to match the new process building exterior coating system; and coating of all existing trenches. 20A-57 BUTIER Gonttmrnnn Ndnnymy. FoneulYep Enylnaerx Bryan Wilson Contract Administrator Professional Summary EDUCATION Mr. Wilson has over 18 years of construction estimating, cost review, B.S., Engineering inspection, and engineering management experience. He has analyzed and Technology —Construction, reviewed cost estimates for hundreds of projects ranging from underground California State Polytechnic pipelines to high-rise office buildings. These projects involved the training and University, Pomona, 2000 management of engineers and estimators to determine and track construction AREAS OF costs and activities. Mr. Wilson's detailed estimating experience covers all aspects of building and heavy/civil design and construction, including EXPERTISE earthwork, structural, mechanical, electrical, and plumbing components. He CPM Project Scheduling has conducted numerous physical inspections in order to verify the accuracy Cost Control and scope of quantities and cost estimates derived from construction Quality control blueprints. He also has experience in organizing and tracking requests for Construction a Specialty information (RFI), project scheduling, negotiating construction change orders, Trade Estimating and value engineering analyses. Cost valuation Mr. Wilson's range of professional experience Includes working for and with Value Engineering construction management firms, general contractors, architecture and engineering firms, and public accounting and consulting firms. He has also Construction Inspections provided asset valuation and classification consulting services to real estate Surveying appraisers and construction companies. He has prepared construction cost Structural Design estimate studies for federal tax depreciation classification and successfully Change order Negotiation defended these studies when audited by the Internal Revenue Service, Cost Segregation Studies Project Experience Project Organization Engineering Management Field Engineer/Document Control Specialist, Mid -Basin Injection: Centennial Park Project; Santa Ana, CA; Orange County Water District owner Presentations (Completion: 2018; Value: $23.2 million) —Mr. Wilson is performing as the Project Review Document Control Specialist for the Mid -Basin Injection project, which consists of the construction of the following: four groundwater injection wells YEARS WITH FIRM in below grade vaults, including all related appurtenances within Centennial 4yea ra Park; a monitoring well at the Heritage Museum site; a purified recycled water injection supply pipeline approximately 5,000 feet long that connects to the AVAILABILITY District's existing Groundwater Replenishment System (GWRS) pipeline and 20% crosses the Santa Ana River; a backf€ush discharge pipeline approximately 4,000 feet long that discharges to the Greenville -Banning Channel and Centennial Park Lake; installation of submersible pumps within the four injection wells; replacement of approximately 9.6 acres of paving within the Park; demolishing an existing City of Santa Ana restroom facility; and constructing two new buildings with shared City and District uses. Mr. Burce is coordinating closely with the City of Santa Ana, Santa Ana Unified School District, Heritage Museum, and state and federal agencies. Field Engineer/Assistant Resident Engineer, Santa Ana River Enhanced Recharge Phase 1A Sedimentation Basin and Pipeline; San Bernardino Valley Municipal Water District (Est. Completion: 2018; Value: $14 million)---Butier (Prime) and GHD (Sub) are providing design, engineering, and CM services for the SARER Phase 1A project, which is located in an undeveloped area near the upper reaches of the Santa Ana River. A new diversion structure and inlet channel is being constructed to divert water to 20A-58 BUTIER Q: VnNYxnNanagrca, [anculNny Enpinc�,n Bryan Wilson Contract Administrator the new sedimentation basis and the Water Conservation District Canal. The new sedimentation basin will be 200-foot wide and 600-foot long and approximately 10 feet deep, The new pipeline will consist of approximately 1,900 linear feet of 96-inch diameter CMLC welded steel pipe and 1,300 linear feet of 78-inch diameter CMLC welded steel pipe connecting the new sedimentation basin and the existing 78-inch diameter SBVMWD Foothill Pipeline. Field Engineer/Document Control Specialist, Vista Verde Reservoir Replacement Project —Phase II; Vista, CA; City of Escondido (Completion: 2013; Value $9.5 million) --Mr. Wilson is providing field engineering and document control services for the replacement of the Vista Verde Reservoir. The existing 750,000-gallon steel reservoir, which suffered from internal corrosion, is being replaced with two 1 million -gallon Type I pre- stressed concrete reservoirs that will be partially buried. The extra capacity for water storage will allow additional development in the area. The scope of work also includes new interconnecting piping, valve structure, grading, paving, site improvements, landscaping, electrical, instrumentation, and incidentals fora complete and usable facility. The pipeline portion of the project will extend from the existing pump station along Vista Verde Way, up to the Vista Verde Way cul-de-sac (approximately 6,000 Linear Feet). It includes inlet, outlet and drain line up the hill to the vault structure. Field Engineer/Document Controls, Wineville Extension Recycled Water Pipeline —Segment A; Inland Empire Utilities Agency (Completion: September 2015; Value: $10,609,000)—Butier provided construction management, contract administration, and inspection services for the construction of the Wineville Extension Recycled Water Pipeline, Segment A is located in the Cities of Ontario and Fontana and within the San Bernardino Flood Control District property. It begins along East Airport Drive beside the east side of the Day Creek Channel continuing to Jurupa Avenue, south along Wineville Avenue to Francis Street, east along Francis Street and Marlay Avenue just east of Mulberry Avenue, The construction consisted of the following: 5,464-1 of 24-inch pipe; 13,500-1 of 36-inch pipe; isolating valves; air release and vacuum valve assemblies; and blow -off assemblies. Mr. Wilson managed all financial aspects of project construction, including payment application review and processing, change order drafting and approval recommendation, construction cost estimating, and overall project budget implementation and tracking. Additionally, Mr, Wilson conducted weekly project meetings, reviewed and processed submittals and RFIs, performed field inspections, and coordinated the resolution of construction and contractual issues. 20A-59 20A-60 $04 Section C. Understanding of Need PROJECT UNDERSTANDING Based on our review of the project request for proposal and the associated plans and specifications, we understand that the San Lorenzo Sewage Lift Station Project will consist of construction of the following: • Lift station —below ground dry and wet wells Aboveground CMU block building • Three (3) 15 hp dry pit sewage pumps • Piping, fittings, valves, flow meter, in -line grinders, rail and hoist system • HVAC, ventilation and ducting • Electrical and instrumentation • Site grading and improvements • 560 (LF) of 15" gravity sewer pipe • 190 (LF) of 12" gravity sewer pipe • 545 (LF) of 10" force main • Sewer manholes and appurtenances • Abandonment of existing Segerstrom Lift Station The anticipated start of construction is late fall 2018 with a duration of 14 months. The estimated cost of construction is $6 million. PROJECT APPROACH The Butler Team will use a project control system consisting of the following four elements that will provide quality assurance/quality control procedures and guidelines in the execution of the San Lorenzo Sewage Lift Station Project. The CM Team's ability to monitor and manage the Contractor's performance will be critical to minimizing problems during construction and potential claims. Contractor schedule requirements will include substantial completion deadlines and interim and final completion dates. The construction progress will be evaluated based on approved, resource -loaded CPM schedules (Primavera P6). The Contractor will be required to submit GPM schedules to the City for acceptance in addition to timely, detailed status Information as the work progresses. The Butler Team will evaluate the Contractor's actual performance by comparing actual qualities completed versus planned. Anticipated work to be accomplished will be reviewed based on a two -week "look ahead" schedule updated weekly by the Contractor. Available information must be evaluated for schedule exceptions, available contractual options, and corrective actions required by the Contractor. The CM Team will address schedule variances with the Contractor at weekly progress meetings. The CM Team will evaluate each variance, its cause and possible corrective actions, and require the Contractor to provide an action plan to correct unsatisfactory variances. If a satisfactory resolution is not achieved and the Contractor falls significantly behind schedule, the CM Team will require the Contractor to submit a recovery plan. The plan should address mitigation efforts such as additional crews, additional shifts, or developing work -around schedules that move the delayed activity off the critical path so that its completion will not affect critical milestones. The Butler Team will develop a QA/QC Plan for the San Lorenzo Sewage Lift Station Project. The plan will reflect a set of objectives defined by City staff and assigned CM and field Inspection personnel. The QAIQC Plan will be organized accordingly: Organization and Responsibility; • Execution and Schedule; • Procedural Requirements; • Requirements for Consultants; and • Project Quality Management Audits 20A-61 These sections define requirements and procedures for checking, reviewing, distributing, tracking, and controlling documents for QA/QC. The project specific QA1OC Plan will be submitted and reviewed by the City prior to submittal of other project deliverables. The individuals performing QA/QC reviews will be clearly indicated in the project organization chart. Deliverables will contain a statement that the information contained In the submittal has been quality control checked in accordance with the QAiQC Plan. Quality Assurance is the confirmation process that all procedures directing the work have been developed and followed and any corrective actions required have been implemented. Procedures or actions to be confirmed include: Construction management plan; • Training of staff in QA/QC requirements; • Submittal process plan; • Document control plan; Identification of City approvals at appropriate milestones; • Control of testing to determine validity and accuracy of data collected in the field; • Calibration and testing of equipment; • Identification of the need for corrective action; and • Audit to verify compliance with the QA/QC Plan, Quality Control is the actual checking and validation of the inputs and outputs of the work. Activities to be verified for the work include the following: • Review by quality control team; • Identification and compliance with applicable codes, ordinances, permits, environmental requirements, etc.; • Review input data and check calculations; City of Santa Ana, Public Works Agency Construction Engineering Services for the San Lorenzo Sewage Lift Station, RFP No. 16-049 • Review drawings, specifications, technical reports, memos, meeting minutes; • Perform constructability, operability, maintainability, and usability reviews; and • Review design for compliance with safety standards. The Principal -In -Charge and Project Manager will prepare a specific CM Communications Manual for the San Lorenzo Sewage Lift Station Project to be approved by the City. The manual will Include project correspondence and other forms of communication In accordance with the City's documentforrnatting standards. The manual will integrate the interdependent roles of the City, Construction Manager, Design Engineer, and the Contractor, through pre -construction, mobilization, construction, and acceptance of the phases of the work. The Communication Manual will include the following: Project Organization: Individual assignments, responsibilities, phone numbers, lines of communication, and methods for interfacing with the City, project stakeholders, and the Contractor. Organization chart showing relationships between the parties. • Project Control. Description of cost, schedule and document control systems. • Communication Management: Procedures for documenting communications and correspondence; distribution and/or routing lists; and examples of all forms that the Contractor will be required to use. • Meeting/Notice Procedures: Schedules, notices, agendas, reporting procedures, documentation requirements, and timely acceptance processes. • QA/QC: Procedures, laboratory testing, field-testing, coordination checks, and HILITIER C. UNDERSTANDING OF NEED 20A-62 construction Inspection activities for all project features, equipment and materials • Document Control: Discussion of Butler's cloud -based project management document control system used to input and track various reports and correspondence between key parties Contract Administration: Description of control systems and procedures for performing and documenting submittal reviews, RFIs, change orders, claims management, contract closeout activities, and other contract administration procedures. • Records: The CM will maintain records of inspections, reports, and test results received from the Contractor, Design Engineer, manufacturers, and others, erfor5 The Butler Team recommends utilizing Procore—a cloud -based construction project management solution —to organize, manage and control project documentation. The advantages of Procore include unlimited users and storage, 2417 visibility into project status, and a centralized, comprehensive platform to manage vital project data. All parties Involved have access to the system. Each user can access the program via a web browser on their computer or mobile device using secure log -in information. Procore is utilized to store, review, track, and manage all project documents including BI.ITIER City of Santa Ana, Public Works Agency Construction Engineering Services for the San Lorenzo Sewage Lift Station, RFP No. 18-049 construction drawings and specifications, RFIs, submittals, transmittals, meeting agendas and minutes, emails and correspondence, progress photos, budgets, schedule of values, payment applications, change orders, daily inspection reports, final punch lists, and point of contact information. Additionally, Procore can be configured to display the latest Primavera P6 construction project schedule and weather information, both current and forecast. Automated emalls can be generated by the software program to remind personnel of required documentation reviews and other project related tasks that need attention. Project documentation is continuously updated and available always to all involved personnel, with prior revisions stored for reference, At the conclusion of the project, project -related documentation is converted to PDF format and distributed to the appropriate parties. SPECIAL CONCERNS I SUGGESTIONS Butler has vetted special concerns that the City should be made aware of. Table 1, located on the following pages, provides a summary of these concerns and suggestions. C. UNDERSTANDING OF NEED 20A-63 Table 1. Special Concerns/ Suggestions Schedule Control Objective: Implement proposed project according to its schedule and any constraints. Quality Control Objective: Follow QC guidelines to minimize rework that could result In schedule delays. Cost Control Objective: Utilize and follow cost control management strategies to keep project within budget. Stakeholder Coordination Objective: Be responsive to project stakeholder coordination requirements to achieve a high confidence level for project success. Team Cohesiveness Objective: Maintain a streamlined, team that works well together during CM and inspection activities. Constructability, Objective: Engage an experienced CM team to perform constructability reviews at critical design milestones. City of Santa Ana, Public Works Agency Construction Engineering Services for the San Lorenzo Sewage Lift Station, RFP No. f 8-049 ❑ Review Program Schedule during pre -construction phase q Conduct Schad ule Workshops regarding project constraints with stakeholders ❑ Follow proven Butler Cll plan with experienced inspection staff. ❑ Document work activities and distribute to CM members daily ❑ Ensure contractor redlines are up to date on a weekly basis. ❑ Provide CM/Field Engineering budget linked to resource -loaded construction baseline schedule. ❑ Quantify and negotiate PCOs to ensure contingent costs are reported to management. ❑ Provide proactive alternatives to construction sequencing, ❑ Utilize document control tools for team 24/7 team access. ❑ Participate in any partnering workshops proposed by City. ❑ Hold issue specific team meetings / workshops. ❑ Provide a locally -based team that has worked well together on similar projects. ❑ Build from recent CM and inspection activities for other similar projects. ❑ Provide local team that is familiar with local issues and contractors. ❑ Provide an Independent team to perform reviews. ❑ Provide input and respect Engineer's design approach. ❑ Confirm project sequencing requirements are addressed in Contract Documents. ❑ Confirm proper interface between construction projects. ❑ Identification of key schedule constraints early on to mitigate potential delays. ❑ Minimized cost overruns due to unforeseen construction issues, ❑ Meet schedule with fully - functional facility ❑ Concise 2-week look -ahead. ❑ Streamlined sequencing & coordination ❑ Minimize inspection costs ❑ Provide City staff with current summarized data weekly. Create Management "dashboard" for interface with field CM team. ❑ Maintain a "no surprises' result when planning progress payments or approval of PCOs. ❑ Provide a monthly report detailing progress & delineate project risk. ❑ Facilitated, yet secure, document filing system for detailed project progress. ❑ Streamlined communications and accountability for project success. ❑ Established plan for maintaining Stakeholder Involvement. ❑ Adaptive CM and inspection team that Is in close proximity to project site ❑ Proven integration of our combined Team's CM and Inspection expertise. ❑ Team with knowledge of current bidding climate. ❑ Confidence in constructability reviews to identify ambiguities and conflicts. ❑ Lower bid prices, reduced change orders/claims and fewer delays. p Mitigate/eliminate impact to stakeholders on concurrent construction activities. ifLlilER C. UNDERSTANDING OF NEED 20A-64 City of Santa Ana, Public Works Agency Construction Engineering Services for the San Lorenzo Sewage Lift Station, RFP Ala 2-049 Safety ❑ Attend Contractors weekly safety ❑ Illness and injury free meeting. Follow and respect construction site. Contractor's safety program. ❑ Maintain a safe working ❑ Observe for testing of the quality environment in confined space of air In confined spaces and the ❑ Prevent leakage of odors and provision of a fresh air source. explosive gasses. Provide for a ❑ Inspect HVAC duct connections, hazard free environment. pipe joints, door/hatch seals, ❑ Provide a safe environment for penetration seals and equipment operation and maintenance of the seals for tightness and longevity. pump station. ❑ Ensure HVAC system is installed ❑ Facility is provided with where the fresh air source Is unobstructed lighting for safety unobstructed and unadulterated. and ease of operation and ❑ Inspect to see that all electrical maintenance. equipment is properly grounded, all switches are the non -spark type and hazardous areas are equipped with explosion proof fixtures, switches, boxes, oudets. Environmental Impacts Structural Failures Drive & Pump Shaft Longevity of Materials Compliance Traffic Control Pump Station and Pipeline Alignment ❑ Verify all light sources are installed in a location to provide required lumens for operation personnel. ❑ Enforce hours of work, raise levels, and clean work areas. ❑ Require whisper quiet equipment for 24-hour dewatering operations and emergency numbers for Contractor to address abnormalities. ❑ Inspect all structural components such as concrete, pump base plates and other equipment supports for level and plumb. ❑ Require proper alignment using millwright(s) for drive and pump shaft alignment. ❑ Provide a pump Installation within the manufacturer's requirement. ❑ Insist the Contractor follow the requirement for corrosion resistant materials during construction. ❑ Enforce Best Management Practices (BMP) for site drainage and eliminate runoff. ❑ Minimize environmental impacts to the local community. ❑ Minimize community complaints and possible complications from spills or interruption of dewatering operation. ❑ Prevent minor structural failures that can cause pumps and other equipment to run inefficiently causing noise vibration and wear. ❑ Will provide full warranty performance. ❑ Increase longevity of the Pump Station and pipeline. ❑ Maintain compliance with all regulatory agencies. ❑ Monitor and enforce traffic control ❑ Maintain maximum traffic flow plans for Sergerstrom Avenue. and workers safety. ❑ Check Pump Station and Pipeline alignment and depth during construction. ❑ Provide working hydraulic profile as designed for properly functioning facilities. 13UTIEIR C. UNDERSTANDING OF NEED 20A-65 I 1 A . ., Section D. Relevant Project Experience Project Name Location / Reference Project Desciption Mid -Basin Injection Wells— Butler Engineering, Inc. Is providing Centennial Park Project; constructability review, project coordination, Santa Ana, CA resident engineering, and construction inspection Orange County services for the Mid -Basin Injection Wells Project Water District located within the City of Santa Ana's 87-acre Centennial Park. The wells will be used to directly Ben Smith, P.E. inject product water from the District's Project Manager Groundwater Replenishment System (GWRS) Tel: (714) 378-3211 into the principal groundwater aquifer in the bsmith@ocwd.com central portion of the Orange County groundwater basin. The project requires close coordination with the City of Santa Ana, Santa Ana Unified School District, Value: $23.2 million Heritage Museum, and state and federal agencies. The project consists of Completion: 2019 construction of the following: Proposed Key Personnel . Four (4) groundwater injection wells in below grade vaults (1,200 feet deep) Mark Butler, Casey Harris, and all related appurtenances Vladimir Burce, P.E., and • SR-13 monitoring well at the Heritage Museum site Bryan Wilson • 5,500 LF of purified recycled water injection supply pipeline that connects to the District's existing GWRS pipeline and crosses the Santa Ana River • 4,200 LF of backflush discharge pipeline that discharges to the Greenville - Banning Channel and Centennial Park Lake • Two new buildings with shared City of Santa Ana and District uses Installation of submersible pumps within the four injection wells • Replacement of 9.6 acres of paving with the Park Demolishing an existing City of Santa Ana restroom facility Edinger Avenue Well Phase 11 Equipping; Butler provided project / construction Tustin, CA management and inspection services for the Edinger Avenue Well - Phase I I Equipping City of Tustin, Public Works Project. Construction of the building and Ken Nishikawa, Deputy equipping of the pump included the following: Director of Public installation of a 225 LF of 12-inch diameter CML Works/Engineering ductile iron pipe discharge water line; connection Tel: (714) 573-3389 to 12-inch ductile iron watermain; installation of knishikawa@tustinca.org 162 LF of 18-inch diameter C-905 drain line; connection to the existing storm drain; placement of new onsite sewer manhole; installation of 76 LF of 8-inch Value: $4,103,650 diameter SDR 26 sewer lateral; connection to existing OCSD sewer manhole; and Completion: 2016 erection of 2,376 SF of CMU block wall with a metal roof building to enclose the Proposed Key Personnel well pump, electrical equipment and chlorine room. Mark Butler and The project is part of the City of Tustin's Water Services Division, which is Kyle Morgheim, P.E. responsible for the production and safe delivery of domestic water to more than 14,100 service connections through approximately 172 miles of water mains. Butler staff coordinated with several agencies including the City of Tustin, City of Santa Ana, and Caltrans. i RELEVANT PROJECT EXPERIENCE 20A-67 Station and Vista / Carlsbad Interceptor Sewer Replacement; Vista and Carlsbad, CA City of Vista Greg Mayer, P.E. City Engineer Tel: (760) 726-1340 x1206 gmayer@ci.vista.ca.us Value: $64.2 million Completion: 2018 Proposed Key Personnel City of Santa Ann, Public Works Agency Construction Engineering Services for the San Lorenzo Sewage Lift Station, RFP No. 18-049 Butler Engineering, Inc. performed as the Owner's Representative for the construction of the sewer lift station and interceptor sewer reaches. This is a joint sewer project with the City of Vista and the City of Carlsbad to replace existing facilities, increase sewer capacity and improve reliability withln the lower portion of the sewer system. The project beings at the north shore of the Agua Hedionda Lagoon in Carlsbad and extends a distance of 2.3 miles to the Encina Water Pollution Control Facility. Major project components include the following: Mark Butler Removal and replacement of the existing wood trestle sewer support bridge across the lagoon with a new steel support bridge. The new bridge will provide vehicle access to sewer facilities. The existing 42-inch diameter sewer pipe along the bridge will be replaced with a new 54-inch pipe. Removal and replacement of the existing Agua Hedionda lift station. The new structure will house replacement motors and pumps, as well as new system enhancements including an emergency generator and bypass motors and pumps, an electrical control building, and odor control facilities. Construction of a new 30-inch diameter force main and a new 54-inch diameter gravity sewer line to increase system capacity and reliability. The force main will provide 4,000 linear feet of high density polyethylene pipe parallel to an existing line and will connect into 7,000 linear feet of new 54- inch diameter gravity sewer to be constructed in Avenida Encinas from Cannon Road to the Encina Water Pollution Control Facility. PILITjER D. RELEVANT PROJECT EXPERIENCE PKI Wo 20A-69 - i V VPU V.. wnY ✓.aLw/ VP� W4wV l ILY LI ivilP0ul Interceptor Sewer Tel: (760) 726-1340 x1206 Replacement 4mayer(& i.vista.ca.us 20A-70 y YH } a a + 9 WJX�1.'1 GROW pn e iGa ,I BUTIERrat' yr 20A-71 Section F. Scope of Services & Schedule SCOPE OF WORK The Butier Team will consist of a Project Manager (PM), Inspector, and a Contract Administrator (CA). They will serve as an extension of City staff to assist in the overall delivery of the San Lorenzo Sewage Lift Station Project, including pre -construction tasks, managing construction, and ensure that the work is completed in accordance with the contract documents, and project closeout and warranty phase. The Butler Team will report directly to the City's Construction Manager, The proposed scope of work includes Butler's understanding of the construction management and field work needs of the City as related to this contract. We have provided sufficient detail to dernonstrate that we grasp the magnitude of the project, and are experienced in providing the necessary services. L Review of Contract Documents The PM will perform a thorough review of the contract documents. The review will Include, but not be limited to, the appropriateness of the number of working days allowed, the appropriateness of the amount of liquidated damages and timely coordination with other agencies. If any ambiguities, errors, omissions, or conflicts exist, the PM will advise the City's Construction Manager on the need for document content revision, as appropriate. 2, Old Review Prior to the start of the project, the PM will review the submitted bids for responsiveness and completeness, including verifying licensing, insurance and bonding, and will assist in performing reference checking. This will also include verifying that all subcontractors have a valid City Business License. The PM will evaluate bids to ensure they are balanced and not front-end "loaded." Upon completion of the bid reviews, Butler will assist the City in determining the apparent responsible and responsive low bidder for the project. The PM will prepare a formal memorandum detailing the bid proposal review and the recommendation for award. 3. Kick-OfflPre-Construction Meeting The Butier Team will organize, schedule, attend and facilitate all project -related meetings. The PM will organize a kick-off meeting with City personnel to discuss the scope of work, project team, and project schedule and to receive any additional background information. In addition, the PM will schedule and facilitate meetings with the project stakeholders and City staff to discuss the following: contract administration guidelines; contractual roles; and reinforcement of specific requirements for safely, access, and coordination issues for the work. The PM will provide a meeting agenda three (3) days in advance of the meeting and transmit meeting minutes to all attendees within three (3) business days. 4. Construction Schedule 1 Budget The PM will utilize Oracle Primavera P6 Professional Project Management to perform detailed monitoring of the Contractor's master schedule for the duration of the Project, The PM will establish a cost control system for monitoring and updating project costs and budget. He will utilize Primavera P6 to prepare an independent construction cost estimate and construction schedule based on a standard five-day workweek. The cost -loaded CPM schedule will provide the PM with the basis for cash flow projections. The budget will be reviewed with the design team and consultants and submitted to the City for acceptance. The PM will revise the budget as directed by the City, L Construction Progress Reports The PM will prepare monthly progress reports that will include the following items: summary of the prior month's main accomplishments and current construction activities; reconciliation of contract time, work progress, and manpower usage by the Contractor; project costs to date; overall contractor's conformance to quality 20A-72 requirements; identification of major issues addressed or arising from the project requiring resolution; summary of progress payments, certified payrolls, change order disputes, submittals, RFls and responses, and notices of noncompliance; and daily photographs of representative project activities. 2. Weekly Progress Meetings The PM will schedule and lead weekly meetings with the Contractor, City's Construction Manager, and other representatives to resolve all project matters and assess responsibilities for response to respective participants. The PM will implement action monitoring to ensure compliance and timely response. The CA will distribute the minutes to the attendees within two working days and include the minutes in the monthly progress reports. 3. Shop Drawings and Submittals The Butler Team will be responsible for processing and monitoring the status of submittals. In meeting the City's internal timeframes, submittals will be processed on a one -week turnaround basis or sooner. Submittal tracking will be introduced into the electronic document control system and status of submittals will be known at all times. This system will be coordinated with the Contractor per contract document requirements. The PM will review the completeness and quantity of ail required shop drawings, product data, samples and other submittals received during the construction phase and transmit to City staffing for review and approval. 4. Requests for Information The PM will coordinate the RFI review process and route all RFls to the appropriate reviewer. The documentation will be logged, tracked, maintained, and organized in the electronic document control system in PDF format. All responses will be monitored with suspense action dates and fellow -up procedures implemented to ensure timely action by all parties to project issues Including input from City staff. City of Santa Ana, Public Works Agency Construction Engineering Services for the San Lorenzo Sewage Lift Stetton, RFP No. 18-049 5. Permits The Butler Team will ensure that all building permits and special permits are obtained and that all applicable fees have been paid, and will obtain approvals from authorities having jurisdiction over the Project. 6. Change Order Requests The City or Contractor may initiate a change or request for changes, or modifications may arise due to differing site conditions. The PM will track, document and negotiate all changes for added costs or credits with the Contractor. The PM will evaluate all schedule impacts in addition to advising the District of equitable cost and time adjustments for proposed or authorized changes including credits that are due. The PM will coordinate change order procedures for preparation of documents to be executed by the Contractor and the District. The RE and claims support will evaluate Contractor claims seeking additional costs or time for contract modifications. The PM will assess if the claim has merit and make recommendations. Unresolved claims will be administered through the remedies clauses of the construction contract under the direction of the District. 7. Contractor's Safety Program The Contractor will be required to prepare and submit a safety program to the PM for review. The PM will take the necessary steps to ensure the job site conditions are in compliance with OSHA regulations. The PM will notify the Contractor of any safety problems and direct the Contractorto suspend work if imminent hazard is not immediately remedied or a dangerous condition persists. S. Cost Accounting Records The Butier Team will maintain cost accounting records on authorized work performed under unit costs and additional work performed on the basis of actual costs of labor and materials, or other work required accounting records. BUTTER , ..- F. SCOPE OF SERVICES & SCHEDULE 20A-73 (9) 9. Progress and Final Payments The PM will receive, check, and verify all Contractor monthly progress payment requests and other project -related invoices based upon the cost -loaded schedule. The progress payment worksheet will be based on an approved schedule of values. Progress pay requests will be checked against the approved schedule of assigned values and actual in - place quantities verified at the end of the pay period. The pay request format will be established by the project team to expedite checking, processing, and subsequent updating of project budgets and cost projections and forwarded to the City's Construction Manager for approval and payment to the Contractor. 10. Prevailing Wage & CWA Forms The Butler Team will monitor prevailing wage forms and requirements for conformation to the prevailing wage rates on a weekly basis. The Butler Team will verify that all Trade personnel listed in the daily log are also listed in the certified payroll. The Butler Team will also monitor the City's Community Workforce Agreement (CWA) forms and requirements to ensure compliance. Verification of prevailing wage and CWA will be provided with the monthly progress payments. 11. Compliance with Contract Documents The Butler Team will monitor construction activities to ensure the work adheres to the contract documents and regulatory agencies. The PM will lead resolution of day-to-day construction issues raised and coordinate with the inspectors, Design Engineer, and Contractor as required. The PM will make recommendations to the City regarding special inspection or testing of work not in compliance with the contract documents 12. Maintain "As -Built" Records The Butler Team will review the Contractor's as -built records on a monthly basis to ensure that timely recording is being accomplished. The PM will ensure that the City's as-builts identify RFIs, shop drawing revisions, change order modifications, etc, and that they are City of Santa Ana, Public Works Agency Coastruc6on Engineering Services for the San Lorenzo Sewage Lift Station, RFP No. 98-049 updated weekly. The as-builts will be submitted to the City and the Design Engineer at the completion of the project. The PM will coordinate the submittal of completed record drawings to the City's Construction Manager. The PM will hold monthly record drawing review meetings with the City's CM and the Contractor prior to submittal of monthly progress payments. Butler will be utilizing Blue Beam. 13. Construction Inspection Butler will assign a Lead Inspector to ensure that the Contractor's work is in compliance with the contract documents, industry standards, applicable codes, environmental and local regulations, and construction permits. In addition, the Lead Inspector will be responsible for the following: Daily Inspection Reports: The Lead Inspector will maintain daily inspection reports, which will be submitted to the City on a weekly basis. The reports will document construction activities, including the date, day of week, and weather conditions; hours of work; personnel on site; equipment being used; idle or inoperable equipment; details of each activity; controversial matters/disputes; deficiencies and violations; instructions issued to the construction contractor; safety concerns; description of accidents; major material and equipment deliveries to the site; names of visitors to the site; and delays and extra work. Schedule Review: Reviewing the Contractors' two week "look ahead" schedules and coordinate staffing needs with Butler's PM. RFIs: Discuss responses to RFIs with Butler's PM as required and coordinate the replies to the Contractor; review of the submittals, provide non-conformance reports; and provide documentation of construction activities, duration of activities, manpower and equipment allocation. BUTIER F. SCOPE OF SERVICES & SCHEDULE 20A-74 Photographic Records: Provide weekly photographic/digital records of the project during construction. Log construction digital photographs on a daily basis. A digital photographic library will be maintained of significant construction activities. The photographs will be labeled with the date, location, and narrative information, Additional digital photographs will be taken of change order and claim items, and any special or unique conditions as they arise. The photographic library will be turned over to the City at the completion of the construction contract. 14. Special Inspection I Materials Testing The PM and Lead Inspector will facilitate and coordinate inspection by representatives of other agencies and schedule and coordinate special inspection and materials testing. 1. Detailed Project Punch Lists The Butler Team will prepare a project punch list at substantial completion and coordinate the correction of deficiencies by the Contractor. Upon correction of deficiencies, the PM will coordinate and conduct a final walk-through prior to the acceptance of work with the Design Engineer, Uty's Construction Manager, and other staff as directed. 2. Final Payment Requests The PM will verify that the Contractor has made all payments to the subcontractors and vendors and that any stop notices or liens have been released. The PM will obtain a Conditional Waiver of Lien from the Contractor prior to recommending final payment. 3. Verify Contractor's Project Record Drawings The PM will review the Contractor's project record drawings for completeness. 4. Compile and Submit O & M Manuals The PM will compile and submit operation and maintenance manuals, instruction manuals, parts lists, spare parts, and warranties for equipment procured. The PM will collect City of Santa Ana, Public Works Agency Construction Engineering Services for the San Lorenzo Sewage Lift Station, RFF No. 98-049 relevant data and information from the Contractor and material/equipment supplies and assist the Design Engineer in developing a comprehensive O&M Manual. 5. Final Report The PM will prepare and submit a final progress report to the City no later than 60 calendar days following the filing of the Notice of Completion. The report will include a complete overview of the contract, Contractor's performance, accomplishments, preliminary and final project costs, cash flows, schedules, and recommendations for alleviating problems experienced on the project. 6. Turn Over All Documents and Files The Butler Team will furnish all original project documents and final reports to the City's CM within 60 calendar days following filing of the Notice of Completion. The documents will be delivered to the City in a form and fashion acceptable to the City. The files will also be scanned and provided to the City in electronic format on CD-ROM (two copies) labeled with the project name. EIL17fER F. SCOPE OF SERVICES & SCHEDULE 20A-75 . � ! � R � -- E \- ` }- v ��- \ � �f�;�.�■; §, ■E 7\ !§ ; / \. ii r; §§ f\ � 26� \) 20A- § Won 20A-77 ON -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. n Signed State of California County of Orate Subscribed and sworn to (or affunred) before me on this 20� by proved to me on the basis lsfactoty evidenceha be the person(s) who appeared before me a�CL-e Sd-e 411 k'%- Notary Public Signature Notary Public Seal City of Santa Ana RFP 18-029 20A-78 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 ORANGE SUBSCRIBED AND SWORN TO (or affirmed) before me on this 24"d day of June, 2018 by Mark M. Butler, proved to me on the basis of satisfactory evidence to be the persons who appeared before me, ' OYNFNIA L. 6YLLESPIE y. , . ,, Cammlagian p 2096B43 i' ,, *{ Notary Public _ caf9ornla A efnthia L. G' espie, Notary Public Oranga County 1� ''e•-.—,:.�.C.,o,.COOT, E. dreg Feb 9, 201911 20A-79 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. A/ Signed: -" yt G,/ / Title: Vice President/CFO Firm: Butler Engineering, Inc. Date: 07/26/2018 City of Santa Ana RFP 18-029 r1 M :1 CITY OF SANTA ANA REP NO.: 18-029 STRUCTURAL ENGINEERING SERVICES NON-DISCRIMINATION CERTIFICATE The undersigned contractor or corporate officer, during the performance of this contract, certifies as follows: 1. 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 heated 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. Page 1 of 2 20A-81 CITY OF SANTA ANA RFP NO.: 18-029 STRUCTURAL. ENGINEERING SERVICES 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 Chapter. Signed: Title: Vice PreSident/CFO Firm: Butler Engineering, Inc. Date; 07/2612018 Page 2 of 2 20A-82 17822 E. 1717, Street Suite 404 Tustin, CA 92780 Tel (714) 832-7222 Fax (714) 932-7211 EXHIBIT C July 26, 2018 City of Santa Ana Attn: Tyrone Chesanek Public Works Agency 20 Civic Center Plaza 3t1 Floor Reception, Ross Annex Santa Ana, CA 92701 Subject: Fee Proposal—RFP No. 18.049: Construction Engineering Services for the San Lorenzo Sewage Lift Station Project Dear Mr, Cl The Butler Team is pleased to submit one (1) hardcopy of our fee proposal in a sealed envelope to provide construction engineering services for the above referenced project Our proposal is fully responsive to the City of Santa Ana's (City) Request for Proposal Issued on June 14, 2018, THE PROPOSED BUDGETS ARE SUBJECT TO FiNaL SCOPE NEGOTIATIONS, CLARIFICATIONS/SUGGESTIONS The proposed level of effort is based on the project schedule provided in the RFP. The objective of our staffing plan is to take full advantage of our local project resources. The final xtaffinn nlan will hn hocorl nn Iho �Ilh, A,rll Rates for the Construction Management Team Vehicle mileage, computers, computer software, printers, reproduction, cell phone service, broadband service, office supplies, technical reference materials, training, and personal protective equipment (PPE) including hard hats, safety boots, work gloves, safety glasses and other PPE as required shall be billed at the attached rates per labor hour charged to the project. Rates will be maintained for the contact period. Excluded from Rates Trailer rental costs, Installation of utilities, cost of utilities, cost of sanitary services, broadband / high speed connections, janitorial, and furniture Legal All sub -consultants will be bound to the final terms and conditions of the prime agreement. Field Office We have assumed the contractor will provide the field CM team. Team meetings can be Tustin as an option. BUTLER the necessary office space to house conducted In Butler's home office in 417 oe 17822 E. 171h Street Suite 404 Tustin, CA 92780 Tel (714; 832-7222 Fax (714) 832-7211 We look forward to the opportunity to work with the City on this important procurement. If you have any questions regarding the attached proposal, please contact me at (714) 832-7222. Sincerely, suTIER Engineering, Inc. Construction Managers, ConsUlfln glneers Mark M. Butler, Jr. Vice President/CFO r10 m:'h W` oa ;y A p 0 i. r .y. 6 --i U O 10 10 L'22 p b its g 8ly '' Q� NCNu.LoV p3pYn E b 6G OOU m o �i'] Y N r., P417MOR COST ANALYSIS CONSTRUCTION OF THE PROJECT NO. 16-3510: SAN LORENZO SEWAGE LIFT STATION Construction Contract $ 7,606,500 Construction Engineering Service Agreement $ 550,000 Material Testing and Inspection $ 608,520 Contract Administration $ 152,130 Contingencies $ 1,140,975 TOTAL ESTIMATED CONSTRUCTION COSTS $ 10,058,125 20A-87 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 1, 2019 TITLE: APPROVE AGREEMENT WITH ELECTRO CONSTRUCTION FOR A LIGHTING RETROFIT PROJECT AT SANTA ANA STADIUM FOR AN AMOUNT NOT TO EXCEED $501,167.70 AND APPROVE AN ON -BILL FINANCING AGREEMENT WITH SOUTHERN CALIFORNIA EDISON FOR AN AMOUNT NOT TO EXCEED $249,483.61 PLUS $37,422.54, IF NEEDED, AND APPROVE AN APPROPRIATION ADJUSTMENT FOR $63,000 {STRATEGIC PLAN NO. 6, 2A} CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 111 Reading ❑ Ordinance on 2i1 Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO /s/ Kristine Ridge FILE NUMBER CITY MANAGER RECOMMENDED ACTION 1. Authorize the City Manager to execute an agreement with Electro Construction for the lighting retrofit project at the Santa Ana Stadium for an amount not to exceed $501,167.70, which includes a 15% contingency, for the period October 1, 2019 to September 30, 2020 to be funded by an on -bill financing loan with Southern California Edison, incentive rebates and the Acquisition and Development District 2 fund, subject to non -substantive changes approved by the City Manager and City Attorney. 2. Authorize the City Manager to execute an on -bill financing agreement with Southern California Edison (SCE) to provide a loan in an amount up to $249,483.61 plus an additional 37,422.54, if needed, in no -interest On -Bill Financing (OBF) that will partially fund the lighting retrofit project at the Santa Ana Stadium, subject to non -substantive changes approved by the City Manager and City Attorney. 3. Approve an appropriation adjustment of $63,000 received in the current fiscal year (FY 19- 20) to the Acquisition and Development District 2 revenue account (no. 31213002 53300) and to the Residential Development District 2 expenditure account (no. 31213260 66220). 20B-1 Award an Agreement for the Lighting Retrofit Project at the Santa Ana Stadium and Agreement for On -Bill Financing and Appropriation Adjustment October 1, 2019 Page 2 DISCUSSION As part of the City's ongoing efforts to identify potential cost saving, energy projects across City facilities, the Parks, Recreation and Community Services Agency (PRCSA), commissioned energy audits for Santa Ana Stadium. The Energy Network, a non-profit program funded by California utility ratepayers through the California Public Utilities Commission conducted the energy audits at no cost to the City. On May 24, 2019, the City issued a Request for Proposal (RFP) to invite qualified firms to provide a proposal to retrofit the lighting at the Santa Ana Stadium. There were 81 vendors, including three located in the City of Santa Ana, notified of the project and the City received nine proposals (none from Santa Ana). One proposal received was determined to be unresponsive because the vendor did not provide all of the required elements of the RFP. An evaluation committee consisting of representatives from PRCSA reviewed and rated the proposals according to the criteria listed in the RFP, which includes firm/team experience, relevant project experience, manner for performing service and fee. The results of the RFP evaluation were as follows: Vendor Score Electro Construction 249 Nila Sports 246 Alliance Electrical System, Inc. 238 Baker Electric 230 SACTOWN CONTRACTORS 223 RenewA a Energy Solutions, Inc. 215 VT Electric, Inc. 212 SiteLo iQ 199 Based upon the proposals and interview results, the review panel selected Electro Construction for contract award. The City proposes to enter into an agreement from October 1, 2019 to September 30, 2020 for the installation of lights at Santa Ana Stadium in an amount not to exceed $501,167.70, which includes a 15% contingency. Proposal Amount Contingency Amount Total Agreement Amount $435,798.00 $65,369.70 $501,167.70 20B-2 Award an Agreement for the Lighting Retrofit Project at the Santa Ana Stadium and Agreement for On -Bill Financing and Appropriation Adjustment October 1, 2019 Page 3 Southern California Edison (SCE) On -Bill Financing Program PRCSA staff applied for and secured partial funding for the project from SCE through their on -bill financing program, which is a no -interest loan program paid back from savings in the utility cost over a period of years. For example, if the utility costs decrease by $100 per month, SCE will receive that amount until the loan payoff. The net result is no change in the utility bill until the loan payoff. Below is the estimated calculation of the amount SCE will finance. Estimated Annual Savings from Use of New Lights Loan Payback period Estimated Amount to be Financed $24,948.36Near 10 years $249,483.61 The City is requesting approval of a loan amount up to $249,483.61 plus $37,422.54, if needed. The calculation for the final financing amount is determined at the end of the project after SCE performs an audit of the actual number of lighting fixtures that are in place at project completion. Incentive Rebates Additionally, as part of the program the City anticipates receiving $19,925.87 in incentive rebates from SCE. SCE pays the contractor directly for the financed amount and incentive amount, thereby reducing the upfront out-of-pocket costs to the City. The Acquisition and Development District 2 fund will cover the balance of the cost. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #6 - Community Health, Livability, Engagement & Sustainability, Objective #2 (Address deferred maintenance on City buildings and equipment), Strategy A (Prepare a Deferred Maintenance Plan that assesses safety, adequacy, and liability implications, and estimates repair costs to be programmed in the responsible agency's future budget). FISCAL IMPACT Agreement with Electro Construction: SCE estimates to pay $269,409.48 ($249,483.61-loan, $19,925.87-rebate) of the total $501,167.70 agreement directly to the vendor. The balance of the agreement is $231,758.22. Of this amount, $168,758.22 is budgeted and available in the following account for the specified year: Fiscal Accounting Fund Accounting Unit, Account Amount Year Unit -Account # Description Description 31213260- Acquisition and Expenditure, Acquisition and FY 19-20 Development, Improvements $168,758.22 66220 Development Other Than Building r1- Award an Agreement for the Lighting Retrofit Project at the Santa Ana Stadium and Agreement for On -Bill Financing and Appropriation Adjustment October 1, 2019 Page 4 The remaining amount of $63,000 requires City Council approval to appropriate funds received in the current fiscal year (FY 19-20) in the following account: Fiscal Accounting Accounting Unit, Account Year Unit- Fund Description Description Amount Account # 31213002- Acquisition and Revenue, Acquisition and FY 19-20 53300 Development Development, $63,000 Ac . and Dev. Fees 31213260- Acquisition and Expenditure, Acquisition and FY 19-20 66220 Development Development, Improvements $63,000 Other Than Building The final loan amount will be determined at the end of the project and therefore the amount funded by the City may be more or less than $231,758.22, but will not exceed the amount of the agreement to the vendor. On -Bill Financing: The anticipated payback period starts in July 2020. Funds for the loan repayments will be budgeted and made available in the following account: Fiscal Accounting Fund Accounting Unit, Account Year Unit -Account # Description Description Amount FY 20-21 01113250- General PRCSA-Park Facilities $24,948.36Near to 67003 Fund OBF Payment $249,483.61 Total FY 29-30 APPROVED AS TO FUNDS AND ACCOUNTS: Lisa Rudloff Kathryn Downs, CPA Executive Director Executive Director Parks, Recreation, and Community Services Finance and Management Services Agency Agency Exhibits: 1. Agreement with Electro Construction 2. OBF Loan Agreement — Sample Form CONTRACTOR AGREEMENT FOR LED LIGHTING RETROFIT PROJECT AT THE STADIUM THIS AGREEMENT is made and entered into this 1st day of October, 2019 by and between Electro Construction Corp., a California Corporation, (hereinafter "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 (hereinafter "City"). RECITALS A. The City issued a Request for Proposals ("RFP") (RFP No. 19-058) and Addendums 1-3 for furnishing labor and materials to retrofit the exterior lighting at City's Stadium by installing LED lighting ("the project'). B. On July 1, 2019, Contractor submitted a proposal, which thereafter ranked the highest in the evaluation process. C. The parties acknowledge that the funding for the project is On Bill Financing ("OBF") proceeds and incentives from Southern California Edison ("Edison"). Edison has approved the project for OBF proceeds. D. The City desires to retain a Contractor having special skill and knowledge in the field of retrofitting lighting fixtures through the installation of LED lighting at City's Stadium. E. Contractor represents that Contractor is able and willing to provide such services to the City. F. 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 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 Contractor shall furnish labor and materials to retrofit the exterior lighting at City's Stadium in the City of Santa Ana by installing LED lighting as set forth in the General Scope of Services and Requirements of RFP No. 19-058 attached hereto as Exhibit A, all corresponding Addendums issued for the RFP, and Contractor's proposal submitted July 1, 2019, in response to RFP No. 19-058 incorporated by reference as if completely set forth in full in this Agreement. No additions or change in scope for purposes of utilizing the contingency compensation will be made without the written approval of the Executive Director of Parks, Recreation, and Community Services Agency. Contractor will be responsible for any costs incurred outside of the scope of services without written approval. #95440 `O B-C 19 COMPENSATION 3. City agrees to pay, and Contractor agrees to accept as total payment for its services, the rates and charges identified in Exhibit B. The total sum to be expended under this Agreement shall not exceed $501,167.70, which includes $438,798.00 plus a 15% contingency of $65,369.70 to be used at the City's sole discretion during the term of this Agreement. b. Contractor acknowledges that this project is funded by cash incentives and OBF proceeds from Edison. City will not pay invoices from Contractor until after Contractor receives all Edison allocated OBF proceeds and incentives for the project. Once the project work is completed, City will enter into an On Bill Financing Agreement with Edison and Edison will pay Contractor directly. City makes no guarantees on the timeline for Edison's OBF process. c. City retained an energy consultant, the Energy Network, to assist with this project. Attached hereto as Exhibit "C" is the Energy Network's OBF calculations for the project. In the event that the OBF proceeds and/or Edison cash incentives do not cover the compensation set forth in Section 2a of this Agreement, City will pay the remainder due to Contractor not to exceed the total Agreement compensation agreed upon in Section 2a of this Agreement. Certified Payroll Reports are required at project completion and final payment will not be processed until the Certified Payroll Reports are submitted on the forms approved by the California Department of Industrial Relations. This Agreement shall commence on the date first written above and terminate on September 30, 2020, unless terminated earlier in accordance with Section 15, below. 4. 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. 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 #95440 20 B-6 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. 6. 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. Contractor shall supply City with a fully executed additional insured endorsement on a form approved by the City Attorney. 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, 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. 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. 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. #95440 20 B-7 *AV NIAIII aI (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. 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. Contractor, and any employees, subcontractors or substitutes, shall arrange for and submit their fingerprints for a criminal background check through the Department of Justice through the City's Human Resources Department process. Contractor shall be responsible for all charges associated with fingerprinting. Contractor shall not perform any services pursuant to this Agreement until clearance is received and Contractor is notified by the City's Parks, Recreation and Community Services Department. 8. PREVAILING WAGE 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. 9. COMMUNITY WORKFORCE AGREEMENT On August 15, 2017, the Santa Ana City Council approved a Community Workforce Agreement ("CWA") with the Los Angeles/Orange Counties Building and Construction Trade Council and the Signatory Craft Councils and Unions. The provisions of the agreement would apply to all construction and major rehabilitation work pursuant to "Prime Multi -Trade" construction contracts that exceed $250,000 and all subcontracts from these prime multi -trade contracts. The agreement also applies to all "Prime Specialty" contracts (single trade contracts) that exceed $100,000 and all subcontracts from these prime specialty contracts. Specialty contracts are contracts for project work with a specialty contractor which is either limited to a particular single trade or craft or limited to a singular scope of work. #95440 Contractors working on projects over the above thresholds must, in filling craft job requirements, utilize and be bound by the registration facilities and referral systems established and authorized by the Unions who are signatory to the agreement. This is commonly referred to a Union hiring hall. Contractors retain the right to reject any applicant referred to them through the job referral system, determine competency of all employees, to determine the number of employees required, and the duties of such employees. If any Union's registration and referral system does not fulfill the requirements for specific classifications requested by any Contractor within 48 hours, the Contractor may employ applicants meeting such classifications from any other available source. Contractor will work with the City's Labor Compliance Contractor to ensure compliance with the CWA. 10. INDEMNIFICATION Contractor agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, 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 direct or indirect operations of the Contractor or its contractors, 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 out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Contractor. This Section will survive termination and completion of the Agreement. 11. INTELLECTUAL PROPERTY INDEMNIFICATION Contractor 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 Contractor to the City pursuant to this Agreement. This Section will survive termination and completion of the Agreement. #95440 12. 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 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. This Section will survive termination and completion of the Agreement. 13. 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. 14. CONFLICT OF INTEREST CLAUSE Contractor 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 specified under this Agreement. 15. 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 Fax 714- 647-6956 #95440 20B"1 U *AV NIAIII aI With courtesy copies to: Executive Director of Parks, Recreation and Community Services Agency City of Santa Ana 20 Civic Center Plaza (M-75) P.O. Box 1988 Santa Ana, California 92702 Fax 714-571-4221 And City Attorney City of Santa Ana 20 Civic Center Plaza (M-29) P.O. Box 1988 Santa Ana, California 92702 Fax 714- 647-6515 To Contractor: Mr. Rune Adam Jensen, CEO Electro Construction Corp. 2225 Windsor Avenue Altadena, California 91001 Fax: 323-660-6211 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. 16. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Contractor, 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. #95440 20 B"11 17. 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. 18. 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 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. 19. DISCRIMINATION Contractor 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. Contractor affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 20. 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. 21. 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 #95440 20 B-12 EXHIBIT 7 Agreement. 22. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow 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 attorneys 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: DAISY GOMEZ Clerk of the Council APPROVED AS TO FORM:. SONIA R. CARVALHO City �Attttorney By:c'`4,C�,131ai % th Laura A. Rossini Senior Assistant City Attorney SXi�OMT11:011#10 3iT-.7�1J 7 Z•IrL1R LISA RUDLOFF Executive Director Parks. Recreation and Community Services Agency CITY OF SANTA ANA KRISTINE RIDGE City Manager CONTRACTOR Electro Constructio Rune Adam Jensen CEO #95440' 20B-1 3 SCOPE OF SERVICES 495440 20 B-14 Appendix A"1 TACIiIV6Ef" T 1 SCOPE, OF WORK C I I Y OF SANE A AN RI[iQU(:S"f FOR P[wpOSALS IOR I,1011I ING REFRO U 11 SA IA AN 1 ST.ADIUNI R.FP NO.: 19-058 Project Duration: 4 Weeks Mobilize: On deliver date of Sporn Lights Scope: Bid Item #1 Exterior Receive IVInSCO Lighting deliver* trucks &. store in Bin onsite Demo (1 19) Musco Fixtures & arms on existing pole & disuow of Demo Platforms;Caging on each pole using crane & li 11 Weld hangeis to pole for driver box attachment Weld =4" huh in pole to gain access into pole at driver Lox location Install Driver Boxes Assemhlo Ntusco Arms & (62) Fixtures and liftto position with crane Install Musco Wire harnesses, terminate &, test Clean up site City oI Santa Ana REP 19-Qf8 Page 12 20B-15 Appendix ATTAC:IiiV ENT IA LIST OF SUBCONTRACTORS City of Santa Ana RFP 19-058 Page 13 20B-16 20B-17 FEE SCHEDULE (OR) RATES AND CHARGES #9544v3 20B-18 DATE: CONSTRUCTIOrsi 2225 WINCSOR AVENUE �Al. 1'FlDFN pA, CA 91001 -pp(323) 660-4141 • FAX (3D) 660-6211 FEE PROPOSAULIGHTING AUDIT TAB I INCLUDING DOCUMENTATION FOR SUBSTITUTION 7/1/2019 COMPANY: Citv ol'Santa Ana A'I'T)N: Frank Arroyo PROJECT: Lighting Retrofit at Santa Ana Stadium RFP 919-058 ADDENDA: 1,2,3 BASE BID: Bid Item#I Exterior Appendix A: Lighting Inventory (To be installed) ECC EST# 6949-1 62 i:A S 7,029.00 S 435,798.00 Bid Item#1 Ball Field Musco TLC-I,I�D-I4o0NB* Qtg 62 " See attached Mnsco Quotation, Project & Illumination Schedule & Fixture Cut Sheet & DLC Listing 20B-19 Date: July 1, 2019 To: Wholesale Distribution Project: Santa Ana .Stadium Santa Ana, CA Ref: 196489 Quotation Price — Materials Only Delivered to Job Site Musco Materials: Wholesale Distribution/Contractor Mark-ups, sales tax, bonding, labor, and unloading of the equipment are not included in price. Pricing furnished is effective for 60 days unless otherwise noted and is considered confidential. SportsCluster System with Total tight Control —TLC for LEDrm technology Guaranteed Lighting Performance . Guaranteed light levels of 100 footcandles and uniformity of 1.7:1, per specifications/Addendum 3 System Description a (6) Factory wired poletop luminaire assemblies, one per pole . (62) Factory aimed and assembled luminaires, TLC-LED-1400-4 (DLC Certified) . Factory wired and tested remote electrical component enclosures . Pole length, factory assembled wire harnesses, from remote driver enclosures to poletop luminaire assemblies . Mounting hardware for poletop luminaire assemblies and electrical components enclosures . Disconnects . UL Listed assemblies . Fixtures quoted are DLC Certified Operation and Warranty Services Reduction of energy and maintenance costs by 40% to 85% over typical 1500W metal halide equipment . Product assurance and warranty program that covers materials and onsite label, eliminating 100 of your maintenance costs for 10 years 10-year materials and onsite labor warranty Payment Terms As agreed upon with Musro's Credit Department. Delivery Timing 6 - 8 weeks for delivery of materials to the job site from the time of order, submittal approval, and confirmation of order details including voltage, phase, and pole locations Dueto the built -In custom light control per luminaire, pole locations need to be confirmed prior to production. Changes to pole locations aftei the product is sent to production could result in additional charges. fb IF, (�)?%j�Al JIF lnfl lr lei �<,�„'^� jli�f ��, /Y„�, „J��p/� �Y il�lf�f� pl n 20B-20 z. Notes Quote is based on: • Shipment of entire project together to one location • 48D Volt, 3 Phase electrical system requirement, to be confirmed prior to production • Structural code and wind ,peed = 2016 CBC„ L10 mph, Exposure C. • Confirmation of pole locations prior to production. • The owner of the field Is responsible for the structural integrity of the existing poles. Thank you for considering Musco for your lighting needs. Please contact me with any questions or if you need additional details. Mike Marchetti Musco Sports Lighting, LLC 3002 Dow Ave., 0504 Tustin, CA 92780 Phone, 949-754-0503 x6111 E-mail: mlke.rttarchetti@musco.corn „swt« gr�o�q ere 20B-21 S I In � O n L Jm E W F � 20B-22 UEZ za Z i V O U Gs.O :p aOi m �n m m E m m w •x o, J Jz E: g z°m 20B-23 20B-24 ``, To) Luminaire Data Weight (luminaire) UL listing number UL. listed For USA / Canada CE Declaration Ingress protection, luminalre Material and finish Wind speed rating (aiming only) UL, IEC ambient temperature rating, luminaire 106 Ib (48 kg) E338094 UL1598 CSA-C22.2 No.250.0 LVD, EMC, RoHS IP65 Aluminum, powder -coat painted 150 mi/h (67 m/s) SOT (122-F) Photometric Characteristics Projected lumen maintenance per IESTM-21-11 L90 (13.5k) >81,000 h L80 (115 k) >81,000 h L70 (133k) >81,000 h CIE correlated color temperature 5700 K Color rendering Index (CRP 75 typ, 70 min Lumens' 147,000 Footnotes: I) Incorporates appropriate dirt depreciation factor for life of luminaire. 0201 20B-25 1 .T Driver Data Electrical Data Rated wattage' Per driver 1400 W Per luminaire 1400 W Number of luminaires per driver 1 Starting (inrush) current <40 A, 256 Vs Fuse rating 15 A UL, IEC ambient temperature rating, 45-C (113-F) electrical components enclosure Ingress protection, electrical IP54 components enclosure Efficiency 95% Dimming mode optional Range, energy consumption 20--100% Range, light output _ 25 -100% Typical Wiring Surge' protection Controller I Olsconaect Fuse Ul nresent) , L? Driver - - L2` Fuse Limiters ' If 1.2 (core) Is neutral then not switched or (used. t Not present it indoor installation. Max operating current per 616A 7.85A 7.42A 7.10A 6.80A 5.90A 4.71A 4.30A 4.08A 3,94A 3,40A luminairW Footnotes; 1) Rated wattage Is the power consumption, including driver efficiency losses, at stabilized operation in 25'C ambient temperature environment. 2) Operating current includes allowance for 0,90 minimum power factor, operating temperature, and LED light source manufacturing tolerances. Notes 1. Use thermal magnetic HID -rated or D-curve circuit breakers. 2. See Masco Control System Summary for circuit information. N. n LL[ • `RC-Lfh 1N Was 570DX 75 CAI I. tk1947-oAa-12 2 20B-26 9 *AV N I A h a I DLC Listing for, Santa Aria Stadium Fixture: Ft, 1nd v � fl !d R D'o " 'i;"F a 0 1, ; , t P yo,t 1U A 20B-27 1000110,11 #9544v3 20 B-28 SANTA ANA STADIUM OBF CALCULATION Item Amount Source Rate $ 0.21 From OBF Approval Estimated Savings 117,211.00 calculated Annual $ savings $ 24,948.36 calculated Monthly $ savings $ 2,079.03 calculated Estimated Project cost $ 501,167.70 From Proposal Estimated total Rebate Incentive $ 19,925.87 calculated Loan $ 481,241.83 calculated Actual Loan Term Months 231 calculated Actual Loan Term Years 19.29 calculated Loan Length Limit 120 From OBF Approval Applicable EUL 144 From OBF Approval Nlet Amount for Financing $ 2119,481 67 calculated Out of Pocket $ 237,758.22 calculated 20B-29 *:/:I1-1hdPA On -Bill Financing Agreement Local Government/InstitutionaT Customer Projects This On -Bill Financing Agreement ("OBF Agreement") is entered into on 20 (the "Effective Date") by and between the undersigned customer ("Customer") and Southern California Edison Company ("SCE") (each a "Party," collectively the "Parties"). Recitals 1. Customer and SCE entered into the Energy Management Solutions Incentives Application for Business Customers on or about , 20 and if applicable, the Customized Solutions Agreement (individually or collectively referred to as "EMS Agreement"), which is/are attached hereto and incorporated herein by reference. 2. Customer owns, leases or rents the property(s) listed in the EMS Agreement as the Site(s) and maintains a service account(s) with SCE for electric service. Customer has completed installation of eligible energy efficient equipment ("Equipment") at the Site(s) as set forth in the EMS Agreement and has accepted the equipment as being operational and in good working order. 3. In Decision 12-11-015, the California Public Utilities Commission authorized SCE to provide zero -percent interest financing for the installation of certain energy efficient equipment, which is to be repaid over a specified period through the Customer's electric utility bill(s) ("On -Bill Financing"). 4. Customer desires to enter into this OBF Agreement in order to participate in SCE's On -Bill Financing program and Customer agrees to repay SCE the Amount Financed (as defined under "Loan Terms", below) through the Customer's SCE utility bill(s) pursuant to the terms and conditions of this OBF Agreement. NOW, THEREFORE, in consideration of the mutual promises and covenants contained herein, the Parties agree as follows: 1 71"IT�- , IIIII 0 1TIiiL 1i Defined Terms: Except as the context otherwise requires, capitalized terms used in this OBF Agreement without definition shall have the same meanings as are set forth in the EMS Agreement. Amount Financed: Within thirty (30) days after the Effective Date, SCE will provide a payment for the Amount Financed to Customer or to a third -party payee designated by Customer under the Loan Terms, below. Customer's designation of a third -party payee may not be changed or revoked. Loan Terms: Amount Financed $ .00 "Amount Financed" Interest Rate: 0% Fees: 0 Months to Pay: First Month Payment Remaining Monthly $ Payments: Service Account to be Billed': Designated Third- PartPayee if any): Address of Designated Third- PartPayee: 1 If more than one Service Account will be billed, information regarding the Service Account number and monthly payment is included in Schedule A attached. Form 14-914 04/2016 20B-30 *:/:I1-1hdPA Promise to Pay: Customer promises to pay SCE the Amount Financed in equal monthly installments as set forth in the section above and/or Schedule A (Customer's "Loan Obligation"). The first Monthly Payment of Customer's Loan Obligation will appear within sixty (60) days from the Effective Date on Customer's SCE utility bill(s) for the Service Account(s) listed above. The Parties expressly acknowledge and agree that funding for the OBF Loan Obligation repayment shall not be raised by the levy of additional taxes but shall instead be obtained by Customer's savings in energy costs paid for solely by the loan proceeds. The Parties further acknowledge and agree that energy savings from conservation measures are not susceptible to precise calculation and actual savings may vary according to weather and utility rates, among other things. Therefore Customer's energy savings have been determined at the outset of this Agreement and calculated by comparing estimates of energy usage for the facilities in question with and without the conservation measure, as set forth specifically in the EMS Agreement. Customer's actual future energy savings are not guaranteed and the OBF Loan Obligation must be repaid in full irrespective of actual future SCE utility bill(s) amounts. Manner of Payment: Customer's Monthly Payment amount will appear as a line item labeled "EE/OBF Installment Charge" on the monthly SCE utility bill(s) for Customer's Service Account(s). Customer may pay the Loan Obligation in the monthly installments or pre -pay the Loan Obligation in one lump sum without penalty, but pre -payments for less than the remaining balance will not be allowed. Customer's Loan Obligation will appear on Customer's monthly SCE utility bill(s) for the number of months set forth above, or until the Loan Obligation is paid in full by Customer, whichever occurs first. Customer shall make payments to SCE as directed in the SCE utility bill(s). Partial Payments: If Customer is unable to make a full payment of the Loan Obligation in any given month, payment arrangements may be made at SCE's sole discretion. Any partial payments will be applied in equal proportion to the energy charges and the Loan Obligation, and Customer will be considered to be delinquent and in default of both the energy bill and the Loan Obligation. Late Payments: No late payment charges or interest will be assessed for delinquent payments on the Loan Obligation. However, SCE may assess late payment charges for delinquent payments of energy charges pursuant to SCE's Rule 9 which is incorporated herein by reference. Returned Payments: SCE may require payment of a $7.00 Returned Check Charge for any check returned from Customer's financial institution unpaid. The Returned Check Charge will also apply to any forms of payment that are subsequently dishonored. Discontinuance of Service: Amounts due under this OBF Agreement will be amounts deemed due under each SCE utility bill to the Customer's Service Account(s), and a default under this OBF Agreement will be treated as a default under the Customer's Service Account(s). Customer's Loan Obligation is subject to the discontinuance provisions of SCE's Rule 11, Discontinuance and Restoration of Service, Section B, Nonpayment of Bills or Summary Bills which is incorporated herein by reference. Breach and Acceleration: Any breach by Customer under the EMS Agreement or this OBF Agreement shall constitute a breach under all of the above referenced agreements. For purposes herein, SCE may determine the OBF Agreement to be breached and Customer to be in default if Customer: (1) sells, assigns or otherwise transfers ownership, possession or title of the Site(s) or the Equipment unless passed by operation of law to a successor government department or agency that remains a customer of SCE, (2) fails to pay the Monthly Payment amount when due, (3) closes, discontinues or otherwise causes the termination of the Service Account(s), or (4) otherwise breaches this OBF Agreement and/or the EMS Agreement, and the breach is not cured as specified therein. Notwithstanding anything to the contrary in the EMS Agreement, a breach and default as set forth in this section shall not be subject to any additional cure period. To the extent permitted by law, following a breach as set forth in this section, SCE shall have the right to declare the entire unpaid balance of the Loan Obligation immediately due and payable. (D) (D) Form 14-914 04/2016 20B-31 *:/:I1-1hdPA Modification: Any change to this OBF Agreement must be in writing and signed by Customer and SCE, except that during any given month, if Customer is unable to make full payment on the Loan Obligation, payment arrangements may be made at SCE's sole discretion without modifying this OBF Agreement in writing. Any written modification or amendment will not be effective unless and until signed by SCE or such condition is waived by SCE in its sole and absolute discretion. Term and Termination: It is the Parties intent that the term of this OBF Agreement and the EMS Agreement run concurrently. Therefore, the OBF Agreement shall continue in effect until the Loan Obligation is paid in full. Assignment: Notwithstanding anything herein, customer may not assign its rights or delegate its (T) duties under this Agreement without SCE's express written consent. (T) Additional Representations: Each person signing this OBF Agreement represents and warrants that he or she is duly authorized and has the legal capacity to execute and deliver this OBF Agreement on behalf of Customer, and to perform their obligations under this OBF Agreement. Customer further represents and warrants that if it is a legal entity, it is in good standing in its state of formation. Miscellaneous: Except as otherwise specifically provided herein, all terms, provisions, covenants, representations, warranties, agreements and conditions of the EMS Agreement shall remain unchanged and in full force and effect. Should a conflict exist between this OBF Agreement, the EMS Agreement and the documents incorporated by reference, this OBF Agreement shall control. This OBF Agreement shall be construed and interpreted in accordance with, and shall be governed and enforced in all respects according to, the laws of the State of California. This OBF Agreement may be executed in one or more counterparts, each of which shall be deemed an original but all of which shall constitute one and the same instrument. If any one or more of the provisions contained in this OBF Agreement shall for any reason be held to be invalid, illegal or unenforceable in any respect, then this OBF Agreement shall be construed as if such invalid, illegal or unenforceable term or provision had never been contained herein and all other provisions of this OBF Agreement shall be construed to remain fully valid, enforceable and binding on the parties. The Recitals set forth above are hereby incorporated herein by reference. [Remainder of page intentionally left blank] Form 14-914 3 04/2016 20B-32 *:/:I1-1hdPA IN WITNESS WHEREOF, the Parties have executed this OBF Agreement as of the Effective Date. Customer: Authorized Representative: Title: Signature: Date: Business Address: Telephone No. Fax No. E-Mail Address: Form 14-914 04/2016 20B-33 Southern California Edison Company: Authorized Representative: Title: Signature: Date: Business Address: Telephone No. Fax No. E-Mail Address: El *:/ : 11-1 Ill WA SCHEDULEA Customer Name: OBF Loan Number: Site Service Account Number OBF Billing Repayment Service Account Number 1st Monthly OBF Loan Payment Remaining Monthly OBF Loan Payments X-XXX- XXXX-XX X-XXX-XXXX-XX $XX.XX $XXX.XX per month for X months Total Monthly Repayment $XX.XX $XXX.XX per month for X months Form 14-914 5 04/2016 20 B-34 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 1, 2019 TITLE: APPROVE AN APPROPRIATION ADJUSTMENT AND AN AGREEMENT WITH CALIFORNIA PROFESSIONAL ENGINEERING, INC., FOR STREET LIGHTING MAINTENANCE IN AN AMOUNT NOT TO EXCEED $2,259,684 {STRATEGIC PLAN NOS. 6, 1C} /s/ Kristine Ridge CITY MANAGER :7xd91LTA ILTA IAki1111111A11111Ve«II[IIII7ki1 CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For 111111•]0oil ►1,1111101.i[•] FILE NUMBER 1. Approve an appropriation adjustment to spend $1,167,684.14 from the prior year fund balance in the General Fund, for Street Light Maintenance and Repair Improvements. 2. Authorize the City Manager to execute an agreement with California Professional Engineering, Inc., to provide street lighting systems maintenance services, for a three-year period beginning October 2, 2019, and expiring October 1, 2022, with provision for two one- year extensions exercisable by the City Manager and City Attorney, in an amount not to exceed $2,259,684, the sum is comprised of $1,259,684 for the first year of the agreement and $250,000 annually, including any extension periods, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION On April 4, 2017, City Council approved a Purchase and Sale agreement with Southern California Edison (SCE) to acquire approximately 7,800 streetlights increasing the City's total inventory of streetlights to approximately 11,300. The opportunity to purchase SCE's streetlights provided the City the ability to meter and upgrade the streetlights from High Pressure Sodium (HPS) light fixtures to energy -efficient Light Emitting Diode (LED) lights. The increased inventory of streetlights generated the need to have an on -call street light maintenance agreement to provide preventative and extraordinary streetlight maintenance services. Subsequently on April 3, 2018 the City Council approved the Streetlight Retrofit Project (Project) which included the purchase of the previously owned SCE streetlights along with the retrofit to LED of the said lights. As a result of the approval and related financing of the Project, the City was eligible to apply for a rebate with SCE after completion of the installation of the LED lights. At that time Staff was aware of the potential to receive a rebate from SCE, after completion of the 20C-1 Agreement for Street Light System Maintenance October 1, 2019 Page 2 installation of the LED lights, however SCE was unable to provide the City an estimate of the amount the City would generate from a rebate. As noted City applied for Southern California Edison's (SCE) Energy Management Solutions Incentives Program for Business Customers and were successful in obtaining a rebate to upgrade the City -owned streetlights to LED efficient lighting. Upon project completion, SCE issues the City a rebate for a portion of the project cost. To date, the Project has generated two rebates (received during FY 2018-19) in the amounts of $379,151.55 and $788,532.59, which totaled $1,167,684.14, with a third and final rebate amount pending. The intended use of the rebates is to begin the installation of lighting in unlit areas, upgrade the streetlights recently purchased from SCE, continue with LED conversions, and for ongoing maintenance of City -owned streetlights. The two rebates received are recorded within the General Fund (during FY 2018-19). The staff report is requesting the Council to consider appropriation of the funds to the Streetlight Maintenance budget (General Fund) for encumbrance under this contract with California Professional Engineering, Inc. In addition, there is $92,000 budgeted in the Fiscal Year 2019-20 Streetlight Maintenance Program and, combined with the rebates, provides a grand total of $1,259,684. For future years, the annual streetlight maintenance budget will remain at approximately $250,000. A Request for Proposals for street lighting systems maintenance services was published on June 20, 2019. Five proposals were received and evaluated by a five -member review panel comprised of Public Works Agency staff. The proposals were scored based on contractor experience, understanding of need, relevant project experience, schedule, references and cost to perform the required services. The table below contains a summary of the proposal scores and their rankings: RANK CONTRACTOR LOCATION SCORE 1 California Professional, Inc. Anaheim 93 2 Econolite Systems, Inc. Anaheim 90 3 Siemens Anaheim 89 4 Bear Electrical Solutions Anaheim 80 5 Foddrill Construction Corporation Chino 77 In addition to routine maintenance, the contractor will be required to provide extraordinary and emergency services on an as -needed basis. Emergency services response time is required to be less than two hours, under normal circumstances, to make immediate or temporary repairs to City -owned streetlights. Based on the proposal evaluations, staff recommends awarding a contract for street lighting systems maintenance services to California Professional Engineering, Inc., for a total not -to -exceed annual amount of $2,259,684. 20Ci-2 Agreement for Street Light System Maintenance October 1, 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 Due to the lack of information from SCE, Public Works staff was unable to determine an amount to be received related to these rebates during FY 2018-19 and thus the amount was not included in the FY 2018-19 budget projections. The most recent estimate of actual FY 2018-19 General Fund revenues presented to the City Council on September 17, 2019 did not include these SCE rebates. Approval of the requested appropriation adjustment will authorize expenditure of $1,167,684.14 from prior year fund balance in the General Fund for expenditure in the Street Light Maintenance Repair Improvements (No. 01117630-62321), increasing the Fiscal Year 2019-20 expenditure budget for the purposes of engaging in this agreement. The proposed expenditures for the current and future years are as follows: Fiscal Year Accounting Unit — Fund Accounting Unit —Account Amount Account No. Description No. Description RESOURCE FY 2019-20 01102002-50001 General Fund Use of Prior Year Fund $1,167,684.14 Balance TOTAL REVENUES FROM INCENTIVES (REBATES): $1,167,684.14 EXPENDITURES FY 2019-20 Street Light Maintenance — Oct. — June 01117630-62321 General Fund Maintenance & Repair $80,000 Current Budget Improvement FY 2019-20 Street Light Maintenance — Oct. — June 01117630-62321 General Fund Maintenance & Repair $1,167,684 Requested AA Improvement FY 2020-21 Street Light Maintenance — July - June 01117630-62321 General Fund Maintenance & Repair $250,000 Im rovement FY 22- Street Light Maintenance — 01117630-62321 General Fund Maintenance & Repair $250,000 July June Improvement Im rovement FY 2022-23 01117630-62321 General Fund Street Light Maintenance — $62,500 July — Sept. Maintenance & Repair 20C-3 Agreement for Street Light System Maintenance October 1, 2019 Page 4 Fiscal Year Accounting Unit — Fund Accounting Unit — Account Amount Account No. Description No. Description Improvement OPTIONAL 1-YEAR EXTENSIONS FY 2022-23 Street Light Maintenance — 01117630-62321 General Fund Maintenance & Repair $187,500 Oct. -June Improvement FY 2023-24 Street Light Maintenance — July — Sept. 01117630-62321 General Fund Maintenance & Repair $62,500 Improvement Fiscal Year Accounting Unit — Fund Accounting Unit —Account Amount Account No. Description No. Description FY 2023-24 Street Light Maintenance — 01117630-62321 General Fund Maintenance & Repair $187,500 Oct. — June Improvement FY 2024-25 Street Light Maintenance — July Sept. 01117630-62321 General Fund Maintenance & Repair $12,000 Improvement TOTAL AGREEMENT EXPENDITURES: $2,259,684 Fuad S. Sweiss, PE, PLS Executive Director Public Works Agency FSS/TC/SS/GL Exhibit: 1. Agreement APPROVED AS TO FUNDS AND ACCOUNTS: Kathryn Downs, CPA Executive Director Finance and Management Services Agency 20C-4 EXHIBIT 1 AGREEMENT TO PROVIDE STREET LIGHT MAINTENANCE SERVICES THIS AGREEMENT is made and entered into this 2nd day of October, 2019 by and between California Professional Engineering, 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 June 20, 2019, the City issued Request for Proposal No. 19-042, by which it sought a contractor to provide street light maintenance services. 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 REP No. 19-042. 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 REP No. 19-042 and that is attached as Exhibit A. Contractor's proposal is attached as Exhibit B and incorporated in full. 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 C. The total sum to be expended under the term of this Agreement, including any extension periods, shall not exceed $2,259,684. This sum is comprised of (1) the amount of $1,259,684 for the first year of this Agreement and (2) $250,000 annually for all additional years, including any extension periods, if any. 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. 20 -8 3. TERM This Agreement shall commence on the date first written above and terminate on October 1, 2022, unless terminated earlier in accordance with Section 17, below. The term of this Agreement may be extended for up to two 1-year periods upon a writing executed by the City Manager and City Attorney. 4. PREVAH ING 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. Ifthe 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. 20 -8 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. Workers' Compensation Insurance. In accordance with the California Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for workers' 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 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. 2P_Y 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 terns 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 20G—ts 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 2b"G_9 20 Civic Center Plaza (M-21) P.O. Box 1988 Santa Ana, CA 92702 To Contractor: California Professional Engineering, Inc. 929 Otterbein Ave, Unit E La Puente, CA 91748, Attn: Van Nguyen, 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 2de61fb 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 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 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. 26C71fi 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. 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: Daisy Gomez Clerk of the Council APPROVED AS TO FORM SONIA R. CARVALHO City Attorney By: 1... J 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 California Professional Engineering, Inc. i Name: Van Nguyen Title: President 2�Ce 8�fyg EXHIBIT A Appendix ATTACHMENT 1 SCOPE OF WORK CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR STREET LIGHT MAINTENANCE RFP NO.: 19-042 I. PURPOSE The City of Santa Ana is seeking an experienced contractor to perform preventative and extraordinary Street Light maintenance services. II. STREET LIGHT MAINTENANCE 1. Scope Of Work Contractor shall furnish all tools, equipment, apparatus, facilities, labor, services and materials, and perform all work necessary to maintain street lighting facilities in a good and professional manner in accordance with the specifications contained herein. All said labor, services, materials, and equipment shall be furnished and said work performed and completed by the Contractor as an independent contractor, subiect to the inspection and approval of the City's Executive Director of Public Works Agency, or inspectors or their representatives 2. Service Personnel The Contractor shall provide qualified service personnel to maintain and to service all series street lights and equipment described in Section 3. Work on the City's series street lighting circuits shall be supervised and performed by a lead street light technician with a minimum of five (5) years experience as a high voltage technician. The technician shall troubleshoot, diagnose and perform all electrical connections. The Contractor shall include street lighting maintenance personnel's qualifications in the proposal. During the term of the contract the City will notify the Contractor, in the City's sole opinion, if personnel proposed for any maintenance are not qualified to work on these systems. 3. Modifications to System The City reserves the right to add or delete sections or circuits of Street Lights as they are added or deleted from the City system. 4. Extraordinary Maintenance (a) The failure or malfunction of street lights may be considered extraordinary maintenance. (b) Any upgrading, repair work, or any installation solicited by the City, shall be considered as extraordinary. Any extraordinary maintenance requests from the City of Santa Ana RFP 19-042 Page Al-1 20C-13 City shall be confirmed by the Contractor as to the time of and number of personnel dispatched. The Contractor shall contact the Street Light Management Section regarding any extraordinary maintenance work found to be beyond requested repairs and seek prior approval before the work is scheduled. Contractor shall notify Public Works Agency (PWA) Dispatch Office at 714- 647-3380 each day prior to crews being dispatched by Contractor (i) No underground work shall be performed prior to completion of Underground Service Alert (USA) markings. (ii) An electrical permit may need to be obtained prior to any additions to the City's street light or other electrical system. (iii)All extraordinary work completed by Contractor shall be invoiced time and material as specified on Contractor's bid proposal (c) Contractor shall respond to requests by City for extraordinary work within 24 hours of the request. Work shall start in a timely manner. Contractor shall dispatch personnel, materials and equipment on a daily basis until work is completed unless conditions do not allow work to be performed. (d) City shall pay for such extra ordinary repairs required as follows: (i) Materials. The City shall pay to the Contractor for any materials used in extraordinary maintenance at 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 Street Light Management Section if otherwise. The City has the right to inspect the Contractor's records to verify any material costs used in extraordinary maintenance. The City may provide replacement poles and fixtures. (ii) Direct Labor: Contractor shall furnish a monthly report of hours spent in extraordinary maintenance of street light and appurtenances per address. City shall pay the Contractor for such hours of extraordinary maintenance performed at the job site address at the rates specified on the Contractor's bid proposal. Crews shall be dispatched so as to maximize work performed. Said hourly rates shall be the total cost to the City. Rates shall include all compensation for wages, profit, overhead, any fringe benefits such as employer payments to, or on behalf of worker for health and welfare, insurance, worker's compensation, pension, vacation, sick leave or any local, State, Federal or union tax or assessment. (iii)Equipment. City shall pay Contractor for equipment used in extraordinary maintenance on an hourly basis rate as specified in the Contractor's bid proposal. Equipment shall be dispatched so as to maximize work performed • The Contractor's listing of per day equipment rates shall constitute total rates to be paid by City when specified equipment is used. • As used herein per day shall mean the furnishing at the site of extraordinary maintenance work the equipment specified. The per -day rate shall be independent of the length of time the equipment is in the City. City of Santa Ana RFP 19-042 Page Al-2 20C-14 • No additional compensation shall be paid for transporting the equipment to or from the job site (e) The Contractor shall submit weekly reports, when repairs are in progress, in a format approved by Street Light Management, and shall be submitted (in addition to hard copy) in Windows Excel spreadsheet. Weekly reports shall include arrival and departure times, dates and addresses of the repairs, service personnel dispatched, types of repairs made, and all materials and equipment used for each day worked. Weekly reports shall be submitted by Monday the following week. (t) The Contractor shall provide to the Street Light Management Section As -Built Maps of all work performed on a form approved by the City. As Builts shall indicate the address and description of all repairs made including installation of pull boxes, splices and connections, etc. As Builts shall be submitted following each day's work performed. (g) Emergency Services Twenty-four hours per day, seven days per week, emergency service shall be provided by Contractor upon City's call with a response time of less than two hours under normal circumstances, to make immediate or temporary repairs to City owned series and multiple street light pole or service knock downs or damage caused by vehicle collision, acts of God, vandals, or as required because of a public safety hazard. The Contractor shall respond to emergency calls when directed by the City and dispatch high voltage technician and equipment. The Contractor shall so conduct his operations as to cause the least possible obstruction and inconvenience to public traffic. Contractor shall maintain and make available to the City, a local telephone number where Contractor can be contacted twenty-four hours per day. I11t YiluTla":i`a:1DISi) RR 1. Street Light System Monthly Reports Monthly reports shall include extraordinary maintenance repairs with As -built maps for series street lighting. 2. Database for Maintenance Work (a) 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 street light system. (i) 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. (ii) The City will provide training and instruction to the Contractor on the use of the Cityworks System. (iii)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 City of Santa Ana RFP 19-042 Page AI-3 20C-15 will be solely responsible for maintaining the device in working order to complete the required data entry for the City. (iv)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). IV. INVOICES 1. The Contractor shall prepare separate invoices for routine maintenance and extraordinary maintenance. 2. For extraordinary maintenance billing: (a) The Contractor shall prepare a general invoice to include all extraordinary billings that is less than $500 per streetlight. (b) The Contractor shall prepare a separate invoice for each location when extraordinary billing is in excess of $500 per streetlight. (c) The Contractor shall prepare a separate invoice if requested by the Contract Administrator. 3. The Contractor will be required to provide City staff with cellular/WI-FI enabled Apple branded smart phones for daily communications and for City staff to perform the required Cityworks data entry in the field. 4. Payment shall not be made to the Contractor until the required reports and As-Builts have been properly submitted for work completed. V. INVOICES SUBMITTAL The Contractor shall submit all reports and invoices in both paper and Microsoft Excel electronic file format to the City. For correspondence, reports and invoices associating with street light maintenance please send to: Street Light Maintenance City of Santa Ana 20 Civic Center Plaza, M-21 Santa Ana, CA 92701 VI. STANDARD SPECIFICATIONS All work on street light system shall conform to the City's current standard plans and specifications. VII. FEE SCHEDULE In addition to Section III.B.3 (Submittal Requirements: Fee Proposal) fee schedule shall be structured per Attachment 4 Proposal Item Pricing. City of Santa Ana RFP 19-042 Pa Al -4 20G -16 MINUTES OF THE ANNUAL MEETING OF SHAREHOLDERS AND DIRECTORS CALIFORNIA PROFESSIONAL ENGINEERING, INC. The annual meeting of the shareholders of the above named California Corporation was duly held at the principal office of the corporation located at 929 Otterbein Avenue, Unit E, La Puente, CA, 91748, USA on March 5, 2019. The Director present was VAN TAN NGUYEN. President acting as Chairman, same being VAN TAN NGUYEN. The Chairman then presented and read to the meeting a Waiver of Notice of Meeting, subscribed by all of the Directors of the Corporation. Upon motion duly made, it was: Resolved, that the Chairman be requested to cause the same to be spread at length upon the minutes. Resolved, that the following persons were nominated and thereupon elected to the position opposite their names to serve until their successors are elected and qualified: VAN NGUYEN, PRESIDENT VAN NGUYEN, SECRETARY PHUONG-THAO NGUYEN, CHIEF FINANCIAL OFFICER (CFO) Resolved, that the above persons elected may sign all binding, contractual documents on behalf of the Corporation. The President, Secretary, and Treasurer thereupon assumed their respective offices. The President then presented and read the minutes of the annual meeting of shareholders of this Corporation, and the same were, on motion duly made, seconded and unanimously carried, in all aspects ratified and adopted by this Board of Directors. There being no further business to come before the meeting, upon motion duly made, seconded and unanimously carried, the same was adjourned. The foregoi jitLminutes ofkabary 21, 2019 are approved VAN NGUYEN, President VAN NGUYEN, Secretary (corporate seal) 20C-18 California Professional Engineering, Inc. --9U.Cd!t* 774--Yaxd £x/zcctczt�asz�- MEETING OF BOARD OF DIRECTORS OF CALIFORNIA PROFESSIONAL ENGINEERING, INC. A meeting of the Board of Directors of California Professional Engineering, Inc. was held on July 19, 2019, whereby a resolution was passed authorize Van Nguyen to sign on behalf of the corporation, by his signature, to enter into all and all contractual obligations on behalf of this corporation. President — Van See attached jurat. 929 Otterbein Avenue, Unit E. La Puente, CA 91748 r (6 C) 811 38 Fax (626) 810-13221 Email.van@cgengineeringlnc.com iA11:71rY 414�4*e♦1411101P+114* State of California l County of Los Angeles } SS. Subscribed`1 and sworn to (or affirmed) before me on this "I� , day of �, 20—A, by _ \1�T11`r N m u'j , proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. ALICIA NGUYEN COMM. # 2211346 NOTARYPUilUC -CALIFORNIA LOS ANOELES COUNTY Comm. Ezp. AUG. 25, 2021 NOTARY'SSICNATURE A notary public or other office completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached. and not the truthfulness. accuracv. or validitv of that document. PLACE NOTARY SEALINABOVE SPACE OPTIONAL INFORMATION The information below is optional. However, it may prove valuable and could prevent fraudulent attachment of this form to an unauthorized document. 1 CAPACITY CLAIMED BY SIGNER (PRINCIPAL) DESCRIPTION OFATTACHED DOCUMENT 1 1 INDIVIDUAL rv(� I2�� ST DO^C�UMENT CORPORATE V� [� PORATE OFFICER r TITLE OR TYPE OF� / / ❑ PARTNER(S) TITLE(S) 1 ❑ ATTORNEY -IN -FACT _ I 1 TRUSTEE(S) ❑ NUMBER OF PAGES 1 ❑ GUARDIAN/CONSERVATOR ❑ OTHER: DATE OF DOCUMENT p 1 ! / OTHER / 1 ABSENT SIGNER (PRINCIPAL) IS REPRESENTING: / RIGHT NAMEOFPERSON(S)ORENTITY(IES) / THUMBPRINT 1 OF 1 1 SIGNER 1 / / i i 1 / 1 / 1 i�,rre-�e�.ereoe�eeeeeeeeeeeeer��eee���e���e�+.►���e���e��/ 101,2W9 NOTARY BONDS, SUPPLIES AND FORMS ATHTTP://WWW.VALLEY-SIERRA.COM 02005-2W8VALLEY-SIERRA INSURANCE 20C-20 California Professional Engineering, Inc. Concerns/Concurrences California Professional Engineering, Inc.'s material pricing is based on a six-month period from date of bid. Should material price increase after the six-month period, please allow unit pricing revisions. Van Nguyen 929 Otterbein Avenue Unit E La Puente, CA 91748 626-810.1338 van@cpengineeringinc.com 929 Otterbein Avenue, Unit E. La Puente, CA 91748 1 Ph: (626) 810-1338 Fax: (626) 810-1322 1 Email: estimating@cpengineeringinc.com 20C-21 California Professional Engineering, Inc. 3 ATTENTION: City of Santa Ana REFERENCE: Intended Key Personnel Van Nguyen Operations Manager� s�� '100% Time 100%time 1 Allocation Education I Studied Science of Industrial Engineering, BS. Knowledge of Auto CAD and Elemental Standard Time (EST). Vocation training in Fiber Optic Theory, Cable Construction, OSP Cable Breakout, Installation, Connectorization, Fusion/Mechanical Splicing, OTDR/Power Meter/Fault Locator Testing System Design. Experience 118 Years within Construction Industry. Ensure project is carried out smoothly and effectively, utilizing maximum production and minimum time. Senior Estimator. Diem Chu I General Manager 1 100% Time Allocation j Education I Studied Spanish and Biological Sciences. Studying extended Construction Management including Accounting, CPM, Estimating, Legalities, Labor and Employment and Managing Employee Relations, Experience 15 Years within Construction Industry. Supervised multiple County/City/Caltrans jobs successfully from project procurement through construction stages until completion/close out. Addressed any discrepancies from Site to Plan. Senior Project Manager. Tracy Sooc I Project Manager 100% Time Allocation Education I Studied Business and Accounting, BS. Experience 110 Years within Construction Industry. Supervised multiple County/City/Caltrans jobs successfully from project procurement through construction stages until completion/close out. Addressed any discrepancies from Site to Plan. Alicia Nguyen I Payroll Administrator 1 100% Time Allocation Education I Studied Nursing and Accounting. Studying extended Construction Management including Accounting, CPM, Estimating, Legalities, Labor and Employment and Managing Employee Relations. Experience 14 Years within Construction Industry. Administered Bids. Executed Payroll and Labor Compliance Documents. Project coordination and procurement. For additional information, please do not hesitate to contact our office at the numbers listed below. California Professional Engineering, Inc. 929 Otterbein Avenue, Unit E. La Puente, CA 917481 Ph: (626) 810-1338 Fax: (626) 810-13221 Email: estimating@cpengineeringinc.com 20C-22 California Professional Engineering, Inc. —2ccnLh*�c/:Cc�a£Loxs— Understanding of Needs California Professional Engineering, Inc. acknowledges the following notations in the submittal of the subject proposal: Should any street light(s) be knocked down, in need of repair or maintenance, at any time during the day or night, CPE's crew will be out to the jobsite to relocate/remove the pole, in order to maintain public safety for pedestrians and vehicular traffic as deemed necessary per the City's instructions. In the event that a street light needs to be relocated and/or the hazardous incident occurs after standard working hours, CPE's crews shall be onsite to relocate the street light post/components after the City brings matters to our attention. It is anticipated that the day after, CPE's crew will return to the jobsite to repair the street light accordingly. Van Nguyen 929 Otterbein Avenue Unit E La Puente, CA 91748 626-810-1338 van ocDengineeringinc.com 929 Otterbein Avenue, Unit E La Puente. CA 917481 Ph: (626) 810-1338 Fax: (626) 810-13221 Email estimating@cpengineeringinc.com 20C-23 California Professional Engineering, Inc. M.g n . r ��, /e}y Traffic Signal References County of Los Angeles Department of Public Works Aviation Blvd 111811 Street/Northrup Grumman Avenue to Ocean Drive #TSM0010190 Original Contract Amount: $1,352,897.25 Final Contract Amount: $1,415,076.67 Contact: Fred Kheradvar Main: 626,458.3199 Email: fkheradv@dpw.lacounty.gov Approximate StarUEnd Dates: September 2016 —April 2018 Brief Description of Work: Traffic Signal Installation/Modifications at multiple intersections along Aviation Blvd including new traffic signal poles and vehicular/pedestrian traffic gear, new controller cabinets with new foundations, new service pedestals with new foundations, battery backup installation, video detection system installation. safety lighting installation, emergency vehicle preemption installation. new ada compliant curb ramps, new striping and markings, loop detection systems, new underground conduit and pullbox installation. SCE underground substructures, concretelasphalt improvements, etc. County of Los Angeles Department of Public Works Florence Avenue/Mills Avenue I Orr and Day Road to Whittier Boulevard #TSM0010312 Original Contract Amount: $981,099.00 Final Contract Amount $1,039,990,01 Contact Anoush Hovsepians Main: 626.458.3139 Email ahovsepians@dpw.lacounty.gov Approximate Start/End Dates: August 2017 — September 2018 Brief Description of Work: Traffic Signal InstallationlModifications at multiple intersections along Florence Avenue including new traffic signal poles and vehicular/pedestrian traffic gear, new controller cabinets with new foundations, new service pedestals with new foundations, battery backup installation, video detection system installation. safety lighting installation. emergency vehicle preemption installation, new ada compliant curb ramps, new striping and markings, loop detection systems, new underground conduit and pullbox installation, SCE underground substructures, concretelasphalt improvements, etc. County of Los Angeles Department of Public Works Colima Road I Camino Del Sur to East of Tierra Luna (Pedestrian Crossing) #TSM0010196 Original Contract Amount: S1,746,742.55 Final Contract Amount: $1,816,477.16 Contact: Joel Zaragoza Main: 626,458.4973 Email: JZARA@dpw.lacounty.gov Approximate Start/End Dates: January 2017 — October 2018 Brief Description of Work: Traffic Signal Installation/Modifications at multiple intersections along Colima Road including new traffic signal poles and vehicular/pedestrian traffic gear, new controller cabinets with new foundations, new service pedestals with new foundations, battery backup installation, video detection system installation, safety lighting installation, emergency vehicle preemption installation, new ada compliant curb ramps, new striping and markings, loop detection systems, new underground conduit and pullbox installation, SCE underground substructures, SCE underground substructures, concretelasphalt improvements. etc. County of Los Angeles Department of Public Works Florence -Firestone Community Safe Routes to School # R000016046 Original Contract Amount: $708,395,78 Final Contract Amount: $733,074.89 Contact: Robert Eisenhamer Main: 626,458,3155 Email: REISENHA@dpw.lacounty.gov 929 Otterbeirn Avenue, Unit E. La Puente. CA 91748 I Ph'. i62M 810-1338 Fax: (626) 810-1322 1 Email: estimating&pengineeringinc.com 20C-24 January 17, 2019 Page 1 Approximate Start/End Dates: October 2017 — March 2018 Brief Description of Work: Traffic Signal Installation/Modifications at multiple intersections including new traffic signal poles and vehiculadpedestrian traffic gear, new controller cabinets with new foundations, new service pedestals with new foundations, battery backup installation, video detection system installation. safety lighting installation, emergency vehicle preemption installation, new ada compliant curb ramps, new striping and markings, loop detection systems, new underground conduit and pullbox installation. SCE underground substructures, concretelasphaltimpovements. etc. City of Orange Left Turn Phasing Signal Modification I Chapman Avenue & Cannon Street #HSIPL 5073(079) SP-3868 Left Turn Phasing Signal Modification I Batavia Street & Collins Avenue #HSIPL 5073(081) SP•3870 Original Contract Amount: $599,999.00 Final Contract Amount: $608,424.00 Contact: Medel Llanes Main: 714.744,5535 Email: mllanes@cityoforange.org Approximate Start/End Dates: April 2018 — October 2018 Brief Description of Work: Traffic Signal InstallationlModifications including new traffic signal poles and vehicular/pedestrian traffic gear, new controller cabinets with new foundations, new service pedestals with new foundations, battery backup installation, video detection system installation, safety lighting installation, emergency vehicle preemption installation, new ada compliant curb ramps, new striping and markings. loop detection systems. CCTV, new underground conduit and pullbox installation. SCE underground substructures, concretelaspha# improvements, etc. City of Orange Tustin Street and Vanowen Avenue Traffic Signal Modification #SP-3927 Original Contract Amount: $355,156,00 Final Contract Amount: $386,200.60 Contact: Medel Llanes Main: 714.744.5535 Email: mllanes@cityoforange.org Approximate Start/End Dates. August 2016 — October 2016 Brief Description of Work: Traffic Signal InstallationlModifications including new traffic signal poles and vehiculadpedestrian traffic gear, new controller cabinets with new foundations, new service pedestals with new foundations, battery backup installation, video detection system installation, safety lighting installation, emergency vehicle preemption installation, new ada compliant curb ramps, new striping and markings, loop detection systems. CCTV, new underground conduit and pullbox installation. SCE underground substructures, concretelasphalt improvements, etc. City of Santa An Traffic Signal Modifications on: 17t" Street at English Street I MacArthur Boulevard at Plaza Drive #15.6834 Edinger Avenue at Sullivan Street I Westminster Avenue at Clinton Street #15.6834 Original Contract Amount: $865,319.00 Final Contract Amount. $872.755.00 Contact: Michael Ortiz Main: 714.647,5624 Email, MOrtiz@santa-ana.org Approximate Start%End Dates: January 2017 — December 2017 Brief Description of Work: Traffic Signal Installation.%Modifications at various intersections including new traffic signal poles and vehiculadpedestrian traffic gear, new controller cabinets with new foundations, new service pedestals with new foundations, battery backup installation video detection system installation safety lighting installation. emergency vehicle preemption installation, new ada compliant curb ramps, new striping and markings. CCTV loop detection systems, new underground conduit and pullbox installation. SCE underground substructures. concrete/asphalt improvements, etc. City of Santa Ana Safe Routes to School Enhancements for Heninger Elementary #16.6870 Original Contract Amount: $417,341.50 20C-25 January 17, 2019 Page 3 Final Contract Amount S429.508.89 Contact: Michael Ortiz Main: 714.647.5624 Email: MOrtiz@santa-ana.org Approximate Start/End Dates: January 2017 — December 2017 Brief Description of Work: Traffic Signal InstallationiModifications at Heninger Elementary including new traffic signal poles and vehicular/pedestrian traffic gear. new controller cabinets with new foundations, new service pedestals with new foundations. battery backup installation, video detection system installation, safety lighting installation, emergency vehicle preemption installation, new ada compliant curb ramps. new striping and markings. loop detection systems. new underground conduit and pullbox installation, SCE underground substructures, concrete/asphalt improvements. etc. City of Westminster Traffic Signal Modifications Various Locations (4Intersections) #2373 Original Contract Amount $525,438.00 Final Contract Amount: $543.508,69 Contact, Bill Pham Main: 714.548.3457 Email hpham@westminster-ca.gov Approximate StartfEnd Dates: May 2017 — November 2017 Brief Description of Work: Traffic Signal InstallationlModifications at various intersections including new traffic signal poles and vehicular/pedestrian traffic gear, new controller cabinets with new foundations, new service pedestals with new foundations, battery backup installation. video detection system installation, safety lighting installation, emergency vehicle preemption installation, new ada compliant curb ramps. new striping and markings, loop detection systems, new underground conduit and pullbox installation, SCE underground substructures. concrete/asphalt improvements. etc. City of Burbank Safe Routes to School Cycle 8 Project #1378 Original Contract Amount $865,319.00 Final Contract Amount: $941,321.69 Contact: Jonathan Yee Main: 818.238,3969 Email jyee@burbankca.gov Approximate StarUEnd Dates: June 2016 — October 2016 Brief Description of Work Traffic Signal InstallationlModifications at various intersections includng new traffic signal poles and vehiculadpedestrian traffic gear, new controller cabinets with new foundations, new service pedestals with new foundationsbattery backup installation, video detection system installation, safety lighting installation, emergency vehicle preemption installation, new ada compliant curb ramps, new striping and markings, loop detection systems. new underground conduit and pullbox installation. SCE underground substructures. concretelasphalt improvements. etc. City of Ceres Traffic Signal Interconnect Part 14 Original Contract Amount. $312,862.50 Final Contract Amount: 5339.226.87 Contact: Samir,Royal Main: 209,538.5617 Email, Samir.royal@ci.ceres.ca.us Approximate Start/End Dates. July 2017 — October 2017 Brief Description of Work. Traffic Signal Installation/Modifications at various intersections including vehicular pedestran traffic gear, new controller cabinets with new foundations new service pedestals with new foundations, battery backup installation, video detection system installation. safety lighting installation emergency vehicle preemption installation, loop detection systems, new underground conduit and pullbox installation. SCE underground substructures concrete/asphalt improvements. etc. City of Bakersfield Traffic Signal Interconnect Part 14 20C-26 ✓anuaiy, 17, 2019 Page Original Contract Amount: $462.027,50 Final Contract Amount $466.397.80 Contact Joe Catalan Main: 661.326,3597 Email: jcatalan@bakersfieldcity us Approximate Start/End Dates: June 2016 — October 2016 Brief Description of Work: Instaflabon of conduit, fiber optic cable, models networking equipment, other fiber optic equipment, and surge suppression of equipment along Stockdate Highway from .Allen Road to Coffee Road. Riverside County Transportation Department Pourroy Road Traffic Signal and Safety Lighting Project I French Valley Area #C8.0067 Weirick Road Restriping and Signal Modification Project I Temescal Valley Area #C8.0076 Original Contract Amount: $458,048.00 Final Contract Amount: $458.048.00 Contact: Ivan Mendoza Main: 562.254.9351 Email: ivanmmendoza@aol.com Approximate Start/End Dates: August 2018 — October 2018 Brief Description of Work: Traffic Signal InstallationiModifications including new traffic signal poles and vehiculadpedestrian traffic gear, new controller cabinets with new foundations, new service pedestals with new foundations, battery backup installation. video detection system installation, safety lighting installation, emergency vehicle preemption installation, new able compliant curb ramps, new striping and markings, loop detection systems, new underground conduit and pullbox installation. SCE underground substructures, concrete/asphalt improvements.. etc. document last modified 11,20 2018 20C-27 929 Otterbein Ave., Unit E La Puente, CA 91748 Ph: (626) 810-1338 Fax: (626) 810-1322 www.cpengineeringinc.com California Professional Engineering, Inc. Street Lighting - Job References PROJECTS: Design — Build High Voltage Streetlight System Rewiring Amount: $547,044.66 Owner: City of Santa Ana Project Manager: Tyrone Chesonek Email: tchesonek@santo-ono.org Contact Phone #: (714) 647-5690 Fax #: (714) 647-5622 Status: Completed Approximate Start/End Dates: Feb 2015-March 2016 Description of Supplies, Equipment, or Services Provided: Convert High Voltage Wiring to Low Voltage Wiring, Design/Build, Installation of Lighting Fixtures, and Conduit. Installation of Sport Field Lighting System Amount: $65,501.00 Owner: City of Huntington Park Project Manager: Josette Espinosa Email: jeppinosa@hpco.gov Contact Phone #: (323) 584-6216 Fax #: (323) 588-4577 Status: Completed Approximate Start/End Dates: Dec 2015-Jan 2016 Description of Supplies, Equipment, or Services Provided: Installation of Conduit & Wiring, Pull Box, Sports Field Lighting Fixtures, and Lighting Poles. Firestone Blvd Improvement Project Amount: $409,305.58 Owner: City of Downey Project Manager: Keith Hoey Pasze 1 of 3 Donionew Last Updated 4J 2016 20C-28 Email: khoey@downeyco.org Contact Phone #: (562) 622-5898 Fax #: (562) 904-7296 Status: Completed Approximate Start/End Dates: April 2014-August 2014 Description of Supplies, Equipment, or Services Provided: Installation of Conduit & Wiring/Conductors, Pull Boxes, Pedestals, LED Fixtures, and Light Poles. Street Light in Lieu Amount: $244,716.35 Owner: City of Ontario Project Manager: Johnson Hua Email: jhuo@ci.ontario.ca.us Contact Phone #: (909) 395-2131 Fax #: (909) 395-2122 Status: Completed Approximate Start/End Dates: Jan 2014-April2014 Description of Supplies, Equipment, or Services Provided: Installation of Conduit & Wiring/Conductors, Pullboxes, Pedestals, LED Fixtures, and Light Poles. Old Towne Street Lighting Improvements Amount: $453,145.00 Owner: City of Orange Project Manager: Medel Llones Email: mllones@cityoforange.org Contact Phone #: (714) 744-5535 Fax #: (714) 744-5573 Status: Completed Approximate Start/End Dates: Jan 2012-April 2012 Description of Supplies, Equipment, or Services Provided: Installation of Conduit, Pullboxes, Pedestals, Street Lights w/ Fixtures, and Light Poles. Installation of Street Lighting on Mountain Street from Craig Ave Amount: $335,166.00 Owner: City of Pasadena Project Manager: Chris Hernandez Email: cehernandez@cityofposadeno.net Contact Phone #: (626) 744-4303 Fax #: (626) 396-7931 Status: Completed Approximate Start/End Dates: Jan 2012-May 2012 Description of Supplies, Equipment, or Services Provided: Installation of Conduit, Street Light Pullboxes, LED lamps, Post Top Concrete Streetlights, Street Light Conductors, and Modify Existing Street light Feed Point. Page 2 of 3 Docunrent Last Updated J 5 2016 20C-29 Street Light Installation — Guinida Lane Amount: $202,345.50 Owner: City of Anaheim Project Manager: Mark Brownrigg Email: mbronwrigg@anaheim.net Contact Phone #: (714) 765-4300 Ext. 4596 Fax #: (714) 765-5225 Status: Completed Approximate Start/End Dates: Aug 2011-March 2012 Description of Supplies, Equipment, or Services Provided: Installation of Conduits, Wirings, Service, Foundations, Street Light Poles, and Luminaires. Page 3 oi3 Document Last U{ulaled J 5 3016 20C-30 California Professional Engineering, Inc. --gLLMLit� l�c�ostd �xh�ctatimc3— Scope of Services and Schedules Activity Duration Replace damaged street light 2-4 hours depending on foundation damage, anchor bolt damage, etc. Replace conduit After the legal time allowed from underground service alert, pothole (1 day), bore conduit 500' — 700' the next day Replace dead existing luminaire with material on hand 1-2 hours Replace Foundation 1 day to pour, 7 days after to install street light Van Nguyen 929 Otterbein Avenue Unit E La Puente, CA 91748 626-810-1338 van a( ,coengineeringinc.com 929 Otterbein Avenue, Unit E La Puente, CA 917481 Ph: (626) 810-1338 Fax: (626) 810-13221 Email: estimating&pengineeringinc com 20C-31 Appendix ATTACHMENT 3-1 NON -COLLUSION AFFIDAVIT CERTIFICATIONS NON -COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OF SANTA ANA DEPARTMENT OF PUBLIC WORKS In accordance 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 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. Signing this Proposal on the signature portion thereof shall constitute sigttpto Of this Noncollusion Affidavit. BIDDERS are cautioned that making a false c%(rtifi anon subject a ckitifier to criminal prosecution. Signed State of California County of Subscribed and sworn to (or affirmed) before me on this day of 1 20, by , proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. SEA' f F1� Notary Public Signature Notary Public Seal City of Santa Ana RFP Page A3-1 20C-32 JURAT ......................................... State of California County of Los Angeles SS. '"" � Subscribed and sworn to(oraffirmed) before me on this I _ day of . - 20 �" It , by proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. h ALICIA NGUYEN COMM. X 2211346 ! NOTARY PUBLIC •OAUFORNIA LOS ANGELES COUNTY Comm. Exp. AUG. 25, 2021 A notary public or other office completing this certificate verifies only the idWity of the individual who signed the document to which this certificate is attached. and not the truthfulness. accuracv. or validitv of that document. PLACE NOTARY SEALINABOVE SPACE OPTIONAL INFORMATION The information below is optional. However, it may prove valuable and could prevent fraudulent attachment of this form to an unauthorized document. CAPACITY CLAIMED BY SIGN�E�R (PRINCIPAL) DESCRIPTION OF ATTACHED DOCUMENT 1 INDVIDUAL � d � �` ~ � 1 CORPORATE OFFICER TITLE TYPE OF DOCUMENT 1 ❑ PARTNER(S) TITLES) / ❑ ATTORNEY -IN -FACT I 1 1 ❑ TRUSTEE(S) NUMBEROFPAGES / ❑ GUARDIAN/CONSERVATOR ❑ OTHER: DATE OF DOCUMENT ; 1 / 1 / OTHER ABSENT SIGNER (PRINCIPAL) IS REPRESENTING: RIGHT / NAME OFPERSON(S)ORENTITY(IESI THUMBPRINT 1 OF ♦ SIGNER 1 ♦ 1 1 1 / 1 1 1 1 1 1 ♦ 101i'_O(1R NOTARYBONDS,SUPPLIESAM)I'ORMSATHTTP://WWW.VALLEY-SIERRA.COhi i)2005-21H18VALLEY.SIERRAINSURANCE 20C-33 Appendix ATTACHMENT 3-2: NON -LOBBYING CERTIFICATION CERTIFICATIONS The prospective participant certifies, by signing and submitting this bid or proposal, 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 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 any 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, loan or cooperative agreement, the undersigned shall complete and submit a "Disclosure of Lobbying Activities". 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 sub recipients shall certify and disclose accordingly. Firm Sign( Title Date City of Santa Ana RFP Page A3-2 20C-34 Appendix ATTACHMENT 3-3: NON-DISCRIMINATION CERTIFICATION CERTIFICATIONS The undersigned consultant or corporate officer, during the performance of this contract, certifies as follows: The Consultant shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Consultant 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 Consultant 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 Consultant shall, in all solicitations or advertisements for employees placed by or on behalf of the Consultant, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. The Consultant 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 Consultant's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The Consultant 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 Consultant 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 Consultant'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 Consultant 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. The Consultant 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 City of Santa Ana RFP Page AM 20C-35 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 Consultant becomes involved in, or is threatened with, litigation with a sub -consultant or vendor as a result of such direction by the administering agency, the Consultant 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 consultant of public works violating this Section is subject tall the penaltifs imposed for a violation of the Chapter. Signed: Title: `j Y2S1gZ(��, I Firm: Utfprn112 Sl Iri j,�nG• Date: D-1 I l C( 119 City of Santa Ana RFP Page A3-4 20C-36 EXHIBIT C Appendix ATTACHMENT 4 PROPOSAL ITEM PRICING PROPOSERS 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 (Appendix -Attachment 1) 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 hourly cost, time and materials basis for services described in Attachment I- Scope of Services. 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. Labor Item Description Hourly Hourly Overtime Hourly Doubletime 1 Laborer s' • 1 / • ao 2 Apprentice • or qp• 11q,— 3 Journeyman ap• � 7 — oe 4 Foreman 12. 'sa 1 'Z ZI •2Z Material Item Description Unit Unit Price 5 2" Conduit PVC Schedule 40 LF ° 6 # 8 AWG Wire (Copper) LF 7 # 10 AWG Wire (Copper) LF 8 # 12 AWG Wire (Copper) LF e 9 # 6 AWG Overhead Wire (Aluminum) LF 10 Meter Pedestal per COSA Standard EA c7 ' 11 Streetli ht Pole per Std 1126A Double Kin EA — 12 Streetlight Pole per Std 1126E (Single Kin) EA • 13 1 Streetlight Pole per Std 1126H (Marblelite) I EA p -- Equipment Item Description Hourly Rate Daily Rate 14 Service Truck Oa 15 50' Boom Truck r] 16 Crane Truck CONTINUED ON THE NEXT PAGE City of Santa Ana RFP 19-042 Page A4-1 20C-37 Equipment Item Description Hourl Rate Daily Rate 17 Jack Hammer Compressor 30 18 Traffic Control w (D, 19 Arrow Board 5 CSC-) 20 Boring Rig oc) I LkCCO In addition, proposers shall provide breakdown details supporting the above costs. 01338 City of Santa Ana RFP 19-042 Page A4-2 Fax Numbers 20C-38 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 1, 2019 TITLE: APPROVE APPROPRIATION ADJUSTMENT ACCEPTING BUREAU OF RECLAMATION WATERSMART GRANT FUNDS FOR THE WELL 32 IMPROVEMENTS PROJECT IN THE AMOUNT OF $750,000 (NONGENERAL FUND) {STRATEGIC PLAN NO. 6, 11 /s/ Kristine Ridge CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 15' Reading ❑ Ordinance on 2i1 Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Approve an appropriation adjustment accepting Bureau of Reclamation WaterSMART grant funds in the amount of $750,000 into the Public Works Water Quality & Control Fund, Miscellaneous Revenue, Federal Grant —Direct revenue account and appropriating the same amount into the Public Works Water Quality & Control, WaterSMART-Watershed Management Program, Improvements Other Than Building expenditure account. DISCUSSION On February 6, 2018, Council authorized staff to submit a grant application to the United States Bureau of Reclamation WaterSMART Drought Response Program for the planned Well No. 32 Improvements. The project involves upgrading and replacing groundwater well pumping systems and pipelines, and adding a treatment process to bring the poor -quality groundwater up to useable standards. In June 2019, the City was awarded $750,000 in grant funding for the Well No. 32 Improvements Project. The project is currently under design and a construction contract is anticipated to be recommended for award in early 2020. All grant funds received for this project are to be utilized for the construction phase of the project. The total construction cost of the project is estimated to be $4.2 million and will be paid with grant and Water Enterprise funds. STRATEGIC PLAN ALIGNMENT 20D-1 Appropriation Adjustment Accepting Bureau of Reclamation WaterSMART Grant Funds for the Well 32 Improvements Project October 1, 2019 Page 2 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 Approval of the requested appropriation adjustment will accept $750,000 in Bureau of Reclamation WaterSMART grant funds into in the Public Works Water Quality & Control Fund, Miscellaneous Revenue, Federal Grant —Direct revenue account (No. 16417002-52000) and appropriate the same amount into the Public Works Water Quality & Control Fund, WaterSMART-Watershed Management Program, Improvements Other Than Building expenditure account (No. 16417641- 66220). Funds will be budgeted for expenditure in Fiscal Year 2019-20 as follows: Accounting Unit- Accounting Unit- Account No. Fiscal Year Account No. Fund Description Description Amount Project No. REVENUES FY 2019-20 16417002-52000 PW Water Quality Miscellaneous Revenue — $750,000 & Control Federal Grant -Direct EXPENDITURES PW Water Quality WaterSMART-Watershed Mgmt FY 2019 20 16417641 66220 & Control Prog —Improvements Other Than $750,000 Buildin Fuad Sweiss, PE, PLS Executive Director Public Works Agency FSS/NS/RR Exhibit: 1. Grant Award Agreement APPROVED AS TO FUNDS AND ACCOUNTS: Kathryn Downs, CPA Executive Director Finance & Management Services Agency 20D-2 G Page I of 52 UNITED STATES DEPARTMENT OF THE INTERIOR BUREAU OF RECLAMATION ASSISTANCE AGREEMENT IA. AGREEMENTN'UMBER Ia. MOD NIMDER 2. TYPE OF AGREEMENT 7. CLASS OF RECIPIENT R18AP00081 0 GRANT COOPERATIVE AGREEMENT Cit or Township Government Y P 4. ISSUING OFFICE 5. RECIPIENT Bureau of Reclamation City of Santa Ana Acquisitions and Assistance Operations Branch 20 Civic Center Piz Fi 8 Financial Assistance Support Section Santa Ana, CA 92701-4058 P.O. Box 25007, MS 84-27810 Denver, CO 80225-5007 EINg: 95-6000785 Comfy: Orange DUNS a: 083153247 1 c-,on. Disc I CA-46 6. RECIPIENT PROJECT MANAGER 7A. INITIAL AGREEMENT 7B. MODIFICATION EFFECTIVE DATE: EFTECTIVEDATE Rudy Rosas, Sr. Civil Engineer City of Santa Ana See Block 1.3.o below 20 Civic Center Piz FI 8 S. COMPLETION DATE Santa Ana, CA 927014058 714-647-3379 December 31, 2020 Rrosa: G.Santa-Ana.or¢ 9A. PROGRASISTA'IUTORYAUTBORITY OD. CFDA Number Section 6002 of the COOPERATIVE WATERSHED MANAGEMENT ACT, P.L. I 1 I-11 15.554 (42 USC 10364) 10. FUNDING INFORMATION N'ON-FEDERAL RECLAMATION TOTAL PROJECT COSTS Total Estimated Amount orAgreement $3,890,000.00 $750,000.00 $4,630,000.00 This Obligation $3,890,000.00 $740,000.00 $4,620,000.00 Previous Obligation $0.00 $0.00 $0.00 Total Obligation $3,890,000.00 $740,000.00 $4,620,000.00 11. PROJECTT E Well R habilitation Improvements I?a. Accel Wnee drthis Assistance Agreement in accordance with the Icons and 1Awardis AssisW� grnment in aaonlancc with the Corms and condi onsc lain I herein is hereby made on behalf ofthe above-nomcd onb ie 1 is hereby made on behalrorthe United States mciP t Dq an c t fthelmerim Eoremol'Reclamation L o4AFE& 3 DATE `-" 1 .�� V 126NAME AND 13b. NAME OFGRANTS OFFICER yTITLE-OF FSIGNER txEcirTlui: mi(�.t�tti o>; PuCx,�c:� �� Agreement Template EXHIBIT 1 (0312019) 20D-3 Page I of 52 UNITED STATES DEPARTMENT OF THE INTERIOR BUREAU OF RECLAMATION ASSISTANCE AGREEMENT IA. AGREEMENT NUMBER IB.MODNUMBER 2. TYPEOFAGREEMENT 3. CLASS OF RECIPIENT R18AP00081 ® OOON I ❑ COOPERATIVE AGREEMENT City Townshi Y or Township Government 4. ISSUING OFFICE 5. RECIPIENT Bureau of Reclamation City of Santa Ana Acquisitions and Assistance Operations Branch 20 Civic Center Plz FI 8 Financial Assistance Support Section Santa Ana, CA 92701-4058 P.O. Box 25007, MS 84-27810 Denver, CO 80225-5007 FIN p: 95-6000785 County: Orange DUNS 9: 083153247 Congress. Dist: CA-46 6. RECIPIENT PROJECT MANAGER 7A. INITIAL AGREEMENT 7B. MODIFICATION EFFECTIVE DATE: Rudy Rosas, Sr. Civil Engineer EFFECTIVE DATE: City of Santa Ana See Block 13.a below 20 Civic Center Plz FI 8 8. COMPLETION DATE Santa Ana, CA 92701-405$ 714-647-3379 December 31, 2020 Rrosas@a:Santa-Ana.org 9A. PROGRAM STATUTORY AUTHORITY 9B. CFDA Number Section 6002 of the COOPERATIVE WATERSHED MANAGEMENT ACT, P.L. 111-11 15.554 (42 USC 10364) 10. FUNDING INFORMATION NON-FEDERAL RECLAMATION TOTAL PROJECT COSTS Total Estimated Amount ofAgreement $3,890,000.00 $750,000.00 $4,630,000.00 This Obligation $3,890,000.00 $740,000.00 $4,620,000.00 Previous Obligation $0.00 $0.00 $0.00 Total Obligation $3,890,000.00 $740,000.00 $4,620,000.00 11. PROJECT T LE Well R habilitation Improvements 12a. Ace et farce this Assistance Agreement in accordance with the terns and 13a. Award of this Assistance Agreement in accordance with the terms and condi bns co fain d herein is hereby made on behalf of the above -named conditions contained herein is hereby made on behalf of the United States MCI t of America, Department of the Interior, Bureau of Reclamation BY: tw BY: [ DATE: `�' DATE: 12b, NAME AND TITIT/LOOrFF SIGNER 13b. NAME OF GRANTS OFFICER EleWTIVE DI0.t'Rrj(- OF ?061AL Agreement Template (032019) 20D-4 Page 1 of 52 UNITED STATES DEPARTMENT OF THE INTERIOR BUREAU OF RECLAMATION ASSISTANCE AGREEMENT IA. AGREEMENT NUMBER IB. MOD NUMBER 2. TYPEOFAGREEMENT 3. CLASS OF RECIPIENT R18AP00081 CK GRANT ❑ COOPERATIVEAGREEMENT Ci or Townshi Government ty P 4. ISSUING OFFICE 5. RECIPIENT Bureau of Reclamation City of Santa Ana Acquisitions and Assistance Operations Branch 20 Civic Center Plz FI 8 Financial Assistance Support Section Santa Ana, CA 92701-4058 P.O. Box 25007, MS 84-27810 Denver, CO 80225-5007 FIN #: 95-6000785 cmnnty: Orange DUNS #: 1 083153247 Congress Dist: I CA46 6. RECIPIENT PROJECT MANAGER 7A- INITIAL AGREEMENT 7B. MODIFICATION EFFECTIVE DATE: EFFECTIVE DATE: Rudy Rosas, Sr. Civil Engineer City of Santa Ana See Block 13.a below 20 Civic Center Plz Fl 8 8. COMPLETION DATE Santa Ana, CA 927014058 714-647-3379 December 31, 2020 Rrosas(itSanta-Ana. mg 9A. PROGRAM STATUTORY AUTHORITY 913. CFDA Number Section 6002 of the COOPERATIVE WATERSHED MANAGEMENT ACT, P.L. 111-11 15.554 (42 USC 10364) 10. FUNDING INFORMATION NON-FEDERAL RECLAMATION TOTAL PROJECFCOSTS Total Estimated Amountofwgreement $3,890,000.00 $750,000.00 $4,630,000.00 This Obligation $3,890,000.00 $740,000.00 $4,620,000.00 Previous Obligation $0.00 $0.00 $0.00 Total Obligation $3,890,000.00 $740,000.00 $4,620,000.00 11. PROJECT TITLE Well 32 Rehabilitation Improvements 12a. Acceptance o£this Assistance Agreement in accordance with the terms and 13a. Award o£this Assistance Agreement in accordance with the terms and conditions contained herein is hereby made on behalf of the above -named conditions contained herein is hereby made on behalf of the United States recipient of America, Department ofthe Interior, Bureau of Reclamation BY: BY: DATE: DATE: 12b. NAME AND TITLE OF SIGNER 13b. NAME OF GRANTS OFFICER Agreement Template 20 D-5 (03/2019) Page 2 of 52 TABLE OF CONTENTS L OVERVIEW AND SCHEDULE............................................................................................. 4 1. AUTHORITY........................................................................................................................ 4 2. PUBLIC PURPOSE OF SUPPORT OR STIMULATION................................................... 5 3. BACKGROUND AND OBJECTIVES................................................................................. 5 4. PERIOD OF PERFORMANCE AND FUNDS AVAILABILITY ....................................... 6 5. SCOPE OF WORK AND MILESTONES............................................................................ 6 6. RESPONSIBILITY OF THE PARTIES............................................................................... 6 7. BUDGET............................................................................................................................... 9 8. KEY PERSONNEL............................................................................................................. 11 10. REPORTING REQUIREMENTS AND DISTRIBUTION .............................................. 12 11. REGULATORY COMPLIANCE..................................................................................... 15 11. AGRICULTURAL OPERATIONS [Public Law 111-11, Section 9504(a)(3)(B)]........... 16 12. TITLE TO IMPROVEMENTS [Public Law 111-11, Section 9504(a)(3)(D)] .................. 16 13. OPERATION AND MAINTENANCE COSTS [Public Law 111-11, Section 9504(a)(3)(E)(iv.)].............................................................................................................. 16 14. LIABILITY [Public Law 111-11, Section 9504(a)(3)(F)]................................................. 16 Il. RECLAMATION STANDARD TERMS AND CONDITIONS.......................................18 1. REGULATIONS.................................................................................................................. 18 2. PAYMENT.......................................................................................................................... 18 3. PROCUREMENT STANDARDS (2 CFR 200.317 through 200.326) ............................... 22 4. EQUIPMENT (2 CFR 200.313).......................................................................................... 32 5. SUPPLIES (2 CFR 200.314)............................................................................................... 35 6. INSPECTION...................................................................................................................... 35 7. AUDIT REQUIREMENTS (2 CFR 200.501)..................................................................... 35 8. REMEDIES FOR NONCOMPLIANCE (2 CFR 200.338)................................................. 37 9. TERMINATION (2 CFR 200.339)...................................................................................... 37 10. DEBARMENT AND SUSPENSION (2 CFR 1400)......................................................... 38 11. DRUG -FREE WORKPLACE (2 CFR 182 and 1401)...................................................... 38 12. ASSURANCES AND CERTIFICATIONS INCORPORATED BY REFERENCE........ 38 13. COVENANT AGAINST CONTINGENT FEES.............................................................. 39 14. TRAFFICKING VICTIMS PROTECTION ACT OF 2000 (2 CFR 175.15) ................... 39 Agreement No. R18AP00081 Agreement Template 20 D-6 (03/2019) Page 3 of 52 15. NEW RESTRICTIONS ON LOBBYING (43 CFR 18).................................................... 41 16. UNIFORM RELOCATION ASSISTANCE AND REAL PROPERTY ACQUISITION POLICIES ACT OF 1970 (URA) (42 USC 4601 et seq) ................................................. 42 17. SYSTEM FOR AWARD MANAGEMENT and Universal Identifier Requirements (2 CFR25, Appendix A)........................................................................................................ 43 18. PROHIBITION ON TEXT MESSAGING AND USING ELECTRONIC EQUIPMENT SUPPLIED BY THE GOVERNMENT WHILE DRIVING ............................................. 44 19. REPORTING SUBAWARDS AND EXECUTIVE COMPENSATION (2 CFR 170 APPENDIXA)................................................................................................................... 44 20. RECIPIENT EMPLOYEE WHISTLEBLOWER RIGHTS AND REQUIREMENT TO INFORM EMPLOYEES OF WHISTLEBLOWER RIGHTS (SEP 2013) ....................... 48 21. RECIPIENT INTEGRITY AND PERFORMANCE MATTERS (APPENDIX XII to 2 CFRPart 200)..................................................................................................................... 49 22. CONFLICTS OF INTEREST............................................................................................. 51 23. DATA AVAILABILITY.................................................................................................... 52 Agreement No. R18AP00081 Agreement Template 20 D-7 (03/2019) Page 4 of 52 Financial Assistance Agreement Between Bureau of Reclamation And City of Santa Ana For Well 32 Rehabilitation Improvements I. OVERVIEW AND SCHEDULE 1. AUTHORITY This Financial Assistance Agreement (Agreement) is entered into between the United States of America, acting through the Department of the Interior, Bureau of Reclamation (Reclamation) and City of Santa Ana (Recipient), pursuant to Section 9504(a) of the SECURE WATER ACT, Subtitle F of Title IX of the OMNIBUS PUBLIC LAND MANAGEMENT ACT OF 2009,. The following section, provided in full text, authorizes Reclamation to award this fmancial assistance agreement: SEC. 9504. WATER MANAGEMENT IMPROVEMENT. (a) AUTHORIZATION OF GRANTS AND COOPERATIVE AGREEMENTS.— (1) AUTHORITY OF SECRETARY. —The Secretary may provide any grant to, or enter into an agreement with, any eligible applicant to assist the eligible applicant in planning, designing, or constructing any improvement — (A) to conserve water; (B) to increase water use efficiency; (C) to facilitate water markets; (D) to enhance water management, including increasing the use of renewable energy in the management and delivery of water; (E) to accelerate the adoption and use of advanced water treatment technologies to increase water supply; (F) to prevent the decline of species that the United States Fish and Wildlife Service and National Marine Fisheries Service have proposed for listing under the Endangered Species Act of 1973 (16 U.S.C. 1531 et seq.) (or candidate species that are being considered by those agencies for such listing but are not yet the subject of a proposed rule); Agreement No. R18AP00081 Agreement Template 20 D-8 (03/2019) Page 5 of 52 (G) to accelerate the recovery of threatened species, endangered species, and designated critical habitats that are adversely affected by Federal reclamation projects or are subject to a recovery plan or conservation plan under the Endangered Species Act of 1973 (16 U.S.C. 1531 et seq.) under which the Commissioner of Reclamation has implementation responsibilities; or (H) to carry out any other activity— (i) to address any climate -related impact to the water supply of the United States that increases ecological resiliency to the impacts of climate change; or (ii) to prevent any water -related crisis or conflict at any watershed that has a nexus to a Federal reclamation project located in a service area. 2. PUBLIC PURPOSE OF SUPPORT OR STIMULATION The proposed Well 32 Rehabilitation Improvements (Project) achieves the public purpose of the Act: (A) to conserve water and (B) to increase water use efficiency — The Project will rehabilitate Well 32 and assist the City in building long-term drought resilience by increasing local water supplies and decreasing reliance on imported water supplies. This will improve regional water security and drought resiliency. 3. BACKGROUND AND OBJECTIVES Through WaterSMART (Sustain and Manage America's Resources for Tomorrow), Reclamation leverages Federal and non -Federal funding to work cooperatively with states, tribes, and local entities as they plan for and implement actions to increase water supply reliability through investments and attention to local water conflicts. Working together with our stakeholders, WaterSMART provides support for the Department of the Interior's priorities, including creating a legacy of conservation stewardship, sustainably developing our energy and natural resources, modernizing our infrastructure through public -private partnerships, and restoring trust with local communities by improving relationships and communication with states, tribes, local governments, communities, landowners and water users. Reclamation's WaterSMART Drought Response Program supports a proactive approach to drought by providing financial assistance to water managers to develop and update comprehensive drought plans (Drought Contingency Planning) and implement projects that will build long-term resiliency to drought (Drought Resiliency Projects). The Drought Response Program specifically contributes to the Department of the Interior's priorities to create a legacy of conservation stewardship, modernize our infrastructure, and restore trust with local communities by providing funding to states, tribes, and local governments to prepare for and address drought in advance of a crisis. Agreement No. R18AP00081 Agreement Template 20 D-9 (03/2019) Page 6 of 52 Through the Drought Response Program, Reclamation invites states, tribes, irrigation districts, water districts, and other organizations with water or power delivery authority to leverage their money and resources by cost sharing with Reclamation on Drought Resiliency Projects that will increase the reliability of water supply; improve water management; and provide benefits for fish, wildlife, and the environment to mitigate impacts caused by drought. The City of Santa Ana, in Orange County, California, will rehabilitate existing Well 32 that was decommissioned in 2004 due to high nitrate concentrations and operational inefficiencies. The City will retrofit the well to meet current standards and will also construct approximately 3,250 feet of new pipeline to convey the well's flow to Garthe Reservoir where the water will be blended with other water sources to lower nitrate levels. This project will provide the City with an additional 4,000 acre-feet of water per year for municipal and industrial use. Rehabilitating Well 32 will assist the City in building long-term drought resilience by increasing local water supplies and decreasing reliance on imported water supplies. This project supports goals identified in the City's Drought Action Plan. 4. PERIOD OF PERFORMANCE AND FUNDS AVAILABILITY This Agreement becomes effective on the date shown in Block 13a of Page 1 of this agreement, United States of America, Department of the Interior, Bureau of Reclamation, Assistance Agreement. The Agreement shall remain in effect until the date shown in Block 8 of Page 1 of this agreement, United States of America, Department of the Interior, Bureau of Reclamation, Assistance Agreement. The period of performance for this Agreement may only be modified through written modification of the Agreement by a Reclamation Grants Officer (GO). No legal liability on the part of the Government for any payment may arise until funds are made available, in writing, to the Recipient by the Grants Officer. The total estimated amount of federal funding for this agreement is $750,000.00, of which the initial amount of federal funds available is limited to $740,000.00 as indicated by "this obligation" within Block 10 of Page 1 of this agreement, United States of America, Department of the Interior, Bureau of Reclamation, Assistance Agreement. Subject to the availability of Congressional appropriations, subsequent funds will be made available for payment through written modifications to this agreement by a Reclamation Grants Officer. 5. SCOPE OF WORK AND MILESTONES City of Santa Ana Water Well No. 32 was originally drilled in 1984 and had the capacity to produce up to 4000 acre-feet of groundwater per year. Due to its later high nitrate concentrations and low operational deficiencies, the City discontinued groundwater production from Well 32 in 2004. This project will blend high nitrate water produced by Well 32 with low nitrate levels of groundwater produced by Santa Ana Wells 36 and 39, in the reservoirs located at the John Garthe Pump Station Complex. Major components of this project include: 1. Rehabilitate Well -This includes cleaning the entire well casing, including all well screens with chemical (i.e. acids) and mechanical (i.e. nylon wire brush) methods. The well head will be raised to meet current California Division of Drinking Water Agreement No. R18AP00081 Agreement Template 2 0 D -1 0 (03/2019) Page 7 of 52 recommendations. This includes extending the well casing, including associated column casings and tubings. 2. Discharge piping - Construction of approximately 3,600 lineal feet of new pipeline to convey flows from Well 32 to Garthe Reservoir. 3. New Pumping Equipment - This includes pump and motor, piping, valves, disinfection, and monitoring equipment. 4. Electrical Equipment Replacement - This includes a switchgear, control panel, variable frequency drive, telemetry, lighting, and programming. 5. Building Modifications — This include removing the top of the existing vault and a constructing a new well pump building around the well head. The building will have a flat roof with a parapet and include cement masonry unit walls, a concrete slab, and foundation. This task also includes construction of a second building for the on -site generation system to disinfect the well water before it is discharged to Garthe Reservoir. 6. Site Improvements and Landscaping - This includes restoration of park facilities disturbed as part of the project (parking lot, walkway, landscape) as well as constructing walkable access pathways and installing new landscape to both enhance and mitigate the affected park-scape. The milestones for completing the scope of work are: Milestone / Task / Activity Planned Start Date Planned Completion Date Complete Environmental and Cultural Compliance December 2018 November 2019 Bidding October 2019 November 2019 Award Construction Contract December 2019 December 2019 Mobilization and Excavation February 2020 February 2021 Pipeline and Pump Installation September 2020 November 2020 Complete Inspections and Site cleanup March 2020 March 2021 6. RESPONSIBILITY OF THE PARTIES 6.1 Recipient Responsibilities 6.1.1 The Recipient shall carry out the Scope of Work (SOW) in accordance with the terms and conditions stated herein. The Recipient shall adhere to Federal, state, and local laws, regulations, and codes, as applicable, and shall obtain all required approvals and permits. If the SOW contains construction activities, the Recipient is responsible for construction inspection, Agreement No. R18AP00081 Agreement Template 2 0 D -1 1 (03/2019) Page 8 of 52 oversight, and acceptance. If applicable, the Recipient shall also coordinate and obtain approvals from site owners and operators. 6.1.2 Interim Performance Reports. The Recipient shall prepare and submit to Reclamation interim Project performance reports (Interim Performance Reports) as required by Section 1.9 of this Agreement. Each Interim Performance Report will include (but is not limited to) the information identified in paragraph I.9.3 and will discuss the following: • A comparison of actual accomplishments to the milestones established by the financial assistance agreement for the reporting period • The reasons why established milestones were not met, if applicable • The status of milestones from the previous reporting period that were not met, if applicable • Whether the Project is on schedule and within the original cost estimate • Any additional pertinent information or issues related to the status of the Project 6.1.3 Final Project Report. The Recipient shall prepare and submit to Reclamation a final Project performance report (Final Project Report) as required by Section I.9 of this Agreement. The Final Project Report will include (but is not limited to) the information identified in paragraph 1.9.3 and will discuss the following: • Whether the Project objectives and goals were met • Discussion of the benefits achieved by the Project, including information and/or calculations supporting the benefits • How the Project improves long-term resiliency to drought • How the Project demonstrates collaboration, if applicable Photographs documenting the project are also appreciated. Recipient understands that Reclamation may print photos with appropriate credit to Recipient. Recipient also understands that the Final Project Report is a public document and may be made available on Reclamation's website, www.usbr.gov/drought. 6.1.4 Post -award cost documentation. During pre -award clarifications, there was insufficient documentation to support the construction contract cost estimate. Therefore, prior to any request for drawdown of Reclamation funding, Recipient shall provide sufficient support for the allowability, allocability, and reasonableness of costs for the estimated construction contract cost line -item in the budget. Sufficient support can be in the form of source documentation that supports the full estimated contract cost (such as quotes, market research, etc.) or actual, final competitive bid documents to include proposal/quote requests, bid tabulations, and selection documentation. Grants Officer approval of the construction contract costs will be documented by formal modification to the Agreement. Agreement No. R18AP00081 Agreement Template 2 0 D -1 2 (03/2019) Page 9 of 52 6.2 Reclamation Responsibilities 6.2.1 Reclamation will monitor and provide Federal oversight of activities performed under this Agreement. Monitoring and oversight includes review and approval of financial status and performance reports, payment requests, and any other deliverables identified as part of the SOW. Additional monitoring activities may include site visits, conference calls, and other on -site and off -site monitoring activities. At the Recipient's request, Reclamation may also provide technical assistance to the Recipient in support of the SOW and objectives of this Agreement. 7. BUDGET 7.1 Budget Estimate. The following is the estimated budget for this Agreement. As Federal financial assistance agreements are cost -reimbursable, the budget provided is for estimation purposes only. Final costs incurred under the budget categories listed may be either higher or lower than the estimated costs. All costs incurred by the Recipient under this agreement must be in accordance with any pre -award clarifications conducted between the Recipient and Reclamation, as well as with the terms and conditions of this agreement. Final determination of the allowability, allocability, or reasonableness of costs incurred under this agreement is the responsibility of the Grants Officer. Recipients are encouraged to direct any questions regarding allowability, allocability or reasonableness of costs to the Grants Officer for review prior to incurrence of the costs in question. BUDGET ITEM DESCRIPTION COMPUTATION Quantity ,type TOTAL ESTIMATED COST $/Unit Quantity Construction Contract Construction (Well 32 and Pipeline) $4,620,000.00 1 Ls $4,620,000.00* Other Reclamation Environmental Holdback $10,000.00 1 Ls $10,000.00 TOTAL DIRECT COSTS $4,630,000.00 Indirect Costs N/A TOTAL ESTIMATED PROJECT COSTS $4,630,000.00 *This budget includes estimated costs that were unsupportable at the time of award. As these cost elements and activities are vital to the successful completion of the project, the budget will be revised via modification after the Recipient has fimilshed the items required by 6.1.4. In accordance with Section 6.1.4, no reimbursement for costs, will be approved until all of the project costs have been supported and a budget is approved by the Grants Officer, and incorporated in the agreement via formal modification to the agreement. Agreement No. R18AP00081 Agreement Template 2 0 D -1 3 (03/2019) Page 10 of 52 7.2 Cost Sharing Requirement At least 50 % non -Federal cost -share is required for costs incurred under this Agreement. If pre - award costs are authorized, reimbursement of these costs is limited to federal cost share percentage identified in this agreement. Based on the budget estimate reflected in Section 7.1, the estimated Federal share of allowable costs is 84% and the Recipient's estimated non -Federal cost share is 16%. The Federal share of allowable costs shall not be expended in advance of the Recipient's non -Federal share. It is expected that expenditure of Federal and non -Federal funds based upon the estimated cost share percentages shall occur concurrently. At the end of the period of performance, if the final costs are lower than the original estimate and the XX% non -Federal cost share is met, the final payment and financial report can reflect a lower Recipient cost share than the original budget estimate. If a bona fide need arises which requires the expenditure of Federal funds in advance of the Recipient share, then the Recipient must request written approval from the Grants Officer prior to the expenditure. Recipient's may expend their agreed upon share of costs in advance of the expenditure of Federal funds without prior written approval. 7.3 Pre -Award Incurrence of Costs The Recipient is not authorized to incur costs prior to the award of this Agreement. Costs incurred prior to the award of this agreement are not allowable. 7.4 Allowable Costs Costs incurred for the performance of this Agreement must be allowable, allocable to the project, and reasonable. The following regulations, codified within the Code of Federal Regulations (CFR), governs the allowability of costs for Federal financial assistance: 2 CFR 200 Subpart E, "Cost Principles" Expenditures for the performance of this Agreement must conform to the requirements within this CFR. The Recipient must maintain sufficient documentation to support these expenditures. Questions on the allowability of costs should be directed to the GO responsible for this Agreement. The Recipient shall not incur costs or obligate funds for any purpose pertaining to operation of the program or activities beyond the expiration date stated in the Agreement. The only costs which are authorized for a period of up to 90 days following the project performance period are those strictly associated with closeout activities for preparation of the final reports. 7.5 Revision of Budget and Program Plans Agreement No. R18AP00081 Agreement Template 2 0 D -1 4 (03/2019) Page 11 of 52 In accordance with 2 CFR 200.308(g) the recipient must request prior written approval for any of the following changes: (a) A change in the approved scope of work or associated tasks, even if there is no associated budget revisions. (b) Revisions which require additional Federal funds to complete the project. (c) Revisions which involve specific costs for which prior written approval requirements may be imposed consistent with OMB cost principles listed in 2 CFR 200 Subpart E "Cost Principles". 7.6 Modifications Any changes to this Agreement shall be made by means of a written modification. Reclamation may make changes to the Agreement by means of a unilateral modification to address changes in address, no -cost time extensions, changes to Key Personnel, the addition of previously agreed upon fending, or administrative corrections which do not impact the terms and conditions of this agreement. Additionally, a unilateral modification may be utilized by Reclamation if it should become necessary to suspend or terminate the Agreement in accordance with 2 CFR 200.338. All other changes shall be made by means of a bilateral modification to the Agreement. No oral statement made by any person, or written statement by any person other than the GO, shall be allowed in any manner or degree to modify or otherwise effect the terms of the Agreement. All requests for modification of the Agreement shall be made in writing, provide a full description of the reason for the request, and be sent to the attention of the GO. Any request foi project extension shall be made at least 45 days prior to the expiration date of the Agreement or the expiration date of any extension period that may have been previously granted. Any determination to extend the period of performance or to provide follow-on funding for continuation of a project is solely at the discretion of Reclamation. 8. KEY PERSONNEL 8.1 Recipient's Key Personnel. The Recipient's Project Manager for this Agreement shall be: Rudy Rosas, Sr. Civil Engineer City of Santa Ana 20 Civic Center Piz FI 8 Santa Ana, CA 92701-4058 714-647-3379 Rr o s a s ng S ant a -An a. o r g Additional administrative contacts for this Agreement are identified as follows: Agreement No. R18AP00081 Agreement Template 2 0 D -1 5 (03/2019) Page 12 of 52 Nabil Saba, Water Resources Manager City of Santa Ana 20 Civic Center Piz Fl 8 Santa Ana, CA 92701-4058 714-647-3378 Nsaba(a,Santa-Ana.Org 9. LIMITATION OF AUTHORITIES 9.1 Grants Officer The Grants Officer is the only official with legal delegated authority to represent Reclamation. The Grants Officer's responsibilities include, but are not limited to, the following: (a) Formally obligate Reclamation to expend funds or change the funding level of the Agreement; (b) Approve through formal modification changes in the scope of work and/or budget; (c) Approve through formal modification any increase or decrease in the period of performance of the Agreement; (d) Approve through formal modification changes in any of the expressed terms, conditions, or specifications of the Agreement; (e) Be responsible for the overall administration, management, and other non -programmatic aspects of the Agreement including, but not limited to, interpretation of financial assistance statutes, regulations, circulars, policies, and terms of the Agreement; Where applicable, ensures that Reclamation complies with the administrative requirements required by statutes, regulations, circulars, policies, and terms of the Agreement. 9.2 Grants Management Specialist The Grants Management Specialist is the primary administrative point of contact for this agreement and should be contacted regarding issues related to the day-to-day management of the agreement. Requests for approval regarding the terms and conditions of the agreement, including but not limited to modifications and prior approval, may only be granted, in writing, by a Reclamation Grants Officer. Please note that for some agreements, the Grants Officer and the Grants Management Specialist may be the same individual. 10. REPORTING REQUIREMENTS AND DISTRIBUTION 10.1 Noncompliance. Failure to comply with the reporting requirements contained in this Agreement may be considered a material noncompliance with the terms and conditions of the award. Noncompliance may result in withholding of payments pending receipt of required reports, denying both the use of funds and matching credit for all or part of the cost of the Agreement No. R18AP00081 Agreement Template 2 0 D -1 6 (03/2019) Page 13 of 52 activity or action not in compliance, whole or partial suspension or termination of the Agreement, recovery of funds paid under the Agreement, withholding of future awards, or other legal remedies in accordance with 2 CFR 200.338. 10.2 Financial Reports. Federal Financial Reports shall be submitted by means of the SF-425 and shall be submitted according to the Report Frequency and Distribution schedule below. All financial reports shall be signed by an Authorized Certifying Official for the Recipient's organization. 10.3 Monitoring and Reporting Program Performance (2 CFR 200.328) (a) Monitoring by the non -Federal entity. The non -Federal entity is responsible for oversight of the operations of the Federal award supported activities. The non -Federal entity must monitor its activities under Federal awards to assure compliance with applicable Federal requirements and performance expectations are being achieved. Monitoring by the non - Federal entity must cover each program, function or activity. See also 200.331 Requirements for pass -through entities. (b) Non -construction performance reports. The Federal awarding agency must use standard, OMB -approved data elements for collection of performance information (including performance progress reports, Research Performance Progress Report, or such future collections as may be approved by OMB and listed on the OMB Web site). (1) The non -Federal entity must submit performance reports at the interval required by the Federal awarding agency or pass -through entity to best inform improvements in program outcomes and productivity. Intervals must be no less frequent than annually nor more frequent than quarterly except in unusual circumstances, for example where more frequent reporting is necessary for the effective monitoring of the Federal award or could significantly affect program outcomes. Annual reports must be due 90 calendar days after the reporting period; quarterly or semiannual reports must be due 30 calendar days after the reporting period. Alternatively, the Federal awarding agency or pass -through entity may require annual reports before the anniversary dates of multiple year Federal awards. The final performance report will be due 90 calendar days after the period of performance end date. If a justified request is submitted by a non -Federal entity, the Federal agency may extend the due date for any performance report. (2) The non -Federal entity must submit performance reports using OMB -approved governmentwide standard information collections when providing performance information. As appropriate in accordance with above mentioned information collections, these reports will contain, for each Federal award, brief information on the following unless other collections are approved by OMB: (i) A comparison of actual accomplishments to the objectives of the Federal award established for the period. Where the accomplishments of the Federal award can be quantified, a computation of the cost (for example, related to units of Agreement No. R18AP00081 Agreement Template 2 0 D -1 7 (03/2019) Page 14 of 52 accomplishment) may be required if that information will be useful. Where performance trend data and analysis would be informative to the Federal awarding agency program, the Federal awarding agency should include this as a performance reporting requirement. (ii) The reasons why established goals were not met, if appropriate. (iii) Additional pertinent information including, when appropriate, analysis and explanation of cost overruns or high unit costs. (c) Construction performance reports. For the most part, onsite technical inspections and certified percentage of completion data are relied on heavily by Federal awarding agencies and pass -through entities to monitor progress under Federal awards and subawards for construction. The Federal awarding agency may require additional performance reports only when considered necessary. (d) Significant developments. Events may occur between the scheduled performance reporting dates that have significant impact upon the supported activity. In such cases, the non -Federal entity must inform the Federal awarding agency or pass -through entity as soon as the following types of conditions become known: (1) Problems, delays, or adverse conditions which will materially impair the ability to meet the objective of the Federal award. This disclosure must include a statement of the action taken, or contemplated, and any assistance needed to resolve the situation. (2) Favorable developments which enable meeting time schedules and objectives sooner or at less cost than anticipated or producing more or different beneficial results than originally planned. Reclamation requires Performance reporting for all financial assistance awards, both Construction and non -Construction. Performance reports for Construction agreements shall meet the same minimum requirements outlined in 2 CFR 200.328(b)(2) above. 10.4 Report Frequency and Distribution. The following table sets forth the reporting requirements for this Agreement. Please note the first report due date listed for each type of report. Required Reports Interim Reports Final Report Performance Report Format No specific format required. See content Summary of activities completed requirements within Section 9.3 (2 CFR during the entire period of 200.328) above. performance is required. See content requirements within Section 9.3 (2 CFR 200.328) above. Agreement No. R18AP00081 Agreement Template 2 0 D -1 8 (03/2019) Page 15 of 52 Reporting Frequency Semi -Annual Final Report due within 90 days after the end of the period of performance. Reporting Period October 1 through March 31 and April 1 Entire period of performance through September 30. Due Date Within 30 days after the end of the Final Report due within 90 days Reporting Period. after the end of the period of performance or completion of the project. First Report Due Date The first performance report is due for N/A reporting period ending September 30, 2019. Submit to: sha-dro-faoperations(u,usbr.gov sha-dro-faoperations(a),usbr.gov Federal Financial Report Format SF-425 (all sections must be completed) SF-425(all sections must be completed) Reporting Frequency Semi -Annual Final Report due within 90 days after the end of the period of performance. Reporting Period October 1 through March 31 and April 1 Entire period of performance through September 30. Due Date Within 30 days after the end of the Final Report due within 90 days Reporting Period. after the end of the period of performance or completion of project. First Report Due Date The first performance report is due for N/A reporting period ending September 30, 2019. Submit to: sha-dro-faoperati2Rj usbr.gOV sha-dro-faopera!!2RI� 11. REGULATORY COMPLIANCE The Recipient agrees to comply or assist Reclamation with all regulatory compliance requirements and all applicable state, Federal, and local environmental and cultural and paleontological resource protection laws and regulations as applicable to this project. These may include, but are not limited to, the National Environmental Policy Act (NEPA), including the Council on Environmental Quality and Department of the Interior regulations implementing NEPA, the Clean Water Act, the Endangered Species Act, consultation with potentially affected Tribes, and consultation with the State Historic Preservation Office. If the Recipient begins project activities that require environmental or other regulatory compliance approval prior to receipt of written notice from the Grants Officer that all such clearances have been obtained, then Reclamation reserves the right to initiate remedies for non-compliance as defined by 2 CFR 200.338 up to and including unilateral termination of this agreement. If the Recipient begins Agreement No. R18AP00081 Agreement Template 2 0 D —1 9 (03/2019) Page 16 of 52 Project activities that require environmental or other regulatory compliance approval prior to receipt of written notice from the Grants Officer that all such clearances have been obtained, then Reclamation reserves the right to initiate remedies for non-compliance as defined by 2 CFR 200.338 up to and including unilateral termination of this agreement. 11. AGRICULTURAL OPERATIONS [Public Law 111-11, Section 9504(a)(3)(B)] The Recipient shall not use any associated water savings to increase the total irrigated acreage of the Recipient or otherwise increase the consumptive use of water in the operation of the Recipient, as determined pursuant to the law of the State in which the operation of Recipient is located. 12. TITLE TO IMPROVEMENTS [Public Law 111-11, Section 9504(a)(3)(D)] If the activities funded under this Agreement result in an infrastructure improvement to a federally owned facility, the Federal Government shall continue to hold title to the facility and improvements to the facility. 13. OPERATION AND MAINTENANCE COSTS [Public Law 111-11, Section 9504(a)(3)(E)(iv.)] The non -Federal share of the cost of operating and maintaining any infrastructure improvement funded through this Agreement shall be 100 percent. 14. LIABILITY [Public Law 111-11, Section 9504(a)(3)(F)] (a) IN GENERAL. —Except as provided under chapter 171 of title 28, United States Code (commonly known as the "Federal Tort Claims Act"), the United States shall not be liable for monetary damages of any kind for any injury arising out of an act, omission, or occurrence that arises in relation to any facility created or improved under this Agreement, the title of which is not held by the United States. (b) TORT CLAIMS ACT. —Nothing in this section increases the liability of the United States beyond that provided in chapter 171 of title 28, United States Code (commonly known as the "Federal Tort Claims Act"). 15. AGENCY REVIEW OF PAYMENTS WITHIN AUTOMATED STANDARD APPLICATION FOR PAYMENTS (ASAP) SYSTEM Payment requests by the recipient through the ASAP system will require review and approval of the payment request by a Reclamation Grants Officer prior to disbursement. The Recipient must provide documentation of actual costs incurred (including any applicable cost -share) to the Grants Specialist prior to requesting drawdown of funds within the ASAP system to support the payment request. Agreement No. R18AP00081 Agreement Template 2 O D -2 U (03/2019) Page 17 of 52 This specific condition is imposed due to insufficient support to determine whether the costs are reasonable. In order for this specific condition to be removed from this agreement, the Recipient must provide a request for removal of this term, in writing, to the Grants Officer. The request must include a description of the action(s) taken by the Recipient (and corresponding supporting documentation) to address the reason(s) identified above that led to the imposition of this specific condition. If the Grants Officer finds that the Recipient has fully addressed the reason(s) for the imposition of this specific condition, the Grants Officer will remove the term through formal bi-lateral modification of the agreement. Agreement No. R18AP00081 Agreement Template 20 D-2 1 `03/2019) Page 18 of 52 H. RECLAMATION STANDARD TERMS AND CONDITIONS 1. REGULATIONS The regulations at 2 CFR Subtitle A, Chapter II, Part 200 "Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards", are hereby incorporated by reference as though set forth in full text. Failure of a Recipient to comply with any applicable regulation or circular may be the basis for withholding payments for proper charges made by the Recipient and/or for termination of support. 2. PAYMENT 2.1 Payment (2 CFR 200.305). (a) For states, payments are governed by Treasury -State CMIA agreements and default procedures codified at 31 CFR Part 205 "Rules and Procedures for Efficient Federal -State Funds Transfers" and TFM 4A-2000 Overall Disbursing Rules for All Federal Agencies. (b) For non -Federal entities other than states, payments methods must minimize the time elapsing between the transfer of funds from the United States Treasury or the pass - through entity and the disbursement by the non -Federal entity whether the payment is made by electronic funds transfer, or issuance or redemption of checks, warrants, or payment by other means. See also 200.302 Financial management paragraph (b)(6). Except as noted elsewhere in this part, Federal agencies must require recipients to use only OMB -approved standard governmentwide information collection requests to request payment. (1) The non -Federal entity must be paid in advance, provided it maintains or demonstrates the willingness to maintain both written procedures that minimize the time elapsing between the transfer of funds and disbursement by the non -Federal entity, and financial management systems that meet the standards for fund control and accountability as established in this part. Advance payments to a non -Federal entity must be limited to the minimum amounts needed and be timed to be in accordance with the actual, immediate cash requirements of the non -Federal entity in carrying out the purpose of the approved program or project. The timing and amount of advance payments must be as close as is administratively feasible to the actual disbursements by the non -Federal entity for direct program or project costs and the proportionate share of any allowable indirect costs. The non -Federal entity must make timely payment to contractors in accordance with the contract provisions. Agreement No. R18AP00081 Agreement Template 20 D-22 (03/2019) Page 19 of 52 (2) Whenever possible, advance payments must be consolidated to cover anticipated cash needs for all Federal awards made by the Federal awarding agency to the recipient. (i) Advance payment mechanisms include, but are not limited to, Treasury check and electronic funds transfer and must comply with applicable guidance in 31 CFR part 208. (ii) Non -Federal entities must be authorized to submit requests for advance payments and reimbursements at least monthly when electronic fund transfers are not used, and as often as they like when electronic transfers are used, in accordance with the provisions of the Electronic Fund Transfer Act (15 U.S.C. 1693-1693r). (3) Reimbursement is the preferred method when the requirements in paragraph (b) cannot be met, when the Federal awarding agency sets a specific condition per 200.207 Specific conditions, or when the non -Federal entity requests payment by reimbursement. This method may be used on any Federal award for construction, or if the major portion of the construction project is accomplished through private market financing or Federal loans, and the Federal award constitutes a minor portion of the project. When the reimbursement method is used, the Federal awarding agency or pass -through entity must make payment within 30 calendar days after receipt of the billing, unless the Federal awarding agency or pass -through entity reasonably believes the request to be improper. (4) If the non -Federal entity cannot meet the criteria for advance payments and the Federal awarding agency or pass -through entity has determined that reimbursement is not feasible because the non -Federal entity lacks sufficient working capital, the Federal awarding agency or pass -through entity may provide cash on a working capital advance basis. Under this procedure, the Federal awarding agency or pass - through entity must advance cash payments to the non -Federal entity to cover its estimated disbursement needs for an initial period generally geared to the non -Federal entity's disbursing cycle. Thereafter, the Federal awarding agency or pass -through entity must reimburse the non -Federal entity for its actual cash disbursements. Use of the working capital advance method of payment requires that the pass -through entity provide timely advance payments to any subrecipients in order to meet the subrecipient's actual cash disbursements. The working capital advance method of payment must not be used by the pass -through entity if the reason for using this method is the unwillingness or inability of the pass -through entity to provide timely advance payments to the subrecipient to meet the subrecipient's actual cash disbursements. (5) Use of resources before requesting cash advance payments. To the extent available, the non -Federal entity must disburse funds available from program income (including repayments to a revolving fund), rebates, refunds, contract settlements, audit recoveries, and interest earned on such funds before requesting additional cash payments. Agreement No. R18AP00081 Agreement Template 20 D-23 (03/2019) Page 20 of 52 (6) Unless otherwise required by Federal statutes, payments for allowable costs by non - Federal entities must not be withheld at any time during the period of performance unless the conditions of 200.207 Specific conditions, Subpart D—Post Federal Award Requirements of this part, 200.338 Remedies for Noncompliance, or one or more of the following applies: (i) The non -Federal entity has failed to comply with the project objectives, Federal statutes, regulations, or the terms and conditions of the Federal award. (ii) The non -Federal entity is delinquent in a debt to the United States as defined in OMB Guidance A-129, "Policies for Federal Credit Programs and Non -Tax Receivables." Under such conditions, the Federal awarding agency or pass - through entity may, upon reasonable notice, inform the non -Federal entity that payments must not be made for obligations incurred after a specified date until the conditions are corrected or the indebtedness to the Federal Government is liquidated. (iii) A payment withheld for failure to comply with Federal award conditions, but without suspension of the Federal award, must be released to the non -Federal entity upon subsequent compliance. When a Federal award is suspended, payment adjustments will be made in accordance with 200.342 Effects of suspension and termination. (iv) A payment must not be made to a non -Federal entity for amounts that are withheld by the non -Federal entity from payment to contractors to assure satisfactory completion of work. A payment must be made when the non -Federal entity actually disburses the withheld finds to the contractors or to escrow accounts established to assure satisfactory completion of work. (7) Standards governing the use of banks and other institutions as depositories of advance payments under Federal awards are as follows. (i) The Federal awarding agency and pass -through entity must not require separate depository accounts for funds provided to a non -Federal entity or establish any eligibility requirements for depositories for funds provided to the non -Federal entity. However, the non -Federal entity must be able to account for the receipt, obligation and expenditure of funds. (ii) Advance payments of Federal funds must be deposited and maintained in insured accounts whenever possible. Agreement No. R18AP00081 Agreement Template 20 D-24 (03/2019) Page 21 of 52 (8) The non -Federal entity must maintain advance payments of Federal awards in interest -bearing accounts, unless the following apply. (i) The non -Federal entity receives less than $120,000 in Federal awards per year. (ii) The best reasonably available interest -bearing account would not be expected to earn interest in excess of $500 per year on Federal cash balances. (iii) The depository would require an average or minimum balance so high that it would not be feasible within the expected Federal and non -Federal cash resources. (iv) A foreign government or banking system prohibits or precludes interest bearing accounts. (9) Interest earned amounts up to $500 per year may be retained by the non -Federal entity for administrative expense. Any additional interest earned on Federal advance payments deposited in interest -bearing accounts must be remitted annually to the Department of Health and Human Services Payment Management System (PMS) through an electronic medium using either Automated Clearing House (ACH) network or a Fedwire Funds Service payment. Remittances must include pertinent information of the payee and nature of payment in the memo area (often referred to as "addenda records" by Financial Institutions) as that will assist in the timely posting of interested earned on federal funds. Pertinent details include the Payee Account Number (PAN) if the payment originated from PMS, or Agency information if the payment originated from ASAP, NSF or another federal agency payment system. The remittance must be submitted as follows: (i) For ACH Returns: Routing Number: 05 103 6706 Account number: 3 03 000 Bank Name and Location: Credit Gateway—ACH Receiver St. Paul, MN (ii) For Fedwire Returns*: Routing Number: 021030004 Account number: 75010501 Bank Name and Location: Federal Reserve Bank Treas NYC/Funds Transfer Division New York, NY (* Please note organization initiating payment is likely to incur a charge from your Financial Institution for this type of payment) Agreement No. R18AP00081 Agreement Template 2 0 D -2 5 (03/2019) Page 22 of 52 (iii) For International ACH Returns: Beneficiary Account: Federal Reserve Bank of New York/ITS (FRBNY/ITS) Bank: Citibank N.A. (New York) Swift Code: CITIUS33 Account Number: 36838868 Bank Address: 388 Greenwich Street, New York, NY 10013 USA Payment Details (Line 70): Agency Name (abbreviated when possible) and ALC Agency POC: Michelle Haney, (301) 492-5065 (iv) For recipients that do not have electronic remittance capability, please make check** payable to: "The Department of Health and Human Services." Mail Check to Treasury approved lockbox: HHS Program Support Center, P.O. Box 530231, Atlanta, GA 30353-0231 (** Please allow 4-6 weeks for processing of a payment by check to be applied to the appropriate PMS account) (v) Any additional information/instructions may be found on the PMS Web site at http://www.dpm.psc.gov/. 2.2 Payment Method. Recipients must utilize the Department of Treasury Automated Standard Application for Payments (ASAP) payment system to request advance or reimbursement payments. ASAP is a Recipient -initiated payment and information system designed to provide a single point of contact for the request and delivery of Federal funds. ASAP is the only allowable method for request and receipt of payment. Recipient procedures must minimize the time elapsing between the drawdown of Federal funds and the disbursement for agreement purposes. In accordance with 2 CFR 25.200(b)(2) the Recipient shall "Maintain an active SAM registration with current information at all times during which it has an active Federal award or an application or plan under consideration by an agency". If the Recipient allows their SAM registration to lapse, the Recipient's accounts within ASAP will be automatically suspended by Reclamation until such time as the Recipient renews their SAM registration. 3. PROCUREMENT STANDARDS (2 CFR 200.317 through 200.326) 200.317 Procurements by States. When procuring property and services under a Federal award, a state must follow the same policies and procedures it uses for procurements from its non -Federal funds. The state will comply with 200.322 Procurement of recovered materials and ensure that every purchase order or other contract includes any clauses required by section 200.326 Contract provisions. All other non -Federal entities, including subrecipients of a state, will follow 200.318 General procurement standards through 200.326 Contract provisions. Agreement No. R18AP00081 Agreement Template 20 D-26 (03/2019) Page 23 of 52 200.318 General procurement standards. (a) The non -Federal entity must use its own documented procurement procedures which reflect applicable State, local, and tribal laws and regulations, provided that the procurements conform to applicable Federal law and the standards identified in this part. (b) Non -Federal entities must maintain oversight to ensure that contractors perform in accordance with the terms, conditions, and specifications of their contracts or purchase orders. (c) (1) The non -Federal entity must maintain written standards of conduct covering conflicts of interest and governing the actions of its employees engaged in the selection, award and administration of contracts. No employee, officer, or agent may participate in the selection, award, or administration of a contract supported by a Federal award if he or she has a real or apparent conflict of interest. Such a conflict of interest would arise when the employee, officer, or agent, any member of his or her immediate family, his or her partner, or an organization which employs or is about to employ any of the parties indicated herein, has a financial or other interest in or a tangible personal benefit from a firm considered for a contract. The officers, employees, and agents of the non -Federal entity may neither solicit nor accept gratuities, favors, or anything of monetary value from contractors or parties to subcontracts. However, non -Federal entities may set standards for situations in which the financial interest is not substantial or the gift is an unsolicited item of nominal value. The standards of conduct must provide for disciplinary actions to be applied for violations of such standards by officers, employees, or agents of the non -Federal entity. (2) If the non -Federal entity has a parent, affiliate, or subsidiary organization that is not a state, local government, or Indian tribe, the non -Federal entity must also maintain written standards of conduct covering organizational conflicts of interest. Organizational conflicts of interest means that because of relationships with a parent company, affiliate, or subsidiary organization, the non -Federal entity is unable or appears to be unable to be impartial in conducting a procurement action involving a related organization. (d) The non -Federal entity's procedures must avoid acquisition of unnecessary or duplicative items. Consideration should be given to consolidating or breaking out procurements to obtain a more economical purchase. Where appropriate, an analysis will be made of lease versus purchase alternatives, and any other appropriate analysis to determine the most economical approach. (e) To foster greater economy and efficiency, and in accordance with efforts to promote cost- effective use of shared services across the Federal Government, the non -Federal entity is encouraged to enter into state and local intergovernmental agreements or inter -entity Agreement No. R18AP00081 Agreement Template 20 D-27 (03/2019) Page 24 of 52 agreements where appropriate for procurement or use of common or shared goods and services. (f) The non -Federal entity is encouraged to use Federal excess and surplus property in lieu of purchasing new equipment and property whenever such use is feasible and reduces project costs. (g) The non -Federal entity is encouraged to use value engineering clauses in contracts for construction projects of sufficient size to offer reasonable opportunities for cost reductions. Value engineering is a systematic and creative analysis of each contract item or task to ensure that its essential function is provided at the overall lower cost. (h) The non -Federal entity must award contracts only to responsible contractors possessing the ability to perform successfully under the terms and conditions of a proposed procurement. Consideration will be given to such matters as contractor integrity, compliance with public policy, record of past performance, and financial and technical resources. See also 200.212 Suspension and debarment. (i) The non -Federal entity must maintain records sufficient to detail the history of procurement. These records will include, but are not necessarily limited to the following: rationale for the method of procurement, selection of contract type, contractor selection or rejection, and the basis for the contract price. 6) (1) The non -Federal entity may use a time and materials type contract only after a determination that no other contract is suitable and if the contract includes a ceiling price that the contractor exceeds at its own risk. Time and materials type contract means a contract whose cost to a non -Federal entity is the sum of: (i) The actual cost of materials; and (ii) Direct labor hours charged at fixed hourly rates that reflect wages, general and administrative expenses, and profit. (2) Since this formula generates an open-ended contract price, a time -and -materials contract provides no positive profit incentive to the contractor for cost control or labor efficiency. Therefore, each contract must set a ceiling price that the contractor exceeds at its own risk. Further, the non -Federal entity awarding such a contract must assert a high degree of oversight in order to obtain reasonable assurance that the contractor is using efficient methods and effective cost controls. (k) The non -Federal entity alone must be responsible, in accordance with good administrative practice and sound business judgment, for the settlement of all contractual and administrative issues arising out of procurements. These issues include, but are not limited to, source evaluation, protests, disputes, and claims. These standards do not relieve the non -Federal entity of any contractual responsibilities under its contracts. The Agreement No. R18AP00081 Agreement Template 20 D-28 (03/2019) Page 25 of 52 Federal awarding agency will not substitute its judgment for that of the non -Federal entity unless the matter is primarily a Federal concern. Violations of law will be referred to the local, state, or Federal authority having proper jurisdiction. 200.319 Competition. (a) All procurement transactions must be conducted in a manner providing full and open competition consistent with the standards of this section. In order to ensure objective contractor performance and eliminate unfair competitive advantage, contractors that develop or draft specifications, requirements, statements of work, or invitations for bids or requests for proposals must be excluded from competing for such procurements. Some of the situations considered to be restrictive of competition include but are not limited to: (1) Placing unreasonable requirements on firms in order for them to qualify to do business; (2) Requiring unnecessary experience and excessive bonding; (3) Noncompetitive pricing practices between firms or between affiliated companies; (4) Noncompetitive contracts to consultants that are on retainer contracts; (5) Organizational conflicts of interest; (6) Specifying only a "brand name" product instead of allowing "an equal" product to be offered and describing the performance or other relevant requirements of the procurement; and (7) Any arbitrary action in the procurement process. (b) The non -Federal entity must conduct procurements in a manner that prohibits the use of statutorily or administratively imposed state, local, or tribal geographical preferences in the evaluation of bids or proposals, except in those cases where applicable Federal statutes expressly mandate or encourage geographic preference. Nothing in this section preempts state licensing laws. When contracting for architectural and engineering (A/E) services, geographic location may be a selection criterion provided its application leaves an appropriate number of qualified firms, given the nature and size of the project, to compete for the contract. (c) The non -Federal entity must have written procedures for procurement transactions. These procedures must ensure that all solicitations: (1) Incorporate a clear and accurate description of the technical requirements for the material, product, or service to be procured. Such description must not, in competitive procurements, contain features which unduly restrict competition. The description may include a statement of the qualitative nature of the material, product or service to Agreement No. R18AP00081 Agreement Template 20 D-29 (03/2019) Page 26 of 52 be procured and, when necessary, must set forth those minimum essential characteristics and standards to which it must conform if it is to satisfy its intended use. Detailed product specifications should be avoided if at all possible. When it is impractical or uneconomical to make a clear and accurate description of the technical requirements, a "brand name or equivalent' description may be used as a means to define the performance or other salient requirements of procurement. The specific features of the named brand which must be met by offers must be clearly stated; and (2) Identify all requirements which the offerors must fulfill and all other factors to be used in evaluating bids or proposals. (d) The non -Federal entity must ensure that all prequalified lists of persons, firms, or products which are used in acquiring goods and services are current and include enough qualified sources to ensure maximum open and free competition. Also, the non -Federal entity must not preclude potential bidders from qualifying during the solicitation period. [78 FR 78608, Dec. 26, 2013, as amended at 79 FR 75885, Dec. 19, 2014] 200.320 Methods of procurement to be followed. The non -Federal entity must use one of the following methods of procurement. (a) Procurement by micro -purchases. Procurement by micro -purchase is the acquisition of supplies or services, the aggregate dollar amount of which does not exceed the micro - purchase threshold (200.67 Micro -purchase). To the extent practicable, the non -Federal entity must distribute micro -purchases equitably among qualified suppliers. Micro - purchases may be awarded without soliciting competitive quotations if the non -Federal entity considers the price to be reasonable. (b) Procurement by small purchase procedures. Small purchase procedures are those relatively simple and informal procurement methods for securing services, supplies, or other property that do not cost more than the Simplified Acquisition Threshold. If small purchase procedures are used, price or rate quotations must be obtained from an adequate number of qualified sources. Agreement No. R18AP00081 Agreement Template 20 D-30 (03/2019) Page 27 of 52 (c) Procurement by sealed bids (formal advertising). Bids are publicly solicited and a firm fixed price contract (lump sum or unit price) is awarded to the responsible bidder whose bid, conforming with all the material terms and conditions of the invitation for bids, is the lowest in price. The sealed bid method is the preferred method for procuring construction, if the conditions in paragraph (c)(1) of this section apply. (1) In order for sealed bidding to be feasible, the following conditions should be present: (i) A complete, adequate, and realistic specification or purchase description is available; (ii) Two or more responsible bidders are willing and able to compete effectively for the business; and (iii) The procurement lends itself to a firm fixed price contract and the selection of the successful bidder can be made principally on the basis of price. (2) If sealed bids are used, the following requirements apply: (i) Bids must be solicited from an adequate number of known suppliers, providing them sufficient response time prior to the date set for opening the bids, for state, local, and tribal governments, the invitation for bids must be publically advertised; (ii) The invitation for bids, which will include any specifications and pertinent attachments, must define the items or services in order for the bidder to properly respond; (iii) All bids will be opened at the time and place prescribed in the invitation for bids, and for local and tribal governments, the bids must be opened publicly; (iv) A firm fixed price contract award will be made in writing to the lowest responsive and responsible bidder. Where specified in bidding documents, factors such as discounts, transportation cost, and life cycle costs must be considered in determining which bid is lowest. Payment discounts will only be used to determine the low bid when prior experience indicates that such discounts are usually taken advantage of, and (v) Any or all bids may be rejected if there is a sound documented reason. Agreement No. R18AP00081 Agreement Template 20 D-31 (03/2019) Page 28 of 52 (d) Procurement by competitive proposals. The technique of competitive proposals is normally conducted with more than one source submitting an offer, and either a fixed price or cost -reimbursement type contract is awarded. It is generally used when conditions are not appropriate for the use of sealed bids. If this method is used, the following requirements apply: (1) Requests for proposals must be publicized and identify all evaluation factors and their relative importance. Any response to publicized requests for proposals must be considered to the maximum extent practical; (2) Proposals must be solicited from an adequate number of qualified sources; (3) The non -Federal entity must have a written method for conducting technical evaluations of the proposals received and for selecting recipients; (4) Contracts must be awarded to the responsible firm whose proposal is most advantageous to the program, with price and other factors considered; and (5) The non -Federal entity may use competitive proposal procedures for qualifications - based procurement of architectural/engineering (A/E) professional services whereby competitors' qualifications are evaluated and the most qualified competitor is selected, subject to negotiation of fair and reasonable compensation. The method, where price is not used as a selection factor, can only be used in procurement of A/E professional services. It cannot be used to purchase other types of services though A/E firms are a potential source to perform the proposed effort. (e) [Reserved] (f) Procurement by noncompetitive proposals. Procurement by noncompetitive proposals is procurement through solicitation of a proposal from only one source and may be used only when one or more of the following circumstances apply: (1) The item is available only from a single source; (2) The public exigency or emergency for the requirement will not permit a delay resulting from competitive solicitation; (3) The Federal awarding agency or pass -through entity expressly authorizes noncompetitive proposals in response to a written request from the non -Federal entity; or (4) After solicitation of a number of sources, competition is determined inadequate. [78 FR 78608, Dec. 26, 2013, as amended at 79 FR 75885, Dec. 19, 2014] Agreement No. R18AP00081 Agreement Template 20 D-32 (03/2019) Page 29 of 52 200.321 Contracting with small and minority businesses, women's business enterprises, and labor surplus area firms. (a) The non -Federal entity must take all necessary affirmative steps to assure that minority businesses, women's business enterprises, and labor surplus area firms are used when possible. (b) Affirmative steps must include: (1) Placing qualified small and minority businesses and women's business enterprises on solicitation lists; (2) Assuring that small and minority businesses, and women's business enterprises are solicited whenever they are potential sources; (3) Dividing total requirements, when economically feasible, into smaller tasks or quantities to permit maximum participation by small and minority businesses, and women's business enterprises; (4) Establishing delivery schedules, where the requirement permits, which encourage participation by small and minority businesses, and women's business enterprises; (5) Using the services and assistance, as appropriate, of such organizations as the Small Business Administration and the Minority Business Development Agency of the Department of Commerce; and (6) Requiring the prime contractor, if subcontracts are to be let, to take the affirmative steps listed in paragraphs (1) through (5) of this section. 200.322 Procurement of recovered materials. A non -Federal entity that is a state agency or agency of a political subdivision of a state and its contractors must comply with section 6002 of the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act. The requirements of Section 6002 include procuring only items designated in guidelines of the Environmental Protection Agency (EPA) at 40 CFR part 247 that contain the highest percentage of recovered materials practicable, consistent with maintaining a satisfactory level of competition, where the purchase price of the item exceeds $10,000 or the value of the quantity acquired during the preceding fiscal year exceeded $10,000; procuring solid waste management services in a manner that maximizes energy and resource recovery; and establishing an affirmative procurement program for procurement of recovered materials identified in the EPA guidelines. [78 FR 78608, Dec. 26, 2013, as amended at 79 FR 75885, Dec. 19, 2014] Agreement No. R18AP00081 Agreement Template 20 D-33 (03/2019) Page 30 of 52 200.323 Contract cost and puce. (a) The non -Federal entity must perform a cost or price analysis in connection with every procurement action in excess of the Simplified Acquisition Threshold including contract modifications. The method and degree of analysis is dependent on the facts surrounding the particular procurement situation, but as a starting point, the non -Federal entity must make independent estimates before receiving bids or proposals. (b) The non -Federal entity must negotiate profit as a separate element of the price for each contract in which there is no price competition and in all cases where cost analysis is performed. To establish a fair and reasonable profit, consideration must be given to the complexity of the work to be performed, the risk home by the contractor, the contractor's investment, the amount of subcontracting, the quality of its record of past performance, and industry profit rates in the surrounding geographical area for similar work. (c) Costs or prices based on estimated costs for contracts under the Federal award are allowable only to the extent that costs incurred or cost estimates included in negotiated prices would be allowable for the non -Federal entity under Subpart E—Cost Principles of this part. The non -Federal entity may reference its own cost principles that comply with the Federal cost principles. (d) The cost plus a percentage of cost and percentage of construction cost methods of contracting must not be used. 200.324 Federal awarding agency or pass -through entity review. (a) The non -Federal entity must make available, upon request of the Federal awarding agency or pass -through entity, technical specifications on proposed procurements where the Federal awarding agency or pass -through entity believes such review is needed to ensure that the item or service specified is the one being proposed for acquisition. This review generally will take place prior to the time the specification is incorporated into a solicitation document. However, if the non -Federal entity desires to have the review accomplished after a solicitation has been developed, the Federal awarding agency or pass -through entity may still review the specifications, with such review usually limited to the technical aspects of the proposed purchase. (b) The non -Federal entity must make available upon request, for the Federal awarding agency or pass -through entity pre -procurement review, procurement documents, such as requests for proposals or invitations for bids, or independent cost estimates, when: (1) The non -Federal entity's procurement procedures or operation fails to comply with the procurement standards in this part; Agreement No. R18AP00081 Agreement Template 20 D-34 `03/2019) Page 31 of 52 (2) The procurement is expected to exceed the Simplified Acquisition Threshold and is to be awarded without competition or only one bid or offer is received in response to a solicitation; (3) The procurement, which is expected to exceed the Simplified Acquisition Threshold, specifies a "brand name" product; (4) The proposed contract is more than the Simplified Acquisition Threshold and is to be awarded to other than the apparent low bidder under a sealed bid procurement; or (5) A proposed contract modification changes the scope of a contract or increases the contract amount by more than the Simplified Acquisition Threshold. (c) The non -Federal entity is exempt from the pre -procurement review in paragraph (b) of this section if the Federal awarding agency or pass -through entity determines that its procurement systems comply with the standards of this part. (1) The non -Federal entity may request that its procurement system be reviewed by the Federal awarding agency or pass -through entity to determine whether its system meets these standards in order for its system to be certified. Generally, these reviews must occur where there is continuous high -dollar funding, and third party contracts are awarded on a regular basis; (2) The non -Federal entity may self -certify its procurement system. Such self - certification must not limit the Federal awarding agency's right to survey the system. Under a self -certification procedure, the Federal awarding agency may rely on written assurances from the non -Federal entity that it is complying with these standards. The non -Federal entity must cite specific policies, procedures, regulations, or standards as being in compliance with these requirements and have its system available for review. 200.325 Bonding requirements. For construction or facility improvement contracts or subcontracts exceeding the Simplified Acquisition Threshold, the Federal awarding agency or pass -through entity may accept the bonding policy and requirements of the non -Federal entity provided that the Federal awarding agency or pass -through entity has made a determination that the Federal interest is adequately protected. If such a determination has not been made, the minimum requirements must be as follows: (a) A bid guarantee from each bidder equivalent to five percent of the bid price. The "bid guarantee" must consist of a firm commitment such as a bid bond, certified check, or other negotiable instrument accompanying a bid as assurance that the bidder will, upon acceptance of the bid, execute such contractual documents as may be required within the time specified. Agreement No. R18AP00081 Agreement Template 20 D-35 (03/2019) Page 32 of 52 (b) A performance bond on the part of the contractor for 100 percent of the contract price. A "performance bond" is one executed in connection with a contract to secure fulfillment of all the contractor's obligations under such contract. (c) A payment bond on the part of the contractor for 100 percent of the contract price. A "payment bond" is one executed in connection with a contract to assure payment as required by law of all persons supplying labor and material in the execution of the work provided for in the contract. 200.326 Contract provisions. The non -Federal entity's contracts must contain the applicable provisions described in Appendix II to Part 200—Contract Provisions for non -Federal Entity Contracts Under Federal Awards. 4. EQUIPMENT (2 CFR 200.313) See also 200.439 Equipment and other capital expenditures. (a) Title. Subject to the obligations and conditions set forth in this section, title to equipment acquired under a Federal award will vest upon acquisition in the non -Federal entity. Unless a statute specifically authorizes the Federal agency to vest title in the non -Federal entity without further obligation to the Federal Government, and the Federal agency elects to do so, the title must be a conditional title. Title must vest in the non -Federal entity subject to the following conditions: (1) Use the equipment for the authorized purposes of the project during the period of performance, or until the property is no longer needed for the purposes of the project. (2) Not encumber the property without approval of the Federal awarding agency or pass - through entity. (3) Use and dispose of the property in accordance with paragraphs (b), (c) and (e) of this section. (b) A state must use, manage and dispose of equipment acquired under a Federal award by the state in accordance with state laws and procedures. Other non -Federal entities must follow paragraphs (c) through (e) of this section. (c) Use. (1) Equipment must be used by the non -Federal entity 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 the Federal award, and the non -Federal entity must not encumber the property without prior approval of the Federal awarding agency. When no longer needed for the original program or project, the equipment may be used in other Agreement No. R18AP00081 Agreement Template 20 D-36 (03/2019) Page 33 of 52 activities supported by the Federal awarding agency, in the following order of priority: (i) Activities under a Federal award from the Federal awarding agency which funded the original program or project, then (ii) Activities under Federal awards from other Federal awarding agencies. This includes consolidated equipment for information technology systems. (2) During the time that equipment is used on the project or program for which it was acquired, the non -Federal entity must also make equipment available for use on other projects or programs currently or previously supported by the Federal Government, provided that such use will not interfere with the work on the projects or program for which it was originally acquired. First preference for other use must be given to other programs or projects supported by Federal awarding agency that financed the equipment and second preference must be given to programs or projects under Federal awards from other Federal awarding agencies. Use for non -federally -funded programs or projects is also permissible. User fees should be considered if appropriate. (3) Notwithstanding the encouragement in 200.307 Program income to earn program income, the non -Federal entity must not use equipment acquired with the Federal award to provide services for a fee that is less than private companies charge for equivalent services unless specifically authorized by Federal statute for as long as the Federal Government retains an interest in the equipment. (4) When acquiring replacement equipment, the non -Federal entity may use the equipment to be replaced as a trade-in or sell the property and use the proceeds to offset the cost of the replacement property. (d) Management requirements. Procedures for managing equipment (including replacement equipment), whether acquired in whole or in part under a Federal award, until disposition takes place will, as a minimum, meet the following requirements: (1) Property records must be maintained that include a description of the property, a serial number or other identification number, the source of funding for the property (including the FAIN), who holds title, the acquisition date, and cost of the property, percentage of Federal participation in the project costs for the Federal award under which the property was acquired, the location, use and condition of the property, and any ultimate disposition data including the date of disposal and sale price of the property. (2) A physical inventory of the property must be taken and the results reconciled with the property records at least once every two years. Agreement No. R18AP00081 Agreement Template 20 D-37 (03/2019) Page 34 of 52 (3) A control system must be developed to ensure adequate safeguards to prevent loss, damage, or theft of the property. Any loss, damage, or theft must be investigated. (4) Adequate maintenance procedures must be developed to keep the property in good condition. (5) If the non -Federal entity is authorized or required to sell the property, proper sales procedures must be established to ensure the highest possible return. (e) Disposition. When original or replacement equipment acquired under a Federal award is no longer needed for the original project or program or for other activities currently or previously supported by a Federal awarding agency, except as otherwise provided in Federal statutes, regulations, or Federal awarding agency disposition instructions, the non -Federal entity must request disposition instructions from the Federal awarding agency if required by the terms and conditions of the Federal award. Disposition of the equipment will be made as follows, in accordance with Federal awarding agency disposition instructions: (1) Items of equipment with a current per unit fair market value of $5,000 or less may be retained, sold or otherwise disposed of with no further obligation to the Federal awarding agency. (2) Except as provided in 200.312 Federally -owned and exempt property, paragraph (b), or if the Federal awarding agency fails to provide requested disposition instructions within 120 days, items of equipment with a current per -unit fair -market value in excess of $5,000 may be retained by the non -Federal entity or sold. The Federal awarding agency is entitled to an amount calculated by multiplying the current market value or proceeds from sale by the Federal awarding agency's percentage of participation in the cost of the original purchase. If the equipment is sold, the Federal awarding agency may permit the non -Federal entity to deduct and retain from the Federal share $500 or ten percent of the proceeds, whichever is less, for its selling and handling expenses. (3) The non -Federal entity may transfer title to the property to the Federal Government or to an eligible third party provided that, in such cases, the non -Federal entity must be entitled to compensation for its attributable percentage of the current fair market value of the property. (4) In cases where a non -Federal entity fails to take appropriate disposition actions, the Federal awarding agency may direct the non -Federal entity to take disposition actions. [78 FR 78608, Dec. 26, 2013, as amended at 79 FR 75884, Dec. 19, 2014] Agreement No. R18AP00081 Agreement Template 20 D-38 (03/2019) Page 35 of 52 5. SUPPLIES (2 CFR 200.314) See also 200.453 Materials and supplies costs, including costs of computing devices. (a) Title to supplies will vest in the non -Federal entity upon acquisition. If there is a residual inventory of unused supplies exceeding $5,000 in total aggregate value upon termination or completion of the project or program and the supplies are not needed for any other Federal award, the non -Federal entity must retain the supplies for use on other activities or sell them, but must, in either case, compensate the Federal Government for its share. The amount of compensation must be computed in the same manner as for equipment. See 200.313 Equipment, paragraph (e)(2) for the calculation methodology. (b) As long as the Federal Government retains an interest in the supplies, the non -Federal entity must not use supplies acquired under a Federal award to provide services to other organizations for a fee that is less than private companies charge for equivalent services, unless specifically authorized by Federal statute. 6. INSPECTION Reclamation has the right to inspect and evaluate the work performed or being performed under this Agreement, and the premises where the work is being performed, at all reasonable times and in a manner that will not unduly delay the work. If Reclamation performs inspection or evaluation on the premises of the Recipient or a sub -Recipient, the Recipient shall fiimish and shall require sub -recipients to famish all reasonable facilities and assistance for the safe and convenient performance of these duties. 7. AUDIT REQUIREMENTS (2 CFR 200.501) (a) Audit required. A non -Federal entity that expends $750,000 or more during the non - Federal entity's fiscal year in Federal awards must have a single or program -specific audit conducted for that year in accordance with the provisions of this part. (b) Single audit. A non -Federal entity that expends $750,000 or more during the non -Federal entity's fiscal year in Federal awards must have a single audit conducted in accordance with 200.514 Scope of audit except when it elects to have a program -specific audit conducted in accordance with paragraph (c) of this section. (c) Program -specific audit election. When an auditee expends Federal awards under only one Federal program (excluding R&D) and the Federal program's statutes, regulations, or the terms and conditions of the Federal award do not require a financial statement audit of the auditee, the auditee may elect to have a program -specific audit conducted in accordance with 200.507 Program -specific audits. A program -specific audit may not be elected for R&D unless all of the Federal awards expended were received from the same Federal agency, or the same Federal agency and the same pass -through entity, and that Agreement No. R18AP00081 Agreement Template 20 D-39 `03/2019) Page 36 of 52 Federal agency, or pass -through entity in the case of a subrecipient, approves in advance a program -specific audit. (d) Exemption when Federal awards expended are less than $750,000. A non -Federal entity that expends less than $750,000 during the non -Federal entity's fiscal year in Federal awards is exempt from Federal audit requirements for that year, except as noted in 200.503 Relation to other audit requirements, but records must be available for review or audit by appropriate officials of the Federal agency, pass -through entity, and Government Accountability Office (GAO). (e) Federally Funded Research and Development Centers (FFRDC). Management of an auditee that owns or operates a FFRDC may elect to treat the FFRDC as a separate entity for purposes of this part. (f) Subrecipients and Contractors. An auditee may simultaneously be a recipient, a subrecipient, and a contractor. Federal awards expended as a recipient or a subrecipient are subject to audit under this part. The payments received for goods or services provided as a contractor are not Federal awards. Section 200.330 Subrecipient and contractor determinations sets forth the considerations in determining whether payments constitute a Federal award or a payment for goods or services provided as a contractor. (g) Compliance responsibility for contractors. In most cases, the auditee's compliance responsibility for contractors is only to ensure that the procurement, receipt, and payment for goods and services comply with Federal statutes, regulations, and the terms and conditions of Federal awards. Federal award compliance requirements normally do not pass through to contractors. However, the auditee is responsible for ensuring compliance for procurement transactions which are structured such that the contractor is responsible for program compliance or the contractor's records must be reviewed to determine program compliance. Also, when these procurement transactions relate to a major program, the scope of the audit must include determining whether these transactions are in compliance with Federal statutes, regulations, and the terms and conditions of Federal awards. (h) For -profit subrecipient. Since this part does not apply to for -profit subrecipients, the pass - through entity is responsible for establishing requirements, as necessary, to ensure compliance by for -profit subrecipients. The agreement with the for -profit subrecipient must describe applicable compliance requirements and the for -profit subrecipient's compliance responsibility. Methods to ensure compliance for Federal awards made to for - profit subrecipients may include pre -award audits, monitoring during the agreement, and post -award audits. See also 200.331 Requirements for pass -through entities. [78 FR 78608, Dec. 26, 2013, as amended at 79 FR 75887, Dec. 19, 2014] Agreement No. R18AP00081 Agreement Template 20 D-40 (03/2019) Page 37 of 52 8. REMEDIES FOR NONCOMPLIANCE (2 CFR 200.338) 200.338 Remedies for noncompliance. If a non -Federal entity fails to comply with Federal statutes, regulations or the terms and conditions of a Federal award, the Federal awarding agency or pass -through entity may impose additional conditions, as described in 200.207 Specific conditions. If the Federal awarding agency or pass -through entity determines that noncompliance cannot be remedied by imposing additional conditions, the Federal awarding agency or pass -through entity may take one or more of the following actions, as appropriate in the circumstances: (a) Temporarily withhold cash payments pending correction of the deficiency by the non - Federal entity or more severe enforcement action by the Federal awarding agency or pass -through entity. (b) Disallow (that is, deny both use of funds and any applicable matching credit for) all or part of the cost of the activity or action not in compliance. (c) Wholly or partly suspend or terminate the Federal award. (d) Initiate suspension or debarment proceedings as authorized under 2 CFR part 180 and Federal awarding agency regulations (or in the case of a pass -through entity, recommend such a proceeding be initiated by a Federal awarding agency). (e) Withhold further Federal awards for the project or program. (f) Take other remedies that may be legally available. 9. TERMINATION (2 CFR 200.339) (a) The Federal award may be terminated in whole or in part as follows: (1) By the Federal awarding agency or pass -through entity, if a non -Federal entity fails to comply with the terms and conditions of a Federal award; (2) By the Federal awarding agency or pass -through entity for cause; (3) By the Federal awarding agency or pass -through entity with the consent of the non - Federal entity, in which case the two parties must agree upon the termination conditions, including the effective date and, in the case of partial termination, the portion to be terminated; or (4) By the non -Federal entity upon sending to the Federal awarding agency or pass - through entity written notification setting forth the reasons for such termination, the effective date, and, in the case of partial termination, the portion to be terminated. Agreement No. R18AP00081 Agreement Template 20 D-41 (03/2019) Page 38 of 52 However, if the Federal awarding agency or pass -through entity determines in the case of partial termination that the reduced or modified portion of the Federal award or subaward will not accomplish the purposes for which the Federal award was made, the Federal awarding agency or pass -through entity may terminate the Federal award in its entirety. (b) When a Federal award is terminated or partially terminated, both the Federal awarding agency or pass -through entity and the non -Federal entity remain responsible for compliance with the requirements in 200.343 Closeout and 200.344 Post -closeout adjustments and continuing responsibilities. 10. DEBARMENT AND SUSPENSION (2 CFR 1400) The Department of the Interior regulations at 2 CFR 1400—Governmentwide Debarment and Suspension (Nonprocurement), which adopt the common rule for the governmentwide system of debarment and suspension for nonprocurement activities, are hereby incorporated by reference and made a part of this Agreement. By entering into this grant or cooperative Agreement with the Bureau of Reclamation, the Recipient agrees to comply with 2 CFR 1400, Subpart C, and agrees to include a similar term or condition in all lower -tier covered transactions. These regulations are available at http://www.gpoaccess.gov/ecfr/. 11. DRUG -FREE WORKPLACE (2 CFR 182 and 1401) The Department of the Interior regulations at 2 CFR 1401—Governmentwide Requirements for Drug -Free Workplace (Financial Assistance), which adopt the portion of the Drug -Free Workplace Act of 1988 (41 U.S.C. 701 et seq, as amended) applicable to grants and cooperative agreements, are hereby incorporated by reference and made a part of this agreement. By entering into this grant or cooperative agreement with the Bureau of Reclamation, the Recipient agrees to comply with 2 CFR 182. 12. ASSURANCES AND CERTIFICATIONS INCORPORATED BY REFERENCE The provisions of the Assurances, SF 424B or SF 424D as applicable, executed by the Recipient in connection with this Agreement shall apply with frill force and effect to this Agreement. All anti -discrimination and equal opportunity statutes, regulations, and Executive Orders that apply to the expenditure of funds under Federal contracts, grants, and cooperative Agreements, loans, and other forms of Federal assistance. The Recipient shall comply with Title VI or the Civil Rights Act of 1964, Title IX of the Education Amendments of 1972, Section 504 of the Rehabilitation Act of 1973, the Age Discrimination Act of 1975, and any program -specific statutes with anti -discrimination requirements. The Recipient shall comply with civil rights laws including, but not limited to, the Fair Housing Act, the Fair Credit Reporting Act, the Americans with Disabilities Act, Title VII of the Civil Rights Act of 1964, the Equal Educational Opportunities Act, the Age Discrimination in Employment Act, and the Uniform Relocation Act. Such Assurances also include, but are not limited to, the promise to comply with all applicable Federal statutes and orders relating to nondiscrimination in employment, assistance, and housing; Agreement No. R18AP00081 Agreement Template 20 D-42 (03/2019) Page 39 of 52 the Hatch Act; Federal wage and hour laws and regulations and work place safety standards; Federal environmental laws and regulations and the Endangered Species Act; and Federal protection of rivers and waterways and historic and archeological preservation. 13. COVENANT AGAINST CONTINGENT FEES The Recipient warrants that no person or agency has been employed or retained to solicit or secure this Agreement upon an Agreement or understanding for a commission, percentage, brokerage, or contingent fee, excepting bona fide employees or bona fide offices established and maintained by the Recipient for the purpose of securing Agreements or business. For breach or violation of this warranty, the Government shall have the right to annul this Agreement without liability or, in its discretion, to deduct from the Agreement amount, or otherwise recover, the full amount of such commission, percentage, brokerage, or contingent fee. 14. TRAFFICKING VICTIMS PROTECTION ACT OF 2000 (2 CFR 175.15) Trafficking in persons. (a) Provisions applicable to a recipient that is a private entity. (1) You as the recipient, your employees, subrecipients under this award, and subrecipients' employees may not (i) Engage in severe forms of trafficking in persons during the period of time that the award is in effect; (ii) Procure a commercial sex act during the period of time that the award is in effect; or (iii) Use forced labor in the performance of the award or subawards under the award. (2) We as the Federal awarding agency may unilaterally terminate this award, without penalty, if you or a subrecipient that is a private entity — (i) Is determined to have violated a prohibition in paragraph a.l of this award term; or (ii) Has an employee who is determined by the agency official authorized to terminate the award to have violated a prohibition in paragraph a.1 of this award term through conduct that is either: (A) Associated with performance under this award; or (B) Imputed to you or the subrecipient using the standards and due process for imputing the conduct of an individual to an organization that are provided in 2 CFR part 180, "OMB Guidelines to Agencies on Govermnentwide Debarment Agreement No. R18AP00081 Agreement Template 20 D-43 (03/2019) Page 40 of 52 and Suspension (Nonprocurement)," as implemented by our agency at 2 CFR part 1400. (b) Provision applicable to a recipient other than aprivate entity. We as the Federal awarding agency may unilaterally terminate this award, without penalty, if a subrecipient that is a private entity— (1) Is determined to have violated an applicable prohibition in paragraph a.1 of this award term; or (2) Has an employee who is determined by the agency official authorized to terminate the award to have violated an applicable prohibition in paragraph a.I of this award term through conduct that is either: (i) Associated with performance under this award; or (ii) Imputed to the subrecipient using the standards and due process for imputing the conduct of an individual to an organization that are provided in 2 CFR part 180, "OMB Guidelines to Agencies on Govermuentwide Debarment and Suspension (Nonprocurement)," as implemented by our agency at 2 CFR part 1400. (c) Provisions applicable to any recipient. (1) You must inform us immediately of any information you receive from any source alleging a violation of a prohibition in paragraph a.1 of this award term. (2) Our right to terminate unilaterally that is described in paragraph a.2 or b of this section: (i) Implements section 106(g) of the Trafficking Victims Protection Act of 2000 (TVPA), as amended (22 U.S.C. 7104(g)), and (ii) Is in addition to all other remedies for noncompliance that are available to us under this award. (3) You must include the requirements of paragraph a.1 of this award term in any subaward you make to a private entity. (d) Definitions. For purposes of this award term: (1) "Employee" means either: (i) An individual employed by you or a subrecipient who is engaged in the performance of the project or program under this award; or Agreement No. R18AP00081 Agreement Template 20 D-44 (03/2019) Page 41 of 52 (ii) Another person engaged in the performance of the project or program under this award and not compensated by you including, but not limited to, a volunteer or individual whose services are contributed by a third party as an in -kind contribution toward cost sharing or matching requirements. (2) "Forced labor" means labor obtained by any of the following methods: the recruitment, harboring, transportation, provision, or obtaining of a person for labor or services, through the use of force, fraud, or coercion for the purpose of subjection to involuntary servitude, peonage, debt bondage, or slavery. (3) "Private entity": (i) Means any entity other than a state, local government, Indian tribe, or foreign public entity, as those terms are defined in 2 CFR 175.25. (ii) Includes: (A) A nonprofit organization, including any nonprofit institution of higher education, hospital, or tribal organization other than one included in the definition of Indian tribe at 2 CFR 175.25(b). (B) A for -profit organization. (4) "Severe forms of trafficking in persons," "commercial sex act," and "coercion" have the meanings given at section 103 of the TVPA, as amended (22 U.S.C. 7102). 15. NEW RESTRICTIONS ON LOBBYING (43 CFR 18) The Recipient agrees to comply with 43 CFR 18, New Restrictions on Lobbying, including the following certification: (a) No Federal appropriated funds have been paid or will be paid, by or on behalf of the Recipient, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, and 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. Agreement No. R18AP00081 Agreement Template 20 D-45 (03/2019) Page 42 of 52 (c) The Recipient 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 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 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. 16. UNIFORM RELOCATION ASSISTANCE AND REAL PROPERTY ACQUISITION POLICIES ACT OF 1970 (URA) (42 USC 4601 et seq.) (a) The Uniform Relocation Assistance Act (URA), 42 U.S.C. 4601 et seq., as amended, requires certain assurances for Reclamation funded land acquisition projects conducted by a Recipient that cause the displacement of persons, businesses, or farm operations. Because Reclamation funds only support acquisition of property or interests in property from willing sellers, it is not anticipated that Reclamation funds will result in any "displaced persons," as defined under the URA. (b) However, if Reclamation funds are used for the acquisition of real property that results in displacement, the URA requires Recipients to ensure that reasonable relocation payments and other remedies will be provided to any displaced person. Further, when acquiring real property, Recipients must be guided, to the greatest extent practicable, by the land acquisition policies in 42 U.S.C. 4651. (c) Exemptions to the URA and 49 CFR Part 24 (1) The URA provides for an exemption to the appraisal, review and certification rules for those land acquisitions classified as "voluntary transactions." Such `voluntary transactions" are classified as those that do not involve an exercise of eminent domain authority on behalf of a Recipient, and must meet the conditions specified at 49 CFR 24.101(b)(1)(i)-(iv). (2) For any land acquisition undertaken by a Recipient that receives Reclamation funds, but does not have authority to acquire the real property by eminent domain, to be exempt from the requirements of 49 CFR Part 24 the Recipient must: (i) provide written notification to the owner that it will not acquire the property in the event negotiations fail to result in an amicable agreement, and; (ii) inform the owner in writing of what it believes to be the market value of the property (d) Review of Land Acquisition Appraisals. Reclamation reserves the right to review any land appraisal whether or not such review is required under the URA or 49 CFR 24.104. Agreement No. R18AP00081 Agreement Template 20 D-46 (03/2019) Page 43 of 52 Such reviews may be conducted by the Department of the Interior's Appraisal Services Directorate or a Reclamation authorized designee. When Reclamation determines that a review of the original appraisal is necessary, Reclamation will notify the Recipient and provide an estimated completion date of the initial appraisal review. 17. SYSTEM FOR AWARD MANAGEMENT and Universal Identifier Requirements (2 CFR 25, Appendix A) A. Requirement for System for Award Management Unless you are exempted from this requirement under 2 CFR 25.110, you as the recipient must maintain the currency of your information in the SAM until you submit the final financial report required under this award or receive the final payment, whichever is later. This requires that you review and update the information at least annually after the initial registration, and more frequently if required by changes in your information or another award term. B. Requirement for unique entity identifier If you are authorized to make subawards under this award, you: 1. Must notify potential subrecipients that no entity (see definition in paragraph C of this award term) may receive a subaward from you unless the entity has provided its unique entity identifier to you. 2. May not make a subaward to an entity unless the entity has provided its unique entity identifier to you. C. Definitions For purposes of this award term: System for Award Management (SAM) means the Federal repository into which an entity must provide information required for the conduct of business as a recipient. Additional information about registration procedures may be found at the SAM Internet site (currently at http://www.sam.gov). 2. Unique entity identifier means the identifier required for SAM registration to uniquely identify business entities. 3. Entity, as it is used in this award term, means all of the following, as defined at 2 CFR part 25, subpart C: a. A Governmental organization, which is a State, local government, or Indian Tribe; Agreement No. R18AP00081 Agreement Template 20 D-47 (03/2019) Page 44 of 52 b. A foreign public entity; c. A domestic or foreign nonprofit organization; d. A domestic or foreign for -profit organization; and e. A Federal agency, but only as a subrecipient under an award or subaward to a non -Federal entity. 4. Subaward: a. This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient. b. The term does not include your procurement of property and services needed to carry out the project or program (for further explanation, see 2 CFR 200.330). c. A subaward may be provided through any legal agreement, including an agreement that you consider a contract. 5. Subrecipient means an entity that: a. Receives a subaward from you under this award; and b. Is accountable to you for the use of the Federal funds provided by the subaward. 18. PROHIBITION ON TEXT MESSAGING AND USING ELECTRONIC EQUIPMENT SUPPLIED BY THE GOVERNMENT WHILE DRIVING Executive Order 13513, Federal Leadership On Reducing Text Messaging While Driving, was signed by President Barack Obama on October 1, 2009 (ref: httn://edocket.access.eno.gov/2009/ndf/E9-24203.PdD. This Executive Order introduces a Federal Government -wide prohibition on the use of text messaging while driving on official business or while using Government -supplied equipment. Additional guidance enforcing the ban will be issued at a later date. In the meantime, please adopt and enforce policies that immediately ban text messaging while driving company -owned or rented vehicles, government - owned or leased vehicles, or while driving privately owned vehicles when on official government business or when performing any work for or on behalf of the government. 19. REPORTING SUBAWARDS AND EXECUTIVE COMPENSATION (2 CFR 170 APPENDIX A) I. Reporting Subawards and Executive Compensation. Agreement No. R18AP00081 Agreement Template 20 D-48 (03/2019) Page 45 of 52 a. Reporting offarst-tier subawards. Applicability. Unless you are exempt as provided in paragraph d. of this award term, you must report each action that obligates $25,000 or more in Federal funds that does not include Recovery funds (as defined in section 1512(a)(2) of the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5) for a subaward to an entity (see definitions in paragraph e. of this award term). 2. Where and when to report. i. You must report each obligating action described in paragraph a.l. of this award term to http://Www.fsrs.zov. ii. For subaward information, report no later than the end of the month following the month in which the obligation was made. (For example, if the obligation was made on November 7, 2010, the obligation must be reported by no later than December 31, 2010.) What to report. You must report the information about each obligating action that the submission instructions posted at http://Www.fsrs.jzov specify. b. Reporting Total Compensation of Recipient Executives. Applicability and what to report. You must report total compensation for each of your five most highly compensated executives for the preceding completed fiscal year, if— i. the total Federal funding authorized to date under this award is $25,000 or more; ii. in the preceding fiscal year, you received — (A) 80 percent or more of your annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and (B) $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and iii. The public does not have access to information about the compensation of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the Agreement No. R18AP00081 Agreement Template 20 D-49 (03/2019) Page 46 of 52 public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at http://Www.sec.Qov/answerslexecomp.htm.) 2. Where and when to report. You must report executive total compensation described in paragraph b.1. of this award term: i. As part of your registration profile at http://www.ccr.zov. ii. By the end of the month following the month in which this award is made, and annually thereafter. c. Reporting of Total Compensation of Subrecipient Executives. 1. Applicability and what to report. Unless you are exempt as provided in paragraph d. of this award term, for each first -tier subrecipient under this award, you shall report the names and total compensation of each of the subrecipient's five most highly compensated executives for the subrecipient's preceding completed fiscal year, if— i. in the subrecipient's preceding fiscal year, the subrecipient received — (A) 80 percent or more of its annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and (B) $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts), and Federal financial assistance subject to the Transparency Act (and subawards); and ii. The public does not have access to information about the compensation of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at http://www.sec.jzov/answers/execomp.htm.) 2. Where and when to report. You must report subrecipient executive total compensation described in paragraph c.1. of this award term: i. To the recipient. ii. By the end of the month following the month during which you make the subaward. For example, if a subaward is obligated on any date during the month of October of a given year (i.e., between October 1 and 31), you must Agreement No. R18AP00081 Agreement Template 20 D-50 (03/2019) Page 47 of 52 report any required compensation information of the subrecipient by November 30 of that year. d. Exemptions If, in the previous tax year, you had gross income, from all sources, under $300,000, you are exempt from the requirements to report: i. Subawards, and ii. The total compensation of the five most highly compensated executives of any subrecipient. e. Definitions. For purposes of this award term: 1. Entity means all of the following, as defined in 2 CFR part 25: A Governmental organization, which is a State, local government, or Indian tribe; ii. A foreign public entity; iii. A domestic or foreign nonprofit organization; iv. A domestic or foreign for -profit organization; v. A Federal agency, but only as a subrecipient under an award or subaward to a non -Federal entity. 2. Executive means officers, managing partners, or any other employees in management positions. 3. Subaward: i. This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient. ii. The term does not include your procurement of property and services needed to carry out the project or program (for fii ther explanation, see Sec. .210 of the attachment to OMB Circular A-133, "Audits of States, Local Governments, and Non -Profit Organizations"). iii. A subaward may be provided through any legal agreement, including an agreement that you or a subrecipient considers a contract. Agreement No. R18AP00081 Agreement Template 20 D-51 `03/2019) Page 48 of 52 4. Subrecipient means an entity that: i. Receives a subaward from you (the recipient) under this award; and ii. Is accountable to you for the use of the Federal funds provided by the subaward. 5. Total compensation means the cash and noncash dollar value earned by the executive during the recipient's or subrecipient's preceding fiscal year and includes the following (for more information see 17 CFR 229.402(c)(2)): i. Salary and bonus. ii. Awards of stock, stock options, and stock appreciation rights. Use the dollar amount recognized for financial statement reporting purposes with respect to the fiscal year in accordance with the Statement of Financial Accounting Standards No. 123 (Revised 2004) (FAS 123R), Shared Based Payments. iii. Earnings for services under non -equity incentive plans. This does not include group life, health, hospitalization or medical reimbursement plans that do not discriminate in favor of executives, and are available generally to all salaried employees. iv. Change in pension value. This is the change in present value of defined benefit and actuarial pension plans. v. Above -market earnings on deferred compensation which is not tax -qualified. vi. Other compensation, if the aggregate value of all such other compensation (e.g. severance, termination payments, value of life insurance paid on behalf of the employee, perquisites or property) for the executive exceeds $10,000. 20. RECIPIENT EMPLOYEE WHISTLEBLOWER RIGHTS AND REQUIREMENT TO INFORM EMPLOYEES OF WHISTLEBLOWER RIGHTS (SEP 2013) (a) This award and employees working on this financial assistance agreement will be subject to the whistleblower rights and remedies in the pilot program on Award Recipient employee whistleblower protections established at 41 U.S.C. 4712 by section 828 of the National Defense Authorization Act for Fiscal Year 2013 (Pub.L. 112-239). (b) The Award Recipient shall inform its employees in writing, in the predominant language of the workforce, of employee whistleblower rights and protections under 41 U.S.0 4712. (c) The Award Recipient shall insert the substance of this clause, including this paragraph (c), in all subawards or subcontracts over the simplified acquisition threshold. 48 CFR 52.203-17 (as referenced in 48 CFR 3.908-9). Agreement No. R18AP00081 Agreement Template 20 D-52 (03/2019) Page 49 of 52 21. RECIPIENT INTEGRITY AND PERFORMANCE MATTERS (APPENDIX XII to 2 CFR Part 200) A. Reporting of Matters Related to Recipient Integrity and Performance 1. General Reporting Requirement If the total value of your currently active grants, cooperative agreements, and procurement contracts from all Federal awarding agencies exceeds $10,000,000 for any period of time during the period of performance of this Federal award, then you as the recipient during that period of time must maintain the currency of information reported to the System for Award Management (SAM) that is made available in the designated integrity and performance system (currently the Federal Awardee Performance and Integrity Information System (FAPIIS)) about civil, criminal, or administrative proceedings described in paragraph 2 of this award term and condition. This is a statutory requirement under section 872 of Public Law 110-417, as amended (41 U.S.C. 2313). As required by section 3010 of Public Law 111-212, all information posted in the designated integrity and performance system on or after April 15, 2011, except past performance reviews required for Federal procurement contracts, will be publicly available. 2. Proceedings About Which You Must Report Submit the information required about each proceeding that: a. Is in connection with the award or performance of a grant, cooperative agreement, or procurement contract from the Federal Government; b. Reached its final disposition during the most recent five year period; and c. Is one of the following: (1) A criminal proceeding that resulted in a conviction, as defined in paragraph 5 of this award term and condition; (2) A civil proceeding that resulted in a finding of fault and liability and payment of a monetary fine, penalty, reimbursement, restitution, or damages of $5,000 or more; (3) An administrative proceeding, as defined in paragraph 5. of this award term and condition, that resulted in a finding of fault and liability and your payment of either a monetary fine or penalty of $5,000 or more or reimbursement, restitution, or damages in excess of $100,000; or Agreement No. R18AP00081 Agreement Template 20 D-53 (03/2019) Page 50 of 52 (4) Any other criminal, civil, or administrative proceeding if: (i) It could have led to an outcome described in paragraph 2.c.(1), (2), or (3) of this award term and condition; (ii) It had a different disposition arrived at by consent or compromise with an acknowledgment of fault on your part; and (iii) The requirement in this award term and condition to disclose information about the proceeding does not conflict with applicable laws and regulations. 3. Reporting Procedures Enter in the SAM Entity Management area the information that SAM requires about each proceeding described in paragraph 2 of this award term and condition. You do not need to submit the information a second time under assistance awards that you received if you already provided the information through SAM because you were required to do so under Federal procurement contracts that you were awarded. 4. Reporting Frequency During any period of time when you are subject to the requirement in paragraph 1 of this award term and condition, you must report proceedings information through SAM for the most recent five year period, either to report new information about any proceeding(s) that you have not reported previously or affirm that there is no new information to report. Recipients that have Federal contract, grant, and cooperative agreement awards with a cumulative total value greater than $10,000,000 must disclose semiannually any information about the criminal, civil, and administrative proceedings. 5. Definitions For purposes of this award term and condition: a. Administrative proceeding means a non judicial process that is adjudicatory in nature in order to make a determination of fault or liability (e.g., Securities and Exchange Commission Administrative proceedings, Civilian Board of Contract Appeals proceedings, and Armed Services Board of Contract Appeals proceedings). This includes proceedings at the Federal and State level but only in connection with performance of a Federal contract or grant. It does not include audits, site visits, corrective plans, or inspection of deliverables. b. Conviction, for purposes of this award term and condition, means a judgment or conviction of a criminal offense by any court of competent jurisdiction, whether Agreement No. R18AP00081 Agreement Template 20 D-54 (03/2019) Page 51 of 52 entered upon a verdict or a plea, and includes a conviction entered upon a plea of nolo contendere. c. Total value of currently active grants, cooperative agreements, and procurement contracts includes— (1) Only the Federal share of the funding under any Federal award with a recipient cost share or match; and (2) The value of all expected funding increments under a Federal award and options, even if not yet exercised. 22. CONFLICTS OF INTEREST (a) Applicability. (1) This section intends to ensure that non -Federal entities and their employees take appropriate steps to avoid conflicts of interest in their responsibilities under or with respect to Federal financial assistance agreements. (2) In the procurement of supplies, equipment, construction, and services by recipients and by subrecipients, the conflict of interest provisions in 2 CFR 200.318 apply. (b) Requirements. (1) Non -Federal entities must avoid prohibited conflicts of interest, including any significant financial interests that could cause a reasonable person to question the recipient's ability to provide impartial, technically sound, and objective performance under or with respect to a Federal financial assistance agreement. (2) In addition to any other prohibitions that may apply with respect to conflicts of interest, no key official of an actual or proposed recipient or subrecipient, who is substantially involved in the proposal or project, may have been a former Federal employee who, within the last one (1) year, participated personally and substantially in the evaluation, award, or administration of an award with respect to that recipient or subrecipient or in development of the requirement leading to the funding announcement. (3) No actual or prospective recipient or subrecipient may solicit, obtain, or use non- public information regarding the evaluation, award, or administration of an award to that recipient or subrecipient or the development of a Federal financial assistance opportunity that may be of competitive interest to that recipient or subrecipient. (c) Notification. Agreement No. R18AP00081 Agreement Template 20 D-55 (03/2019) Page 52 of 52 (1) Non -Federal entities, including applicants for financial assistance awards, must disclose in writing any conflict of interest to the DOI awarding agency or pass - through entity in accordance with 2 CFR 200.112, Conflicts of Interest. (2) Recipients must establish internal controls that include, at a minimum, procedures to identify, disclose, and mitigate or eliminate identified conflicts of interest. The recipient is responsible for notifying the Financial Assistance Officer in writing of any conflicts of interest that may arise during the life of the award, including those that have been reported by subrecipients. 23. DATA AVAILABILITY (a) Applicability. The Department of the Interior is committed to basing its decisions on the best available science and providing the American people with enough information to thoughtfully and substantively evaluate the data, methodology, and analysis used by the Department to inform its decisions. (b) Use of Data. The regulations at 2 CFR 200.315 apply to data produced under a Federal award, including the provision that the Federal Government has the right to obtain, reproduce, publish, or otherwise use the data produced under a Federal award as well as authorize others to receive, reproduce, publish, or otherwise use such data for Federal purposes. (c) Availability of Data. The recipient shall make the data produced under this award and any subaward(s) available to the Government for public release, consistent with applicable law, to allow meaningful third party evaluation and reproduction of the following: (i) The scientific data relied upon; (ii) The analysis relied upon; and (iii) The methodology, including models, used to gather and analyze data. Agreement No. R18AP00081 Agreement Template 20 D-56 (03/2019) REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 1, 2019 TITLE: APPROVE APPROPRIATION ADJUSTMENT ACCEPTING CALIFORNIA DEPARTMENT OF NATURAL RESOURCES GRANT FUNDS FOR THE ADVANCED METER INFRASTRUCTURE PROJECT IN THE AMOUNT OF $4,000,000 (NONGENERAL FUND) {STRATEGIC PLAN NO. 6, 11 /s/ Kristine Ridge CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 15' Reading ❑ Ordinance on 2i1 Reading ❑ Implementing Resolution ❑ Set Public Hearing For 1111100 0411101MAa]Ift FILE NUMBER Approve an appropriation adjustment accepting California Department of Natural Resources grant funds in the amount of $4,000,000 into the Public Works Water Quality & Control Fund, Miscellaneous Revenue, State Grant -Direct revenue account and appropriating $2,000,000 into the Public Works Water Quality & Control Fund, CA Natural Resources Grant, Improvements Other Than Building for FY19-20 expenditure and the remaining $2,000,000 into Reserve Appropriation expenditure accounts for future year expenditures. DISCUSSION On December 4, 2018, Council authorized staff to submit a grant application to the California Department of Natural Resources for a General Fund Specified Grant for the planned Advanced Metering Infrastructure (AMI) project. The AMI project involves the replacement of the City's existing water meters with new smart meters, which are capable of being read automatically and provide the consumer with up-to-date information on their water use. The proposed project is extensive involving the replacement of approximately 45,000 meters, the integration of new software and database systems, and the installation of a network of data collectors and transmitters. In February 2019, the City was awarded $4,000,000 in grant funding for the AMI Project. The project is currently in the planning and design phase with software integration and a construction contracts anticipated to be recommended for award in late 2019 and early 2020, respectively. Grant funds received for this project may be utilized for all phases of the project. The total project cost is estimated to be $17.8 million and staff continues to seek additional grant funds to further reduce the net cost impact to our ratepayers. 20E-1 Appropriation Adjustment Accepting California Department of Natural Resources Grant Funds for the AMI Project October 1, 2019 Page 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). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Approval of the requested appropriation adjustment will accept $4,000,000 in California Department of Natural Resources grant funds into the Public Works Water Quality & Control Fund, Miscellaneous Revenue, State Grant -Direct revenue account (No. 16417002-52025) and appropriate $2,000,000 into the Public Works Water Quality & Control Fund, CA Natural Resources Grant, Improvements Other Than Building for expenditure account (No. 16417642-66220) for expenditure in FY19-20 and the remaining $2,000,000 into Reserve Appropriation expenditure account (No. 16417642-69011) for future year expenditure. Funds will be budgeted for expenditures as follows: Accounting Unit - Accounting Unit - Account No. Fiscal Year Account No. Fund Description Description Amount Project No. REVENUES FY 2019-20 16417002-52025 PW Water Quality Miscellaneous Revenue — State $4,000,000 & Control Grant -Direct EXPENDITURES PW Water Quality CA Natural Resources Grant — FY 2019-20 16417642-66220 & Control Improvements Other Than $2,000,000 Building FY 2019-20 16417642-69011 PW Water Quality CA Natural Resources Grant — $2,000,000 & Control Reserve Appropriation TOTAL EXPENDITURES: $4,000,000 Fuad Sweiss, PE, PLS Executive Director Public Works Agency FSS/NS/RR Exhibit: 1. Grant Award Agreement APPROVED AS TO FUNDS AND ACCOUNTS: Kathryn Downs, CPA Executive Director Finance and Management Services Agency 20E-2 STATE OF CALIFORNIA NATURAL RESOURCES AGENCY GRANT AGREEMENT GRANTEE NAME: City of Santa Ana PROJECT TITLE: City of Santa Ana Advanced Metering Infrastructure AUTHORITY: Senate Bill No. 840 Specified Funding FY 201812019 PROGRAM: General Fund Specified Grant Projects AGREEMENT NUMBER: GF1806-0 TERM OF LAND TENURE: 25 years from date of project completion as evidenced by Project Certification Form PROJECT PERFORMANCE PERIOD IS: 2/1/2019 to 2128/2021 Under the terms and conditions of this agreement, the applicant agrees to complete the project as described in the project scope set forth in Exhibit A and any subsequent amendments, and the State of California, acting through the Natural Resources Agency pursuant to Senate Bill No. 840, agrees to fund the project up to the total grant amount indicated. PROJECT DESCRIPTION: See project description on page 1 and Exhibit A of the Agreement Total State Grant not to exceed $4,000,000.00 (or project costs, whichever is less) The Special and General Provisions attached are made a part of and incorporated into the Agreement. CITY OF SANTA ANA STATE OF CALIFORNIA 16 If1�J1 NATURAL RESOURCES AGENCY By )4 t! k B Nabil Saba 1 lie Alvis Title Water Resources Manager Title Deputy Assistant Secretary Date �'l 3 O 1 z' ! el Date oaz CERTIFICATION OF FUNDING AMOUNT OF ESTIMATE AGREEMENT NUMBER FUND FUNDING $4,000,000.00 GF1806-0 0001— General Fund ADJ. INCREASING FI$Cal PO Number ENCUMBRANCE $0,00 ADJ. DECREASING FUNCTION ENCUMBRANCE $0.00 Local Assistance UNENCUMBERED BALANCE REF NUMBER FUND EN YEARNT ACCOUNT NUMBER ALTACCOUNT $0,00 101 0001 2018 5432000 000000000 PROGRAM PCBU PROJECT ACTIVITY RPTG SVC LOC AGENCY I BUDGET STRUCTURE USE PERIOD 0320 0540 1 0540GF18060 31819 05400001 31819 1 2018 I hereby certi onal knowledge that budgeted funds are available for this encumbran / Z SIGNATURE 0rACCOUNTING 01,FC D E e 13 Agreement No. GF1806-0 GRANT AGREEMENT State of California - The Natural Resources Agency Grantee Name: City of Santa Ana Project Title: City of Santa Ana Advanced Metering Infrastructure Agreement Number: GF1806-0 Authority: Senate Bill No. 840 Specified Funding FY 2018/2019 Program: General Fund Specified Grant Projects PROJECT DESCRIPTION City of Santa Ana's installation and implementation of an Advanced Metering Infrastructure (AMI) System providing real-time operational modeling information to track water customer demand and use; establishing a distribution leak detection system and providing water consumption data to allow approximately 1,000 customers and City to manage water consumption. This is Phase I of a larger project. A detailed project scope and activities, project schedule and project budget are described and attached hereto as Exhibit A. Grant Funds are to be used to support capital asset projects in accordance with the provisions contained in the Procedural Guide for General Fund Specified Grant Projects and this Agreement. TERMS AND CONDITIONS OF GRANT Special Provisions 1. Recipients of grant funds shall post signs acknowledging the source of the funds. Size, location and number of signs shall be approved by the State. 2. The Grantee may be required to record Deed Restrictions, incorporating by reference this Grant Agreement and giving public notice that the Grantee received funds under this agreement in order to assist Grantee in developing the real property and that, in consideration for the receipt of the grant funds, the Grantee has agreed to the terms of this agreement. General Provisions A. Definitions 1. The term "Act" means Assembly Bill No. 97. 2. The term "Acquisition" means obtaining a fee interest or any other interest, including easements, leases, and development rights. 3. The term "Agreement" means this Grant Agreement. Agreement No. GF1806-0 3. Grantee shall complete the project in accordance with the Project Performance Period set forth on the signature page, unless an extension has been formally granted by the State and under the Terms and Conditions of this agreement. Extensions may be requested in advance and will be considered by State, at its sole discretion, in the event of circumstances beyond the control of the Grantee, but in no event beyond May 1, 2024. 4. Grantee shall at all times ensure that project complies with the California Environmental Quality Act (CEQA) (Public Resources Code, Division 13, commencing with section 21000, et. seq., Cal Code Regs tit. 14, section 15000 et. seq.) and all other environmental laws, including but not limited to obtaining all necessary permits. Grant funds will not be disbursed before the close of the period for legal challenge under CEQA. Grant funds for planning and document preparation may be available sooner if included in the grant project scope (Exhibit A) and approved by the State. CEQA compliance shall be completed within one (1) year from the Grant Agreement start date, unless an extension is granted by the State. Changes to the scope resulting from CEQA compliance are permitted provided the State determines that the project continues to meet all objectives of the General Fund Specified Grant Project and is consistent with the intent cited in the original Application. If a grantee's project is disapproved on grounds related to the California Natural Resource Agency's CEQA determination, the grantee shall have the option of either: (1) reimbursing the Natural Resources Agency for all state -reimbursed preliminary costs (e.g., planning, design, etc.), or (2) relinquishing any planning/design documents, including all copies, reproductions, and variations resulting from said funding, without a license to use or otherwise retain in any form. 5. Projects must comply with any applicable laws pertaining to prevailing wage and labor compliance. 6. Grantee certifies that the project does and will continue to comply with all current laws and regulations which apply to the project, including, but not limited to, legal requirements for construction contracts, building codes, environmental laws, health and safety codes, and disabled access laws. Grantee certifies that, prior to commencement of construction; all applicable permits and licenses (e.g., state contractor's license) will have been obtained. 7. Grantee shall provide access by the State upon 24-hours' notice to determine if project work is in accordance with the approved project scope, including a final inspection upon project completion. 8. Prior to the commencement of any work, Grantee agrees to submit in writing to the State for prior approval any deviation from the original project scope per Exhibit A and the application. Changes in project scope must continue to meet the need cited in the original application or they will not be approved. Any modification or alteration in the project as set forth in the application on file with the State must be submitted to the State for approval. Any modification or alteration in the project must also comply with all current laws and regulations, including but not limited to CEQA. 9. Grantee shall provide for public access and/or educational features where feasible. 10. Grantee must have (1) fee title, (2) leasehold, or (3) other interest to project lands and demonstrate to the satisfaction of the State that the proposed project will provide public 2Dt-5 Agreement No. GF1806-0 4. The State reserves the right to request reimbursement of any funds spent on the project, even funds deemed eligible costs, if the project is not completed in accordance with the Grant Agreement and the guidelines. 5. Except as otherwise provided herein, the Grantee shall expend grant funds in the manner described in the Exhibit A approved by the State. The total dollars of a category in the project budget may be increased by up to ten percent (10%) through a reallocation of funds from another category, without approval by the State. However, the Grantee shall notify the State in writing when any such reallocation is made, and shall identify both the item(s) being increased and those being decreased. Any cumulative increase or decrease of more than ten percent (10%) from the original budget in the amount of a category must be approved by the State. In any event, the total amount of the grant funds may not be increased, nor may any adjustments exceed the limits for management costs as described in the Application Guidelines. D. Project Administration 1. Grantee shall promptly provide project reports and/or photographs upon request by the State. In any event Grantee shall provide the State a report showing total final project expenditures with the final payment request and required closing documents. 2. Grantee shall make property and facilities acquired or developed pursuant to this agreement available for inspection upon request by the State. 3. Grantee shall use any income earned by the Grantee from use of the project to further project purposes, or, if approved by the State, for related purposes within the jurisdiction. 4. Grantee shall submit all documentation for project completion, including a notice of completion as applicable and final reimbursement within ninety (90) days of project completion, but in no event any later than May 1, 2024. 5. Final payment is contingent upon State verification that project is consistent with project scope as described in Exhibit A, together with any State approved amendments. 6. This agreement may be amended by mutual agreement in writing between Grantee and State. Any request by the Grantee for amendments must be in writing stating the amendment request and reason for the request. The Grantee shall make requests in a timely manner and in no event less than sixty (60) days before the effective date of the proposed amendment. 7. Grantee must report to the State all sources of other funds for the project. E. Project Termination 1. The State reserves the right to terminate a Grant Agreement for any reason at any time. There are no vested rights or entitlements to funding that a Grantee can or should rely upon, and once a notice of termination is provided to the Applicant, only authorized and eligible work prior to that notification of termination will be paid by the State. 2. Prior to the completion of project construction, either party may terminate this agreement by providing the other party with thirty (30) days' written notice of such termination. The State may also terminate this Grant Agreement for any reason at any time if it learns of or otherwise discovers that there is a violation of any state or federal law or policy by .b:W Agreement No. GF1806-0 3. Grantee and State agree that in the event of judgment entered against the State and Grantee because of the gross negligence of the State and Grantee, their officers, agents or employees, an apportionment of liability to pay such judgment shall be made by a court of competent jurisdiction. Neither party shall request ajury apportionment. G. Financial Records 1. Grantee shall maintain satisfactory financial accounts, documents and records for the project and to make them available to the State for auditing at reasonable times. Grantee shall also retain such financial accounts, documents and records for three (3) years after final payment and one (1) year following an audit. 2. Grantee agrees that during regular office hours, the State and its duly authorized representatives shall have the right to inspect and make copies of any books, records or reports of the Grantee pertaining to this agreement or matters related thereto. Grantee shall maintain and make available for inspection by the State accurate records of all of its costs, disbursements and receipts with respect to its activities under this agreement. 3. Grantee shall use applicable Generally Accepted Accounting Principles, unless otherwise agreed to by the State. H. Use of Facilities The real property (including any portion of it or any interest in it) may not be sold or transferred without the written approval of the State of California, acting through the Natural Resources Agency, or its successor, provided that such approval shall not be unreasonably withheld as long as the purposes for which the grant was awarded are maintained. 2. Grantee shall maintain, operate and use the project in fulfillment of the purpose funded pursuant to this grant for a minimum of 25 YEARS, consistent with the Land Tenure/Site Control requirements included in the Application Guidelines. The Grantee, or the Grantee's successor in interest in the property, may assign without novation the responsibility to maintain and operate the property in accordance with this requirement only with the written approval of the State. Grantee may be excused from its obligations for operation and maintenance of the project site only upon the written approval of the State for good cause. "Good cause" includes, but is not limited to, natural disasters that destroy the project improvements and render the project obsolete or impracticable to rebuild. 3. Grantee shall use the property for the purposes for which the grant was made and shall make no other use or sale or other disposition of the property. This agreement shall not prevent the transfer of the property from the Grantee to a Public Agency, if the successor public agency assumes the obligations imposed by this agreement. 4. If the use of the property is changed to a use that is not permitted by the agreement, or if the property is sold or otherwise disposed of, at the State's sole discretion, an amount equal to (1) the amount of the Grant (2) the Fair Market Value of the real property, or (3) the proceeds from the sale or other disposition, whichever is greater, may be reimbursed to the State. If the property sold or otherwise disposed of is less than the entire interest in the property funded in the Grant, an amount equal to either the proceeds from the sale or other disposition of the interest or the Fair Market Value of the interest sold or otherwise disposed of, whichever is greater, shall be reimbursed to the State. 5. The Grantee shall not use or allow the use of any portion of the real property for mitigation without the written permission of the State. L0 C'7 Agreement No. GF1806-0 N. Disputes If the Grantee believes that there is a dispute or grievance between Grantee and the State arising out of or relating to this agreement, the Grantee shall first discuss and attempt to resolve the issue informally with the Agency Grants Administrator. If the issue cannot be resolved at this level, the Grantee shall follow the following procedures: If the issue cannot be resolved informally with the Agency Grants Administrator, the Grantee shall submit, in writing, a grievance report together with any evidence to the Deputy Assistant Secretary for Bonds and Grants for the California Natural Resources Agency. The grievance report must state the issues in the dispute, the legal authority, or other basis for the Grantee's position and the remedy sought. Within ten (10) working days of receipt of the written grievance report from the Grantee, the Deputy Assistant Secretary shall make a determination on the issue(s) and shall respond in writing to the Grantee indicating the decision and reasons therefore. Should the Grantee disagree with the Deputy Assistant Secretary's decision, the Grantee may appeal to the Assistant Secretary for Administration and Finance for the Natural Resources Agency. 2. The Grantee must submit a letter of appeal to the Assistant Secretary explaining why the Deputy Assistant Secretary's decision is unacceptable. The letter must include, as an attachment, copies of the Grantee's original grievance report, evidence originally submitted, and response from the Deputy Assistant Secretary. The Grantee's letter of appeal must be submitted within ten (10) working days of the receipt of the Deputy Assistant Secretary's written decision. The Assistant Secretary or designee shall, within twenty (20) working days of receipt of Grantee's letter of appeal, review the issues raised and shall render a written decision to the Grantee. The decision of the Assistant Secretary or designee shall be final. O. Audit Requirements Grant projects are subject to audit by the State annually and for three (3) years following the final payment of grant funds. The audit shall include all books, papers, accounts, documents, or other records of the Grantee, as they relate to the project for which the grant funds were granted. EXHIBIT A STATE OF CALIFORNIA NATURAL RESOURCES AGENCY GRANT AGREEMENT General Fund Specified Grant Projects Grantee Name: City of Santa Ana Project Title: City of Santa Ana Advanced Metering Infrastructure Agreement Number: GF1806-0 Project Scope: City of Santa Ana's installation and implementation of an Advanced Metering Infrastructure (AMI) System providing real-time operational modeling information to track water customer demand and use; establishing a distribution leak detection system and providing water consumption data to allow individuals to manage their water consumption. This is Phase I of a larger project. Elements funded by General Fund grant include the following: • Planning for AMI project deployment and implementation • Procuring AMI system including developing system specifications and bid documents • Installing at least one (under acknowledgement sign • Installing approximately 4,000 of AMI meters to primarily high -use customers • Retrofitting and updating meter boxes and structures as needed to allow for AMI signal transmission • Installing approximately 4,000 of AMI Radios • Installing AMI data collection infrastructure dependent on system selected • Installing approximately 10 AMI Towers • Integrating software, data and related information technology activities and improvements • Installing software and systems integration (AMI Head -in System, HES and Meter Data Management System, MDMS). Specific HES and MDMS software make/model will be specific to the AMI system selected (to be determined). • Deploying interactive customer portal to all users to monitor and track individual water usage • Training staff to use and inspect AMI system Project Schedule: Activity Description Timeline Preliminary work on the project- Contract with an AMI Project Manager February -April 2019 Development of Implementation Plan and bid documents to purchase AMI Technology and Software February -May 2019 Environmental Review (CEQA) City of Santa Ana- submit CEQA Document to the State Already completed via NOE submittal Public Works Encroachment Permit for Installation of AMI Collector Towers April -May 2019 Award Contract for Meter Installation (Phase 1) and Software Development June 2019 Provide construction staking; mobilization as required June -July 2019 Review and approve shop drawings for materials required to construct the project July -August 2019 Submit final site design/plans/specifications to State September 2019 Purchase equipment, conduct installation, train staff, inspect installation October 2019-February-2020 Submit evidence of bond acknowledgement sin February 2020 Submit Project Closeout package with final Payment Request to State Aril 2020 Cost Estimate: See Exhibit Al 2bbE-9 Exhibit A-1: Cost Estimate City of Santa Ana City of Santa Ana Advance Metering Infrastructure GF1806-0 Project Elements Total Project Costs General Fund Grant NON -CONSTRUCTION COSTS Direct Project Management & Administration Staff Time (direct costs only) $150,000 $150,000 Develop Implementation Plan and Bid Documents $250,000 $250,000 SUB -TOTAL Non -Construction Costs (not to exceed 25% of the grant) $400,000 00 CONSTRUCTION COSTS Funder Acknowledgement Sign and Installation $920 0 Installation of AMI Meters $1,250,000 0 Installation of AMI Radios $750,000 0 Installation of AMI Towers $500,000 0 ]$4 Software and Systems Integration and Training (AM] Head -in System, HES and Meter Data Management System, MDMS). Specific HES and MDMS software make/model will be specific to the AMI system selected (to be determined). $750,000 0 SUB- TOTAL Construction Costs $3,250,920 0 Contingency (not to exceed 10% of grant) $349,080 0 PROJECT GRAND TOTAL $4,000,000 0 *Only direct project management costs are eligible; no overheard/indirect costs are reimbursable. In-service payroll may not include a 'billable rate' or administrative cost allocation. **All invoices and receipts for all project expenditures from all funding sources will be retained and made available in the event of any future State Audits. 20E-10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 1, 2019 TITLE: APPROVE A PURCHASE ORDER TO COURTESY CHEVROLET CENTER FOR THREE VEHICLES FOR AN AMOUNT NOT TO EXCEED $82,918 TO BE FUNDED BY THE GENERAL FUND (SPECIFICATION NO. 19-050) {STRATEGIC PLAN NO. 6,21 CLERK OF COUNCIL USE ONLY: F-IT00075ro, ❑ As Recommended ❑ As Amended ❑ Ordinance on 111 Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO /s/ Kristine Ridge FILE NUMBER CITY MANAGER RECOMMENDED ACTION 1. Reject the bid from M Motors Irvine, LLC, as nonresponsive. Vendor did not include all required documents in the bid. 2. Approve a purchase order to Courtesy Chevrolet Center for three vehicles for an amount not to exceed $82,918, to be funded by the General Fund, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION The Public Works Agency, Fleet Services Division (Fleet Division) is responsible for the acquisition, maintenance, repair, and replacement of vehicles, trucks, and maintenance equipment. As a result of the analysis conducted by the Fleet Division, Parks, Recreation and Community Services Agency is in need of two replacement vehicles (Chevrolet Colorado and Express) and one new addition (Chevrolet Colorado) to their existing fleet. The Chevrolet Express Passenger Van and Colorado will replace vehicles purchased in 1999 and 2007, respectively. Due to the extensive use and age of these vehicles, they have proved to be unreliable and expensive to provide ongoing maintenance and repair. The additional Chevrolet Colorado will be utilized by the Parks and Facilities Division to attend to maintenance inspection issues throughout City facilities including parks. Replacement (2 vehicles) and addition (1 vehicle) to this fleet will result in newer and more reliable equipment that will assist to expedite the Parks, Recreation and Community Services Agency's response to public service needs. The Notice Inviting Bids was advertised on April 26, 2019, on the City's online bid management and publication system. A summary of the bid invitation and bids received is as follows: 22A-1 Award Purchase Order for Chevrolet Vehicles October 1, 2019 Page 2 338 Vendors were notified 6 Santa Ana vendors were notified 7 Vendors downloaded the bid packet 6 Bids received 1 Bids received from Santa Ana vendors The Purchasing Division advertised the project on the City's online bid management and publication system which directly notified four Santa Ana vendors. One of the Santa Ana vendors submitted bid packets for consideration. The bid was opened on May 20, 2019, and evaluated (Exhibit 1). The bid submitted from Courtesy Chevrolet Center is responsive to the specifications and meets the City's requirements. Funds for this purchase were carried forward from the available balance in fiscal year 2018-2019. This purchase was included in the list of funds to be carried forward that was approved at the September 17, 2019 City Council Meeting. The carry forward of funds had to be approved before a purchase order could be issued and thus the reason for the time between bid opening and purchase order approval. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Strategic Plan Goal #6 — Community Facilities & Infrastructure, Objective #2 (address deferred maintenance on City buildings and equipment). FISCAL IMPACT Funds are budgeted and available in the following accounts for the following fiscal year: Fiscal Accounting Unit- Fund Accounting Unit, Amount Year Account # Description Account Description FY 19-20 01113230-66400 General PRCSA-Recreation & Comm. Svc $56,555 Fund Machinery & Equipment FY 19-20 01113250-66400 General PRCSA-Park Facilities $26,363 Fund Machinery & Equipment Total $82,918 r9»YU•AA RIFT" rU111►1.16VT101.LTKKn11►103 Lisa Rudloff Kathryn Downs, CPA Executive Director Executive Director Parks, Recreation, and Community Services Finance and Management Services Agency Agency Exhibit: 1. Abstract of Bids 22A-2 ABSTRACT OF BIDS CHEVROLET VEHICLES (19-050) Chevrolet Colorado Chevrolet Express Courtesy Chevrolet Center San Diego, CA $26,363.14 $30,191.23 *Includes 1% Local Vendor Preference Folsom Chevrolet Folsom, CA $27,921.36 NO BID Guaranty Chevrolet Penske Chevrolet of Selman Chevrolet Motors Inc Cerritos Company Santa Ana, CA Cerritos, CA Orange, CA $26,450.15* $31,703.28* EXHIBIT 1 $27,198.45 $31,266.15 $27,287.77 $31,389.81 22A-3 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 1, 2019 TITLE: APPROVE A BUDGET REALLOCATION AND AWARD A CONSTRUCTION CONTRACT TO R.J. NOBLE COMPANY IN THE AMOUNT OF $615,550, FOR THE BRISTOL STREET REHABILITATION FROM 17TH STREET TO SANTA CLARA AVENUE PROJECT ESTIMATED PROJECT COST: $769,438 (PROJECT NO. 18-6909) {STRATEGIC PLAN NOS. 6, 1C & 1G) /s/ Kristine Ridae CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 161 Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For 10101kqIIIto] ADire] FILE NUMBER 1. Authorize the reallocation of $75,438 in unspent Transportation System Improvement Area F Funds carried over from FY 18 & 19, from Bristol Street Widening from Washington Avenue to 17th Street Project (Project No. 11-6740) to the Bristol Street Rehabilitation from 17th Street to Santa Clara Avenue Project (Project No. 18-6909). 2. Award a contract to R.J. Noble Company, the lowest responsible bidder, in accordance with the base bid in the amount of $615,550, for construction of the Bristol Street Rehabilitation from 17th Street to Santa Clara Avenue Project, for the term beginning upon execution of the contract and ending upon project completion, and authorize the City Manager to execute the contract subject to non -substantive changes approved by the City Manager and the City Attorney. 3. Approve the Project Cost Analysis for a total estimated construction delivery cost of $769,438, which includes $615,550 for the construction contract; $92,333 for contract administration, inspection and testing; and a $61,555 project contingency (approximately 10% of the construction contract amount), paid with Measure M2 Local Fairshare and Transportation System Improvement Area F Funds. 23A-1 Award Contract to R.J. Noble Company for Bristol Street Rehabilitation from 17th Street to Santa Clara Avenue Project October 1, 2019 Page 2 DISCUSSION The City's Pavement Management Program identified Bristol Street from 17th Street to Santa Clara Avenue as a high priority for street rehabilitation (Exhibit 1). Based on the adopted Pavement Management Program, the pavement has deteriorated due to weather, age, wear -and -tear from heavy usage vehicles. The improvements included the removal and replacement of failed asphalt pavement and the replacement of damaged concrete curb, gutters, sidewalks, curb ramps, and installation of traffic loops, traffic stripes and pavement markings. Once completed, these improvements will enhance the ride quality and visual appearance of the street, and comply with Americans with Disability 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 June 21 and 28 2019, and bids were received electronically via the City's web -based electronic bidding system, PlanetBids, on July 9, 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 201 vendors, including 8 located in the City of Santa Ana, were notified of the project via PlanetBids. 32 vendors requested bidding documents and 5 bids were received. None of the bids received were from Santa Ana contractors. Bid Results Summary RANK BIDDER'S NAME LOCATION BASE BID 1 R.J. Noble Company Orange $615,550 2 All American Asphalt Corona $660,660 3 Hardy & Harper, Inc. Lake Forest $673,244 4 Excel Paving Co Long Beach $691,436 5 EBS GENERAL ENGINEERING INC Corona $937,388 All five bids were responsive and R.J. Noble Company submitted the lowest responsive bid, in the amount of $615,550 (Exhibit 2). Based on the bid analysis and a contractor's reference check, staff recommends awarding the construction contract to R.J. Noble Company 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 23A-2 Award Contract to R.J. Noble Company for Bristol Street Rehabilitation from 17th Street to Santa Clara Avenue Project October 1, 2019 Page 3 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 $769,438. Purpose Cost Construction Contract $615,550 Construction Administration, Inspection, and Testing $92,333 Contingencies $61,555 ESTIMATED CONSTRUCTION DELIVERY COST $769,438 These amounts will cover all staffing costs for delivery of this capital project and no additional 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). ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review. Categorical Exemption Environmental Review No. ER-2019-53 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 $769,438, 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: 23A-3 Award Contract to R.J. Noble Company for Bristol Street Rehabilitation from 17th Street to Santa Clara Avenue Project October 1, 2019 Page 4 Fiscal Year Accounting Unit- Fund Description Accounting Unit, Amount Account # Account Description FY 2019-20 03217662-66220 Measure M-Street Measure M2 Local Fairshare, Improvement $694,000 July -June (Proj. 18-6909) Construction Other Than Building New Transportation New Transportation FY 2019-20 03517660-66220 System System Improvement $75,438 July -June (Proj. 18-6909) Improvement Area F Area F, Improvement Other Than Building Total $769,438 Fuad S. Sweiss, PE, PLS Executive Director Public Works Agency FSS/TC/MO Exhibits: 1. Location Map 2. Bid Proposal 3. Construction Contract 4. Cost Analysis Kathryn Downs, CPA Executive Director Finance and Management Services Agency 23A-4 Exhibit 1 SANTA ANA Project No. 18-6909: P�� BRISTOL STREET REHABILITATION �J FROM 17TH STREET TO SANTA CLARA PUBLICWRKSMENff AV E N U E 23A-5 City of Santa Ana Bristol Street Rehabilitation from 17th St to Santa Clara Ave (18-6909), bidding on July 9, 2019 2:00 PM (Pacific) Bid Results Bidder Details Vendor Name R.J. Noble Company Address 15505 E. Lincoln Ave Orange, CA 92865 United States Respondee Jennifer De longh Respondee Title Contract Administrator Phone 714-637-1550 Ext. 311 Email stevemendoza@rjnoblecompany.com Vendor Type License # 782908 CA DIR Bid Detail Bid Format Electronic Submitted July 9, 2019 1:48:14 PM (Pacific) Delivery Method Bid Responsive Bid Status Submitted Confirmation # 184041 Ranking 0 Respondee Comment Buyer Comment Attachments File Title 18-6909 Bristol General coos Ownership Affidavit Bristol Bristol Bid Bond non collusion affidavit Line Items File Name 18-6909 Bristol Rehab General docs07092019134522.pdf 18-6909 Bristol Ownership Affidavit 7-9- 1907092019104340.pdf 18-6909 Bristol bid bond 7-9-1907092019104631.pdf 18-6909 Bristol Non Collusion Affidavit 7-9- 1907092019104747.pdf Type Item Code uoM City Base Bid Items 1 Unclassified Excavation CY 230 2 AC Pavement Unit Price Page 1 Printed 08126/2019 EXHIBIT 2 File Type General Attachments Ownership Affidavit (Notary Public) - REQ Original Hard Copy Submittal in Addition Bid Bond Guaranty (Notary Public) - REQ Original Hard Copy Submittal in Addition Non -Collusion Affidavit (Notary Public) - REQ Original Hard Copy Submittal in Addition Line Total Comment $125.00 $28,750.00 TN 900 $85.00 $76,500.00 Pl23 tea I_8 _.._ City of Santa Ana Page 2 Bristol Street Rehabilitation from 17th St to Santa Clara Ave (18-6909), bidding on July 9, 2019 2:00 PM (Pacific) Printed 08/26/2019 Bid Results Type Item Code UOM City Unit Price Line Total Comment 3 Cold Mill (2") SF 8600 $0.35 $3,010.00 4 Cold Mill (3") SF 114000 $0.25 $28,500.00 5 Asphalt Rubber Hot Mix (ARHM) TN 1400 $85.00 $119,000.00 6 Asphalt Rubber Aggregate Membrane (ARAM) SY 13800 $7.50 $103,500.00 7 FCC Sidewalk (4") SF 600 $6.40 $3,840.00 8 PCC Curb Ramp SF 4100 $11.50 $47,150.00 9 PCC Curb and Gutter (Type A-2-8) SF 100 $38.00 $3,800.00 _ 10 Cross -Gutter (Arterial Street) _ LF 2200 $11.50 $25,300.00 11 Concrete Bus Pad SF 1100 $15.00 $16,500.00 -- - _ - 12--- Adjust Water Valve Frame and Cover to Finished Grade SF 10 $1,000.00 $10,000.00 13 Adjust Sewer and Drainage Manhole to Finished Grade EA 7 $1,000.00 $7,000.00 14 Furnish and Install #6 Pullbox EA 12 $700.00 $8,400.00 15 Adjust Survey Monument to Finished Grade EA 3 $1,000.00 $3,000.00 16 Furnish and Install Traffic Loops Dt EA 12 $240.00 $2,880.00 17 Furnish and Install Traffic Loops Et EA 31 $220.00 $6,820.00 18 Construction Sign EA 2 $800.00 $1,600.00 City of Santa Ana Page 3 Bristol Street Rehabilitation from 17th St to Santa Clara Ave (18-6909), bidding on July 9, 2019 2:00 PM (Pacific) Printed 08126/2019 Bid Results Type Item Code UOM Oty Unit Price Line Total Comment 19 Signing and Striping LS 1 $105,000.00 $105,000.00 20 Labor Agreement Oversight LS 1 $15,000.00 $15,000.00 Subtotal $615,550.00 Asterisk Notes (Per Section 3-2 of Standard Specifications) - NOT part of Total Bid Calculation 21 * = The quantity for this bid Item Is shown for bid comparison only. This bid Item shall not be subject to the "25W limit as stated In Section 3-2 of the Standard Specifications. 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 quantity of this Item accordingly. as 0 0 0 22 t = This bid item is considered a Specialty Item per Section 2-3.2 of the Standard Specifications. as o a 0 Subtotal 0 Total $615,550.00 Pl�ji�iciii, I_t$ CITY OF SANTA ANA PROPOSAL PROJECT NO.: 18-6909 BRISTOL REHABILITATION FROM 17TM ST TO SANTA CLARA AVE BID PROPOSAL TO: CITY COUNCIL OF THE CITY OF SANTA ANA FROM: R.J. NOBLE COMPANY 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 Unclassified Excavation 230 CY S S 125.00 1-8 750.00 2 AC Pavement 900 TN S $ 85.00 76,500.00 3 Cold Mill (2") 8,600 SF $ S 0.35 3,010.00 4 Cold Mill (3") 114,000 SF S S 0.25 2&500.00 5 Asphalt Rubber Hot Mix (ARHM) 1,400 TN S S 85.00 119,000.00 6 Asphalt Rubber Aggregate Membrane 13,900 SY $ E (ARAM) 7.50 103,500.00 7 PCC Sidewalk (4") 600 SF S $ 6.40 3,840.00 8 PCC Curb Ramp 4,100 SF S $ 11.50 47,150.00 9 PCC Curb and Gutter (Type A-2-8) 100 LF $ E 38.00 3,800.00 10 Cross -Gutter (Arterial Street) 2,200 SF $ S 11.50 25,300.00 11 Concrete Bus Pad 1,100 SF $ S 15.00 16,500.00 12 Adjust Water Valve Frame and Cover to 10 EA $ S Finished Grade 1,000.00 10,000.00 13 AdjustSewer and DrainageManhole to 7 EA $ $ Finished Grade Furnish and Install #6 Pullbox 1,000.00 7,000.00 14 12 EA $ $ 700.00 8,400.00 P-1 of P-16 23A-9 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 18-6909 BRISTOL REHABILITATION FROM 17T" ST TO SANTA CLARA AVE Item Description Qty Unit Unit Price Amount I5 Adjust Survey Monument to Finished 3 EA S $ Grade I.000.00 3.000.00 16 Furnish and Install Traffic Loops D t 12 EA S S 240.00 2,880.00 17 Fumish and Install Traffic Loops E t 31 EA $ $ 1_20.00 6,820.00 18 Construction Sign 2 EA $ S 800.00 I,600.00 19 Signing and Striping 1 LS $ S 105,0000 105.000.00 20 Labor Agreement Oversight I LS $ 15,000 S 15,000 TOTAL BASE BID 1 S 615.550.00 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 LIOUIDATED DAMAGES The undersigned bidder hereby proposes to complete the Work for the total base bid amount shown above, within number 40 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 $2,000 per calendar day. Name of Firm R.J. NOBLE COMPANY Signature of BIDDER x Tide STEVE MENDOZA. SFCR TARP (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 of P-16 23A-10 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 18-6909 BRISTOL REHABILITATION FROM 17T" ST TO SANTA CLARA AVE 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 R.J. NOBLE COMPANY Signature of BIDDER X Title STEVE MENDOZA, SECRETARY (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.) PLEASE SEE ATTACHED P-3 of P-16 23A-11 I ASPHALT PAVING • ENGINEERING CONTRACTORS LIC. A-782908 R.J. NOBLE COMPANY A CALIFORNIA CORPORATION 15505 E. LINCOLN AVENUE ORANGE, CA 92865 CORPORATE OFFICERS: MICHAEL J. CARVER, PRESIDENT CRAIG PORTER, SENIOR VICE PRESIDENT AUSTIN CARVER, VICE PRESIDENT OF OPERATIONS KASONDRA GONZALEZ, VICE PRESIDENT OF MARKETING STEVE MENDOZA, SECRETARY JAMES N. DUCOTE, TREASURER JACOB BREEDLOVE, ASSISTANT SECRETARY ORANGE: 15505 E. LINCOLN AVE • P.O.BOX 620. OPEC ll fRNIA 92856-6620 • (714) 637-1550 • FAX (714) 921-3347 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 18-6909 BRISTOL REHABILITATION FROM 17Tn ST TO SANTA CLARA AVE 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: R.J. NOBLE COMPANY Business Address: 15505 E. LBVCOLN AVENUE, ORANGE, CA 92865 Business E-Mail Address: stevemendoza@rjnoblecompany.com Telephone: 714-637-1550 State Contractor's License No. and Class: 782908 CLASS A & C- 12 License Expiration Date: 08/31/2020 State Dept. of Industrial Relations (DIR) Registration No.: 1o00ooa235 State Dept. of Industrial Relations (DIR) 06/30/2022 Registration Expiration Date: Signed: Title: STEVE SECRETARY P-4 of P-16 23A-13 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 18-6909 BRISTOL REHABILITATION FROM 17T" ST TO SANTA CLARA AVE 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 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 R.J. NOBLE COMPANY Signature of BIDDER X Title STEVE MENDOZA, SECRETARY (if an individual, so state) P-5 of P-16 23A-14 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 18-6909 BRISTOL REHABILITATION FROM 17TH ST TO SANTA CLARA AVE OWNERSHIP AFFIDAVIT STATE OF CALIFORNIA ) COUNTY OF ORANGE ) SS: CITY OF SANTA ANA ) STEVE MENDOZA being duly sworn, deposes and says: ❑ INDIVIDUAL That he/she is the party making the foregoing proposal: ❑ PARTNERSHIP That he/she is a member of the 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. (:3CORPORATION That he is of. SECRETARY OF R.J. NOBLE COMPANY a corporation which is making the foregoing proposal: ❑ JOINT VENTURE That he is of., one of the parties making the foregoing proposal as a joint venture, and the he/she has been and is duly vested with the authority 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 himself or any other person. X a' Signature =%Bidder STEVE MENDOZA, SECRETARY Subscribed and sw ptt : ore me this 9TH day of JULY 2019 X Signature of office,( Administering Oath (Notary Public) J. DE IONGH I) J. DE IONGH + Commission # 21 sc04 Notary Public Cahrainia i�e�i Orange County My Comm. Expires Oct 28, 20" P-6 of P-16 23A-15 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 18-6909 BRISTOL REHABILITATION FROM 17TH ST TO SANTA CLARA AVE KNOW ALL PRESENT that, R.I. NOBLF?. COMPANY , as BIDDER, and Western Surety Company _, as SURETY, are held and firmly bound unto the CITY OF SANTA ANA, as AGENCY, in the penal sum of — ten percent of amount bid----------- Dollars ($ 10% ), which is ten percent (10%) of the total amount bid by BIDDER to AGENCY for the above -stated project, for the payment of which sum, BIDDER and SURETY agree to be bound, jointly and severally, firmly by these presents. THE CONDITIONS OF THIS OBLIGATION ARE SUCH that, whereas BIDDER is about to submit a bid to AGENCY for the above -stated 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 effect in favor of AGENCY. IN WITNESS WHEREOF the parties hereto have set their names, titles, hands, and seal this 24th day of June 2019 R. J. NOBLE COMPANY, 15505 E. Lincoln Avenue, Orange, Ca 92865 714-637-1550 BIDDER* SECRET SURETY* Western Surety-Company,.2020 Main Street, Suite 750, Irvine, CA 92614 949-486-7917 Subscribed and sworn to before me ,20_ Signature: Attorney -in -fact Notary Public in and for the County of ___ , State of this day of * Provide BIDDER/ SURETY name, address, and telephone number and the name, title, address, and telephone number of authorized representative. P-7 of P-16 23A-16 CALIFORNIA ACKNOWLEDGMENT 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, accuracy, or validityof that document. State of California i County of ORAN(,F 1} On 06/25/19 before me, J. DE IONGH, NOTARY PUBLIC Date ere Insert Name and Title oft the Officer STEVEMENDOZA personally appeared Names) of Signer(s) who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) is/" subscribed to the within instrument and acknowledged to me that he/shekhey executed the same in hi;merin;vir authorized capacity(ies), and that by his/her4hair signature(s) on the instrument the person(s), or the entity upon behalf of which the persons) acted, executed the instrument. .! DE IONGH ion 2! �n Place Notary Seal ondror Stomp Above I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. WITNESS my hand and official seal. Signature OPTIONAL of Notary Public Completing this information can deter alteration of the document or fraudulent reattachment of this form to on unintended document. Description of Attached Document Title or Type of Document: Signers) Other Than Named Above: Capacity(ies) Claimed by Signer(s) Signer's Name: o Corporate Officer — Title(s): ❑ Partner — ❑ Limited ❑ General O Individual ❑ Attorney in Fact ❑ Trustee ❑ Guardian or Conservator ❑ Other: Signer Is Representing: Number of Pages: Signer's Name: ❑ Corporate Officer — Title(s): ❑ Partner — ❑ Limited D General O Individual O Attorney in Fact ❑ Trustee ❑ Guardian or Conservator ❑ Other: Signer is Representing: [ - elrisB97srta@I�aBBBIPiIs) C2018 National Notary Association 23A-17 ACKNOWLEDGMENT 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 Orange ) On JUN 2 4 2019 before me, Michele A. Fedoruk, Notary Public (insert name and title of the officer) personally appeared James Scott Salandi, Attorney -in -Fact who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) is/Nec subscribed to the within instrument and acknowledged to me that he/ow" executed the same in hIS/ke1 *9k authorized capacity(i*, and that by his/harftek signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the i nstrument. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. WITNESS my hand and official Seal. MICHELE A. FEDDRUK Hutary Public - California Orange County $_ Commission A 22JE0<2 My Comm. Expires Apr 14, 2022 Signature (Seal) IF 23A-18 Western Surety Company POWER OF ATTORNEY APPOINTING INDIVIDUAL ATTORNEY -IN -FACT Know AIL Men By Thew Presents, That WESTERN SURETY COMPANY, a South Dakota carporstian, is a duly organized and existing corporation having its principal office in the City of Sioux Falls, and State of South Dakota, and that it does by virtue of the signature and seal herein affixed hereby make, constitute and appoint James Scott Salandi, Leonard Ziminsky, David Jacobson, Individually of Irvine, CA, its true and lawful Anorncy(s}in-Fact with full power and authority hereby conferred to sign, seal and execute for and on its behalf bonds, undertakings and other obligatory instruments of similar nature - In Unlimited Amounts - and to bind it thereby u fully and to the same extent as if such instruments were signed by a duly authorized officer of the corporation and all the acts of said Altoruey, pursuant to the authority hereby given, are hereby ratified and confumed. This Power of Attorney is made and executed pursuant to and by authority of the By -Law printed on the reverse hereof, duly adopted, as indicated, by the shareholders of the corporation. In Witness Wher f, WESTERN SURETY COMPANY has caused these presents to be signed by its Vice President and its corporate seal to be hereto affixed on this 18th day of June, 2015. yraarr.e WESTERN SURETY COMPANY �owFo�o Oran �XPaul T. Bruflat. Vice President State of South Dakota ss County of Minnehahe On this Min day of June, 2015, before me personally came Paul T. Bmfbu, to me known, who, being by me duly mom, did depose and say: that he resides in the City of Sioux Falls, State of South Dakota; that he is the Vice President of WESTERN SURETY COMPANY described in and which executed the above instrument; that he knows the seal of said corporation; that the seal affixed to the said instrument is such corporate seal; that it was so affixed pursuant to authority given by the Board of Directors of said corporation and that he signed his name thereto pursuant to like authority, and acknowledges same to be the act and deed of said corporation. My commission expires S. EICH February 12, 2C21 •� NOTARY PUBLIC 1 %� _ -IrSl SOOTM DAKOfA�I �VV` jr,�Y'�f S. Eich, Notary Public CERTIFICATE I, L. Nelson. Assistant Secretary of WESTERN SURETY COMPANY do hereby certify that the Power of Attorney hereinabove set forth is still in force, and further certify that the By -taw of the corporation printed on the reverse hereof is still in force. In testimony whereof I have hereunto subscribed my name and affixed the scal of the said corporation this _ day of J U N 2 4 2019. eTy WESTERN SURETY COMPANY £Reif ` r s£Pv od Tr L. Nelson. Assistant Secretary Form P4280-7-2012 23A-19 Ait9hacldn9 By -Law ADOPTED BY THE SHAREHOLDERS -OF WESTERN SURETY COMPANY This Power of Attorney is made and executed pursnmrt fo and by authority of the following By-law duly adopted by 1he shareholders of the Company. Section 7. All bonds, policies, undertakings, Powers of Attorney, or other obligations of the corporation shell be executed in the corporate name of the Company by the President, Secretary, and Assistant Secretary, Treasurer, or any Vice President,'or by such other officers; as the Board of Directors may authorize. The President, any Vice President, Secretary, any Assistant Secretary, or the Treasurer may appoint Attorneys m Fact or agents who shall have authority to issue bonds, policies, or undertakings m the name of the Company. The corporate seat is not necessary for the validity of any bonds, policies, undertakings, Powers of Attorney or other obligations of the corporation. The signature of any such officer and the corporate seal may be printed by facsimile. 23A-20 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 18-6909 BRISTOL REHABILITATION FROM 17TH ST TO SANTA CLARA AVE 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: ''/a% of the bid or $10,000, whichever is greater o Buildings, parks, or other projects: V2"/a 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 AMERICAN PAVEMENT SYSTEMS Name CL SURVEY License #/Exp. 943792 02/29!2020License #/Exp. 8231 NO EXP DIR Reg.#/Exp. 1000000207 06/30/22 DIR Reg.#/Exp. 1000007166 6/30/20 Location 1012 1 ITH ST STE 1000, MODESTO, CA 95354 Location 1269 POMONA RD STE 1087, CORONA, CA 92882 Phone 209-522-2277 Phone 909-484-4200 Type Of Work ARAM Type Of Work SURVEY Amount $ $99,912.00 Amount $ $7,500.00 Name NOBESTINC Name SMITHSON ELECTRIC License #/Exp. 359622 07131/20 License #/Exp. 614518 03/31/21 DIR Reg.#/Exp. 1000011529 6/30/20 DIR Reg.#/Exp. 1000001610 06/30/20 License # 359622 License # 614518 Location 7600 ACACIA AVE.. GARDEN GROVE, CA 92841 Location 1938 E. KATELLA AVE., ORANGE, CA 92867 Phone 714-892-5583 Phone 77T- Type Of Work CONCRETE Type Of Work LOOPS Amount $ $126,300.00 Amount $ $9,115.00 Name SUPERIOR PAVEMENT Name License #/Exp. License #/Exp. DIR Reg. #/Exp. D[R Reg. #/Exp. License # 776306 License # Location 5312 CYPRES ST., CYPRESS, CA 90630 Location Phone 714-995-9100 Phone Type Of Work STRIPING Type Of Work Amount $ $24,388.00 Amount $ X Signature Bid r STEVE MENDOZA. SECRETARY P-8 of P-16 23A-21 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 18-6909 BRISTOL REHABILITATION FROM If" ST TO SANTA CLARA AVE 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 CITY OF LAKE FOREST, 25550 COMMERCENTRE DRIVE STE. 100, LAKE FOREST, CA 92630 Name and Address of Owner. DOUG ERDMAN 949-282-5233 Name and Telephone Number of person familiar with project. $1,443,200.00 RESURFACING PROJECT Contract Amount Type of Work 2. CITY OF RIVERSIDE, 3900 MAIN STREET, RIVERSIDE, CA 92522 Name and Address of owner. STEVE HOWARD 951-826-5567 0812017 Date Completed Name and Telephone Number of person familiar with project. $5,872,373.05 STREET WIDENING 062017 Contract Amount Type of Work Date Completed 3 CITY OF TUSTIN, 300 CENTENNIAL WAY, TUSTIN, CA Name and Address of owner. EDDY JAN 714-573-3157 Name and Telephone Number of person familiar with project. $1,629,018.86 STREET REHABILITATION Contract Amount Type of Work 10/2018 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. PATRIOT RISK AND INSURANCE SERVICES 2415 CAMPUS DR SUITE 200, IRVINE, CA 92612 SCOTT SALANDI 949-486-7917 LAURIE SYLVESTER 949-486-7900 P-9 of P-16 23A-22 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 18-6909 BRISTOL REHABILITATION FROM 17TM ST TO SANTA CLARA AVE 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. CITY OF TUSIN, 300 CENTENNIAL WAY, TUSTIN, CA 92780 Name and Address of Owner. BENNY TENKE.AN 714-573-3161 Name and Telephone Number of person familiar with project. $22.6 MILLION TUSTIN RANCH ROAD RECONSTRUCTION 04/2014 Contract Amount Type of Work Date Completed 2, CITY OF ORANGE, 300 E. CHAPMAN AVE., ORANGE, CA 92866 Name and Address of owner. ALANTRUONG 714-744-5573 Name and Telephone Number of person familiar with project. $1,559,443.59 ROAD REHABILITATION 03/2014 Contract Amount Type of Work Date Completed 3 CITY OF MISSION VIEJO, 200 CIVIC CENTER DRIVE, MISSION VIEJO, CA 92691 Name and Address of owner. JOE AMES 949-470-8419 Name and Telephone Number of person familiar with project. $1,504,975.00 PAVEMENT REHABILITATION 08/2013 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. PATRIOT RISK AND INSURANCE SERVICES 2415 CAMPUS DR. SUITE 200, IRVINE, CA 92612 SCOTT SALANDI 949-486-7917 BONDS LAURIE SLYVESTER 949-486-7900 INSURANCE P-10 of P-16 23A-23 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 18-6909 BRISTOL REHABILITATION FROM 17Tx ST TO SANTA CLARA AVE 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. Signed X State of California" County of ORANGE Subscribed and sworn to (or affirmed) before me on this 9TH day of JULY 2019 by STEVE MENDOZA , proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me x Notary Public Si n• t e Notary Public Seal I. DE IONGH -y J.OEIONGH s ?, Commission # 21 Notary Pu0hc Cali9oi nit Ora,iBe Coulty My Comm. Expires Oct 28. 20119 P-11 ofP-16 23A-24 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 18-6909 BRISTOL REHABILITATION FROM 17TH ST TO SANTA CLARA AVE NON-DISCRIMINATION CERTIFICATE The undersigned contractor or corporate officer, during the performance of this contract, certifies as follows: 1. 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. P-12 of P-16 23A-25 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 18-6909 BRISTOL REHABILITATION FROM 17T" ST TO SANTA CLARA AVE 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 Chapter. Signed: X Title: STEVE MdNDOZA, SECRETARY Firm: R.J. NOBLE COMPANY Date: 07/09/2019 P-13 of P-16 23A-26 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 18-6909 BRISTOL REHABILITATION FROM 17T" ST TO SANTA CLARA AVE 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 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 amount to the California Apprenticeship Council. Signed: X Title: STENDOZA, SECRETARY Firm: R.J. NOBLE COMPANY Date: 07/09/2019 P-14 of P-16 23A-27 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 18-6909 BRISTOL REHABILITATION FROM 17T" ST TO SANTA CLARA AVE 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 otherwise entitled. Signed: X Title: STEVE MENDOZA, SECRETARY Firm: R.J. NOBLE COMPANY Date: 07/09/2019 P-15 of P-16 23A-28 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 18-6909 BRISTOL REHABILITATION FROM 17TH ST TO SANTA CLARA AVE 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 If the answer is yes, explain the circumstances in the following space. P-16ofP-16 23A-29 DESIGNATION/CERTIFICATION OF ASPHALT -RUBBER BINDER APPLICATOR(S) BIDDER proposes to have Asphalt -Rubber BINDER for ARAM (application) applied by: American Pavement Systems 1012 11th Street Suite 1000 Modesto, CA 95354 Name/Address This section shall be completed even if the bidder plans to apply Asphalt -Rubber binder with its own equipment and labor forces. Name above must be the actual company applying the Asphalt -Rubber binder on the roadway. Bidder shall attach to this form copies of all required local air pollution control district or air quality management district final permit to operate (PTO) documents (not temporary, experimental, research, and/or authority to construct (ATC)) which allow the operation of the specific equipment to be used to control emissions during the application of Asphalt -Rubber binder on the roadway (the Application). The Application, in a manner conforming with these project specifications, has been indisputably determined to be in non-compliance with California air quality regulations limiting opacity of emissions, unless a permitted emission control device is used during the Application to directly remove emissions occurring during the Application. It is for that device, which may be described as an air filter, custom air pollution control system, portable air pollution control, opacity control unit, emission control unit consisting of collection hood and 3-stage oil mist filter system, or other similar description for which a copy of a final PTO must be provided from the local air pollution control district or air quality management district. If the bidder fails to fully complete this portion of the bid and provide the foregoing documentation, the bid is non -responsive and shall be rejected. CERTIFICATION UNDER PENALTY OF PERJURY I certify under penalty of perjury under the laws of the State of California that I have read and understand the requirements contained in this form. I further certify that all information provided in response to this form is true and accurate to the best of my knowledge and belief. David Pimley, Chip Seal Division Print Name, Title Signature of Bidder 7/3/2019 Uate 23A-30 9,2011 DESIGNATION/CERTIFICATION OF ASPHALT -RUBBER AND AGGREGATE MEMBRANE CONTRACTOR AND/OR SUBCONTRACTOR(S) Bidder proposes to have the ARAM installed by: American Pavement Systems 1012 11th Street Suite 1000 Modesto, CA 95354 This section shall be completed even if the apparent low bidder plans to produce and install ARAM with its own forces. Name of Contractor and/or Subcontractor(s) shall be the actual company(ies) applying the binder and aggregate. For any bid to be considered responsive, performance criteria must be demonstrated on five separate projects performed by the same contractor or subcontractor(s) designated above, and with equivalent aggregate and binder proposed for the ARAM in this bid. Two years shall have elapsed since completion of the ARAM surface on each project and the projects shall be located in Southern California. To be considered a valid representative project, bidder must submit the name of the project, owner agency, agency representative's name and phone number, and a list of streets with limits totaling at least 1 mile (based on full width) in length for each project and the date the project was actually performed. A project will be considered a valid representative project if an asphalt emulsion spray application was originally placed with or without an application of sand, within 15 calendar days of the application of ARAM. Any other cover coat or course on the ARAM will cause the ARAM to be considered invalid as a representative project. ARAM on all projects must show insignificant raveling (loss of rock) and insignificant flushing (binder migration to the surface) at time of inspection by the Agency. Bidder shall verify any proposed representative projects prior to listing a subcontractor with such projects, or the bid will be considered non -responsive. If the Bidder cannot list in the space provided five projects that meet the criteria specified herein that were performed by the proposed ARAM contractor or subcontractor(s), the bid shall be considered non -responsive. 23A-31 Representative ARAM Projects Name of Project No. 1 Caltrans 11-2M4404 - Route 111 Agency Caltrans Date Completed 2015 Agency contact Daniel Hernandez Phone 760-355-8666 Approx. Length of ARAM (Full width) 2.4 miles Name of Project No. 2 Caltrans 11-2M7804 -Route 8 Date Completed 2016 Agency Caltrans Agency contact Daniel Hernandez Phone 760-355-8666 Approx. Length of ARAM (Full width) 12.9 miles Name of Project No. 3 Caltrans 11-2M6504 - Route 86 Dace Completed 2016 Agency Caltrans Agency Contact Daniel Hernandez Phone 760-355-8666 Approx. Length of ARAM (Full width) 24 7 miles Name of Project No.4 Caltrans 11-2M8604 - Route 78 Date Completed 2016 Agency Caltrans Agency Contact Daniel Hernandez Phone 760-355-8666 Approx. Length of ARAM (Full width) 30.7 miles Name of Project No. s Caltrans 11-2M9604 - Route 78 Agency Caltrans Date Completed 2017 Agency contact Daniel Hernandez Phone 760-355-8666 Approx. Length of ARAM (Full width) 26.7 miles 7Dav ced 66yr� Chip Seal Division Manager 7/3/2019 Signature of Bidder Title i END OF CONTRACTOR'S CERTIFICATION OF QUALIFICATION 23A-32 South Coast Air Quality Management District • , 21865 Copley Drive, Diamond Bar, CA 91765-4178 (909) 396-2000 • www.agmd.gov EQUIPMENT LOCATED AT: VARIOUS LOCATIONS IN SCAQMD CORONA,CA 92979 LEGAL OWNER CO. ID: 173474 OR OPERATOR AMERICAN PAVEMENT SYSTEMS, INC. 1012 11TH ST SUITE 1000 a MODESTO,CA,95354 PERMIT/APPLICATION RENEWAL PERMIT/ EQUIPMENT DESCRIPTION APPL NBR BILLING YEAR: 2018 G24559 Asphalt -Rubber Spraying G24560 Asphalt -Rubber Spraying G41967 ASPHALT BLENDING G41968 HEATER/FURNACE (<5 MMBTU/HR) GAS -LPG DATE: 07/17/2018 NEXT RENEWAL DATE 07/16/2019 07/16/2019 07/16/2019 07/16/2019 23A-33 SOUTH COAST AIR QUALITY MANAGEMENT DISTRICT Page I 21865 Copley Drive, Diamond Bar. CA 91765 Permit %o Flb G 24;D evi PERMIT TO OPERATE .y 54W2 -- — This initial permitmust be reneged ANNUALLY unless the equipment is maven, or changes ox%wrship. If the billing for the annual rcnewal fee (Rule 301,I7), is not received by the expiration date, contact the Distinct. Legal OSsner or Operator: Equipment Location Equipment Description: AMERICAN PAVEMENT SYSTEMS, INC. 1012 I ITH ST. SUITE. 1000 MODESTO. CA 95354 VARIOUS LOCATIONS IN SCAQMD PORTABLE RUBBERIZED ASPHALT SPREADER NO 2 CONSISTING OF: ID 173474 HOLDING TANK, RUBBERIZED ASPHALT- BINDER, 3,100 GALLON CAPACITY. WITH THREE TURBINE MIXERS, 20 H.P. EACH. A HYDRAULIC METERING PLRN/P, 20 H.P., AND TWO PROPANE FIRED RANSOME BURNERS, MODEL B4. 800.000 BTU PER HOUR TOTAL. 2. RUBBERIZED ASPHALT BINDER SPRAY BAR, I2'-0" W ASPHALT SPREADER FILTRATION ENCLOSURE, 9%0" W. X 7'-0" L. X 6'-0" FL, WI IH 24 FILTER CARTRIDGES, EACH 2'-0'* W. X 2'-0" L. X 0'-4" D., AND 12 FILTER CARTRIDGES. EACH 2'-0" W X 2'-0" L. X 1'-0" D., 3,000 SQ, FT TOTAL FILTER AREA, TWO IS -HP TUBE.AXIAL FANS, AND A CAPTURE HOOD, 8' 0" W. X 0'-10" L. Conditions; 1. OPERATION OF THIS EQUIPMENT SHALL BE CONDUCTED IN ACCORDANCE WITH ALL DATA AND SPECIFICATIONS SUBMITTED WITH THE APPLICATION UNDER WHICH THIS PFRMI I IS ISSUED UNLESS OTHERWISE NOTED BELOW. 2. 1 HIS EQUIPMENT SHALL BE PROPERLY MAINTAINED AND KEPT IN GOOD OPERA I IAG CONDITION AT Ali. TIMES. ;. IHIS EQUIPMENT SHALL BE OPERATED tN A MANNER TO MINIMIZE. EMISSIONS INTO THE ATMOSPHERE 1'0 LHE MAXIMUM EXTENT POSSIBLE. 4. THE APPLICATION TEMPERAILTRI- t d fill. RUBBERIZED ASPHALT BINDER SHALL NOT EXCEED 400 DEGREES FAHRE.NHEIT. COMPLIANCE W I ILI THIS CONDITION MAY BE DEMONST'RAT ED BY MONITORING THE TEMPFRA I URE OITHE RUBBERIZED ASPHALT IN TTIE HOLDING TANK OR AT THE METERING PUMP. 5. 1HE OPERATOR SMALL INS ALL AND MAINTAIN A TEMPERATCRE %lom rORING DEVICE TO DEMONSTRATE COMPLIANCE WITH THE TEMPERATURE LIMIT IN CONDITION NO, 4. 0Itl(J\AL 23A-34 SOUTH COAST AIR QUALITY MANAGEMENT DISTRICT 21865 Copley Drive, Diamond Bar, CA 91765 PERMIT TO OPERATE Pq, 2 Pamir "II. 62J5$7 6 THE AMOUNT OF RUBBERIZED ASPHALT BINDER PROCESSED BY THIS EQUIPMENT SHALL NOT EXCEED 125 TONS IN ANYONE OPERATING DAY 7 THE AMOUNT OF PROPANE USED TO FIRE THE BURNERS IN T HIS EQUIPMENT SHALL NOT EXCEED 5,080 GALLONS IN ANY ONE CALENDAR MONTH PURCHASE RECORDS SHALL BE USED TO DEMONSTRATE COMPLIANCE WITH THIS CONDITION. 8 THE HOLDING TANK COVER(S) SHALL REMAIN CLOSED FOR ALL OPERATIONS EXCEPT DURING CHARGING 9 1"HE OPERATOR SHALL CEASE OPERA] 10\ OF THIS EQUIPMENT IF THE VISIBLE EMISSIONS EXCEED THE LIMIT IN RULE 401. 10. A MECHANICAL GAUGE SHALL BE INSTALLED AND MAINTAINED TO INDICATE. IN INCHES OF WATER COLUMN, THE STATIC PRESSURE DIITERENIIAL ACROSS THE. FILTER CARTRIDGES. IL WHENEVER THIS EQUIPMENT IS IN OPERATION. T HE STATIC PRESSURE DIFFERENTIAL ACROSS THE FILTER CARTRIDGES SHALT. NOT EXCEED 3A INCITES OF WATER COLUMN. 12. RECORDS SHALL BE MAINTAINED TO DEMONS] R.A IL C(AlPLIANCE WITH TIIE ABOVE PERMIT CONDITIONS THE RECORDS SHALL. BE KEPT IN THE ASPHALT SPREADER VEHICLE FOR .AT LEAST THE LAST TWO YEARS AND SHALL BE MADE AVAILABLE TO DISTRICT PERSONNEL UPON REQUEST. 13. UPON THE FIFTH DAY AFTER PLACEMENT OF THIS EQUIPMENT IN1'0OPERATION AT A SITE. THE DISTRIC-T SHALL. BE NOTIFIED VIA TELEPHONE AT 1.877-810-6995 OF THE EXACT NATURE OF 1HE PROJECT AS FOLLOWS: A THE PERMIT NUMBER OF THE. PORTABLE EQUIPMENT-. B. 'I HE NAME. AND PHONE NUMBER OF A CONTACT PERSON, C. TNLLOCAHONWHERE IHEPORIAB[ LFQIIIPMFNTISOPERATED. D THE ESTIMATED I IMF. I"HE PORTABLE EQUIPMENTWILL BE LOCATED AT TIIE SITE, E. DESCRIPTION OF THE PROJECI, AND 1'. IF LOCATED W'11HIN LESS THAN I/4 MILE OP THE NEAREST SENSITIVE RECEPTOR DEFINED AS I OSG TERM HEALIH CARE FACILITIES, REHABILI I Al ION CENTERS, CONVAI 1 ,i I I I I I I RS, RETIREMENT HOMES, RESIDENCES, SCHOOLS. PI A1'ciRo t 1. fti 1 1 ill ICC ARE CENTERS,AND ATHLETIC FACILI"TIES. ORIGINAL 23A-35 ff-j-- SOUTH COAST AIR QUALITY MANAGEMENT DISTRICT 21865 Copley Drive. Diamond Bar, CA 91765 PERMIT TO OPERATE NOTICE YaEe 3 Prrmil An. G:J35Y IN ACCORDANCE WITH RULE 206. THIS PERMIT TO OPERATE OR COPY SHALL BE POSTED ON OR WITHIN & METERS OF THE EQUIPMENT. THIS PERMIT DOES NOT AUTHORIZE THE EMISSION OF AIR CONTAMINANTS IN EXCESS OF THOSE ALLOWED BY DIVISION 26 OF THE HEALTH AND SAFETY CODE OF THE STATE OF CALIFORNIA OR THE RULES OF THE AIR QUALITY MANAGEMENT DISTRICT. THIS PERMIT CANNOT BE CONSIDERED AS PERMISSION TO VIOLATE EXISTING LAWS, ORDINANCES, REGULATION'S OR STATUTES OF OTHER GOVERNMENT AGENCIES. EXECUTIVE OFFICER By Dorris M.Bailey%MP03 5,2312013 ORIGINAL 23A-36 SOUTH COAST AIR QUALITY MANAGEMENT DISTRICT Page I Lh-1 2I865 Copley Drive, Diamond Bar, CA 91765 Permh So. Gz4W PERMIT TO OPERATE AA-gwt rhis initial permit must be renewed ANNUALLY unless the equipment is moved, or changes ownership. If the billing for the annual renewal fee (Rule 301.0 is not received by the expiration date. contact the District. ID 173474 Legal Owner or Operator. Equipment Location: Equipment Description: AMERICAN PAVEMENT SYSTEMS, INC 1012 11 TH ST. SUITE 1000 MODESTO, CA 95354 VARIOUS LOCATIONS IN SCAQMD PORTABLE RUBBERIZED ASPHALT SPREADER NO. I CONSISTING OF: HOLDING TANK, RUBBERIZED ASPHALT BINDER, 3.100 GALLON CAPACITY, WITH THREE TURBINE MIXERS, 20 H.P. EACH, A HYDRAULIC METERING PUMP, 20 H.P., AND TWO PROPANE FIRED RANSONfE BURNERS. MODEL B4, 800,000 BTU PER HOUR TOTAL. 2. RUBBERIZED ASPHALT BINDER SPRAY BAR 12'-0" W. 3. ASPHALT SPREADER FILTRATION ENCLOSURE, 8'-0" W. X 7-0" L. X 6'-0" H- WITH 24 FILTER CARTRIDGES, EACH 2'-0" W. X 2'.0" L. X 0'-4" D., AND 12 FILTER CARTRIDGES. EACH 2'-0" W. X 2'-0" L. X V-0" D., 3,000 % FT. TOTAL FILI"ER AREA. TWO 15-II.P. TUBEAXIAL FANS, AND A CAPTURE HOOD, 8'-0" W. X 0'-10" L Conditions: 1. OPERATION OF THIS EQUIPMENT SHALL BE CONDUCTED IN ACCORDANCE WITH ALL DATA AND SPECIFICATIONS SUBMITTED WITH THE APPLICATION UNDER WHICH THIS PERMIT IS ISSUED UNLESS OTHERWISE NOTED BELOW. 2. THIS EQUIPMENT SHALL BE PROPERLY MAINTAINED AND KEPT IN GOOD OPERATING CONDITION AT ALL TIMES. 3. THIS EQUIPMEN"I SHALL BE OPERATED IN A MANNER TO MINIMIZE EMISSIONS INTO THE ATMOSPHERE TO THE MAXIMUM EXTENT POSSIBLE. 4. THE APPLICATION IFMPFR.ATTJRF. OF TILE RUBBERIZED ASPHALT BINDER SHALL NOT EXCEED 400 DEGREES FAHRENHEIT. COMPLIANCE WI"IH THIS CONDITION MAY BE DEMONSTRATED BY MONITORING THE TEMPERATURE OF THE RUBBERIZED ASPHALT IN THE HOLDING I ANK OR AT THE METERING PUMP. 5 THE OPERATOR SHALL INSTALL AND MAINTAIN A TEMPERATURE MONITORING DEVICE TO DEMONSTRATE COMPLIANCE WITH THE TEMPERATURE LIMIT IN CONDITION NO. 4. ORIGINAL 23A-37 _ ___ SOUTH COAST AIR QUALITY MANAGEMENT DISTRICT 21865 Copley Drive Diamond Bar. CA 91765 PERMIT TO OPERATE Pagr 1 Pamir GW6u A.N 5-46W 6 1HE AMOUNT OF RUBBERIZED ASPHALT BINDER PROCESSED BY THIS EQUIPMENT SHALL NOT EXCEED 125 TONS IN ANY ONE OPERATING DAY. 7. THE AMOUNT OF PROPANE USED TO FIRE THE BURNERS IN THIS EQUIPMENT SHALL NOT EXCEED 5.080 GALLONS IN ANY ONE CALENDAR MONTH. PURCHASE- RECORDS SHALL BE USED TO DEMONSTRATE COMPLIANCE WITH'rHIS CONDITION. 8. THE HOLDING TANK COVER(S) SHALL. REMAIN CI OSED FOR ALL OPERAI IONS EXCEPT DURING CHARGING. 9. THE OPERATOR SHALL CEASE OPERATION OF THIS EQUIPMENT IF THE VISIBLE EMISSIONS EXCEED THE LIMIT IN RULE 401 10 A MECHANICAL GAUGE SHALL. BE INS I AI I 1 D AND MAINTAINED TO INDICATE, IN INCHES OF WATER COLUMN, THE STATIC PRESSURE DIFf'LRENTIAL ACROSS TILE FILTER CARTRIDGES, IL WHENEVER THIS EQUIPMENT IS IN OPERATION, THE STATIC PRESSURE DIFFERENTIAL ACROSS THE FILTER CARTRIDGES SHALT. NOT EXCEED 3.1 INCHES OF WATER COLUMN. 12. RECORDS SHALL BE MAINTAINED TO DEMONSTRATE COMPLIANCE WITH THE ABOVE PERMIT" CONDITIONS. THE RECORDS SHALL BE KEPI IN THE ASPHALT SPREADER VEHICLE FOR AT LEAST THE LAST TWO YEARS AND SHALL BE MADE AVAILABLE TO DISTRICT PERSONNEL UPON REQUEST. 1? UPON THE FIFTH DAY AFTER PLACEMENT OF' THIS EQUIPMENT INTOOPF.R.ATI0, AT .A SITE, THE DISI RICT SHALL BE NOTIFIED VIA TELEPIIONE AT 1-877-810.6995 Or THE EXACT NAI URL OF THE PROJECT AS FOLLOWS: A, TILE PERMIT NUMBER OF 1III: PORTABLE EQUIPMENT, B. 1-HE NAME AND PHONE NUMBER OF A CONI ACT PERSON. C. I'HF LOCAT ION WHERE THE PORTABLE EQUIPMENT IS OPERATED, D. THE ESTIMATED'[ IMF. THE PORT ABLE EQUIPMENT WILL BE LOCATED AT THE SITE. L DFSCRIPTION OF THE PROJECI..AND F. IF LOCATED WITHIN LFSS THAN 14 MILE OF I1IL NLARLS I- SENSI I IVE REC'I:PIOR DEFINED AS LONG TERM HEALTH CART. FACILHIFS, REHABILIT ATION CENTERS. CONVALESCLNT CENTERS, RETIREMENT HOMES. RESIDENCES, SCHOOLS, PLAYGROUNDS, CHILDCARE CENTERS, AND ATHLETIC FACILFHFS. IIIU(;I N.1L 23A-38 SOUTH COAST AIR QUALITY MANAGEMENT DISTRICT �.` 21865 Copley Drive. Diamond Bar. CA 917G5 PERMIT TO OPERATE NOTICE Pagt ! Pamir \o. ez4q66 A;k sab"I LN AC'CORDANCE WITH RULE: 206, THIS PERMIT TO OPERATE OR COPY SHALL. BE POSTED ON OR WI IHIN 8 METERS OF THE. EQUIPMENT. THIS PERMIT DOES NOT AUTHORIZE THE EMISSION OF AIR CONTAMINANTS IN EXCESS OF THOSE ALLOWED BY DIVISION 26 OF THE HEALTH AND SAFE"rY CODE OF THE STATE OF CALIFORNIA OR THE RULES OF THE AIR QUALITY MANAGEMENT DISTRICT THIS PERMIT CA\TIOT BE CONSIDF.RLD AS PERMISSION TO VIOLATE EXISTING LAWS. ORDINANCES, REGULATIONS OR STATUTES OF OTHER GOVERNMENT AGENCIES EXECUTIVE OFFICER By Dorris %1 BaiIcT'MP03 i.23/2013 ()itll,lA VI 23A-39 CITY OF SANTA ANA EXHIBIT 3 CONSTRUCTION CONTRACT PROJECT 18-6909 BRISTOL STREET REHABILITATION FROM 17TH STREET TO SANTA CLARA AVENUE PROJECT This CONSTRUCTION CONTRACT is made and entered into this 1st day of October, 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 R.J. Noble Company (hereinafter "CONTRACTOR"). WH`NESSETH: 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 Bristol Street Rehabilitation From 17t' Street to Santa Clara Avenue 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 Six Hundred Fifteen Thousand Five Hundred Fifty Dollars and No Cents ($615,550.00), as set forth and identified in the BID PROPOSAL, which is attached hereto and incorporated herein as Exhibit "A." rev.09101/2017 23A- "0 Page 1 of 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. 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: http://www.santa-ana.org/pwa/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, furnish Certificates of Liability Insurance and Worker's Compensation Insurance as outlined in the General Provisions, to be approved by the CITY. // 23A-41 Page 2 of 3 IN WITNESS WHEREOF, the parties hereto have executed this Construction Contract on the day and year first above written. ATTEST: DAISY GOMEZ Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney WiN 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: R.J. Noble Company x NAME• TEV *NDOZA TITLE: SECRETARY 23A-42 Paae 3 oF3 COST ANALYSIS CONSTRUCTION OF THE PROJECT NO. 18-6909: BRISTOL STREET REHABILITATION FROM 17th STREET TO SANTA CLARA AVENUE Construction Contract $ 615,550 Contract Administration $ 40,100 Inspection and Testing $ 52,233 Contingencies $ 61,555 TOTAL ESTIMATED CONSTRUCTION COSTS $ 769,438 EXHIBIT 4 23A-43 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 1, 2019 TITLE: APPROVE AGREEMENT WITH THE STATE OF CALIFORNIA WORKFORCE DEVELOPMENT BOARD FOR THE PRISON TO EMPLOYMENT IMPLEMENTATION DIRECT SERVICES GRANT ($1,306,117) (STRATEGIC PLAN NO. 2,4) CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 161 Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO /s/ Kristine Ridge FILE NUMBER CITY MANAGER RECOMMENDED ACTION Authorize the City Manager to execute an agreement with the State of California Workforce Development Board for the Prison to Employment Implementation Direct Services Grant, for a term commencing October 2019 through March 31, 2022, for an amount not to exceed $1,306,117, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION The California Workforce Development Board and the Employment Development Department announced the availability of state General Funds for the implementation of a regional plan to serve the formerly incarcerated and other justice involved individuals in California with supportive services and earn and learn opportunities. The funds will be released as grants to each of the 14 Regional Planning units. Santa Ana is in the Orange Region along with the Workforce Boards of the City of Anaheim and Orange County. The grant is in response to the passage of Senate Bill 856 which provided $37 million in state General Funds to establish this initiative. A Request For Proposal (RFP) was released with each region required to designate one local Workforce Development Board to be the applicant and fiscal agent. Staff from the City worked closely with the County and City of Anaheim and submitted the proposal on behalf of the region. In April, the City received notice that the region was awarded a total of $3,816,967 with the first agreement to be $1,306,117 and the balance to commence upon expenditure of the first award. The RFP required partnership with the regions Local Workforce Boards, the California Department of Corrections and Rehabilitation Division of Adult Parole Operations, County Probation, Community Based Organizations (CBO's) that serve the formerly incarcerated and other justice involved individuals, and reentry service providers. Staff is preparing several agreements with entities to implement the strategies outlined in the grant proposal and will bring them before City Council in the near future. 25A-1 Agreement with State of California WDB for Prison to Employment Direct Services October 1, 2019 Page 2 Over the three-year period, the awarded Prison to Employment grant intends to serve 310 individuals who were formerly incarcerated or under County Probation or State Parole supervision. Depending on the outcome of their assessment they will be served thru work experience, on the job training, training that leads to industry recognized certificate, or direct placement by using a wraparound case management coordinated with CBO's and the region's three Workforce Development Boards. Coordination of referrals will take place pre-release at county jails and post release through deployment of staff at probation and parole offices located throughout the County. STRATEGIC PLAN ALIGNMENT Approval of this item support's 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 Revenue for this grant has been budgeted in Fiscal Year 2019-20 in the Prison to Employment Program, Federal Grant -Indirect account (no. 14418002-52001) for the first allocation in the amount of $1,306,117. The same amount has been budgeted in the Prison to Employment, Reserve Appropriation expenditure account (no. 14418760-69011). Expenditures for Fiscal Year 2019-20 are estimated to be $653,000 and for Fiscal Year 2020-21 are estimated to be $653,117. Fiscal Year Accounting Unit- Account # Fund Description Accounting Unit, Account Description Amount FY2019-2020 14418760-various Prison to Employment Various $146,600 FY2019-2020 14418760-69135 Prison to Employment Payment to Subagent 506,400 FY2020-2021 14418760-various Prison to Employment Various 146,614 FY2020-2021 14418760-69135 Prison to Employment Payment to Subagent 506,503 Total Contract Amount $1,306,117 APPROVED AS TO FUNDS AND ACCOUNTS: Steven A. Mendoza Kathryn Downs, CPA Executive Director Executive Director Community Development Agency Finance and Management Services Agency Exhibit: 1. Prison to Employment Implementation Direct Services Agreement 25A-2 STATE OF CALIFORNIA -DEPARTMENT OF GENERAL SERVICES STANDARD AGREEMENT AGREEMENTNUMBER PURCHASING AUTHORITYNUMBER (if Applicable) STD 213 (Rev.03/2019) 1 M0113404 EDD-7100 1. This Agreement is entered into between the Contracting Agency and the Contractor named below: CONTRACTING AGENCY NAME California Workforce Development Board (CWDB) CONTRACTOR NAME City of Santa Ana 2. The term of this Agreement is: START DATE September 1, 2019, or upon final approval THROUGH END DATE March 31, 2022 3.The maximum amount of this Agreement is: $1,306,117.00 (One Million Three Hundred Six Thousand One Hundred Seventeen Dollars and No Cents) 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 Scope of Work 1 Attachment A-1 Workplan 9 Exhibit B Budget Detail and Payment Provisions 4 Attachment B-1 Budget Summary 1 Attachment B-2 Budget Narrative 1 Exhibit C* General Terms and Conditions GTC 04/2017 Exhibit D Special Terms and Conditions 3 Exhibit E Contractor's Response -CWDB Request for Application (RFA) No. 84049 45 Exhibit F** CWDB RFA No. 84049 **Items shown with a double asterisk (**), are hereby incorporated by reference and made part of this agreement as if attached hereto. The document can be viewed in the contract file M0113404. Itemsshown with an asterisk(*), are herebyincorporated byreference and made partofthis agreement as ifattached hereto. Thesedocuments can be viewedat httL)5Yl ✓w.das.ca.0ov70LS/Resources IN WITNESS WHEREOF, THIS AGREEMENT HAS BEEN EXECUTED BYTHE PARTIES HERETO. CONTRACTOR CONTRACTOR NAME (if other than an individual, state whether a corporation, partnership, etc) City of Santa Ana CONTRACTOR BUSINESS ADDRESS CITY I STATE ZIP 20 Civic Center Plaza I Santa Ana CA 92701 PRINTED NAME OF PERSON SIGNING TITLE Steven A Mendoza I Executive Director CONTRACTOR AUTHORIZED SIGNATURE TO FORM Attorney DATE SIGNED 25A-3 Page 1 of 2 O3a1-.11a STATE OF CALIFORNIA -DEPARTMENT OF GENERAL SERVICES STANDARD AGREEMENT AGREEMENT NUMBER PURCHASING AUTHORITY NUMBER (if Applicable) STD 213 (Rev. 03/2019) M0113404 EDD-7100 STATE OF CALIFORNIA CONTRACTING AGENCY NAME California Workforce Development Board CONTRACTING AGENCY ADDRESS CITY STATE ZIP 800 Capitol Mall, Suite 1022, MIC 45 Sacramento CA 95814 PRINTED NAME OF PERSON SIGNING TITLE Laura Caputo Deputy Director CONTRACTING. AGENCY AUTHORIZED SIGNATURE DATE SIGNED CALIFORNIA DEPARTMENTOF GENERALSERVICES APPROVAL EXEMPTION (If Applicable) SCM V I (4.06) 25A-4 Page 2 of 2 EXHIBIT A (Standard Agreement) This Agreement is entered into by and between the California Workforce Development Board, hereinafter referred to as CWDB, and the City of Santa Ana, hereinafter referred to as the Contractor, for the purposes of advancing the CWDB's Strategic Plan goals, specifically the Prison to Employment Initiative. The goals and tasks are identified in Attachment A-1, Workplan, and further defined in Exhibit E, Contractor's Response to the CWDB Request for Application (RFA) No. 84049. The Contractor will comply with the terms and conditions set forward in Exhibit A, Scope of Work, Attachment A-1, Workplan, Exhibit B, Budget Detail and Payment Provisions, Attachment B-1, Budget Summary, Attachment B-2, Budget Narrative, Exhibit C, General Terms and Conditions, Exhibit D, Special Terms and Conditions, Exhibit E, Contractor's Response to CWDB RFA No. 84049, and Exhibit F, CWDB RFA No. 84049, which, by this reference, are made part of the Agreement. 2. The project representatives during the term of this agreement will be: California Workforce Development Board Attn: Cindy Harrington 800 Capitol Mall, Suite 1022 Sacramento, CA 95814 Phone: (916) 651-7526 E-Mail: Cindy. harrington(a)cwdb.ca.gov City of Santa Ana Attn: Deborah Sanchez 801 W. Civic Center Dr., Ste. 200 Santa Ana, CA 92701 Phone: (714) 565-2621 E-Mail: dsanchez(a)santa-ana.org 3. Changes to the contract representatives will not require an amendment to the contract. 25A-5 (CALIFORNIA Workforce Development Board Region Name: Orange Regional Planning Unit Lead Applicant: Santa Ana EXHIBIT 1 CWDB Contract No. M0113404 CWDB/City of Santa Ana Page 1 of 9 Objectives/Activities Estimated Dates Quarter 1 (July - Sept 2019) Meetings with Probation, Parole, and Sheriffs staff - co -locate staff in the area offices and in jail if approved. Work on resource mapping, referral process, etc. Ongoing thru Sept 30 Develop worksites and identify OJT employers Ongoing thru Sept 30 Meetings with CBO partners - referral process, resource mapping, service flow etc. Ongoing thru Sept 30 Local Agreement execution: execution of agreements for sub -grantees Sept 30 2019 Sign agreeement - Fiscal Agent and State Sept 30 2019 Quarter 2 (Oct - Dec 2019) Leverage resources from Local and Regional Partners, outreach for supplemental resources Oct - Nov 2019 Initial Enrollment: Participant selection, enrollment, services 10/1/2019 Intake Case Management/career planning: Assessments, IEP, Career Advising, support services Oct 19 - ongoing Meet with partners to identify additional strategies and resources Ongoing Quarter 3 (Jan -March 2020) Particiapant Skills Increase: Workshops, trainings, support services provided 1/1/2020 Meet with partners to identify additional strategies and resources Ongoing Monthly ORPU meet to review enrollments and activity 1/20/2019 Quarter 4 (April - June 2020) Continue support services begin follow up services 4/1/2020 Meet with corrections partners to monitor progress and implement strategies as needed. Meet quarterly Meet with Partners for continued coordination and program progress Ongoing monthly Quarter 5 (July -Sept 2020) Review program enrollments benchmarks 6/1/2020 ORPU meet to review performance 7/30/2020 Quarter 6 (Oct - Dec 2020) Cont Case Management and Support Services Ongoing Identify co enrollments with WIOA: ensure elilgible clients that can benefit are enrolled in WIOA 12/31/2020 ORPU meet to review performance 12/30/2020 Meet with partners to leverage resources for support services and follow up 31-Dec Quarter 7 (Jan - March 2021) Review Enrollment goals and performance Jan-21 Cont Case Management and Support Services Ongoing 25A-6 CWDE'�Fagn , P�of'S011340a �j�I/�'it�! of Santa Ana ra continue follow up services Ongoing Quarter (April - June 2021) Monitor co -enrollments in WIOA 4/1/2020 Continue follow up services Ongoing Meet with partners to discuss client progress and performance goals Ongoing Continue Support Services Ongoing Quarter 9 (July - Sept 2021) Monthly meetings with partners Ongoing ORPU meet to review performance 6/1/2021 Quarter 10 (Oct - Dec 2021) Meet with partners to discuss client progress and performance goals Begin to discuss coordination of transfer of clients into CBO or WIOA programs for continuation of services as needed Ongoing 12/30/2021 Quarter 11 (Jan - March 2022) Transition caseloads to CBO or WIOA programs for continuation of services as needed Close Out Grant 1/1/2022 3/31/2022 ge2of9 25A-7 \ �ƒ } } } } k LL 0 /a{ \ £ £ £ k � ){ \ \ \ G - R R R R \ \ \ / - f k CL _ /{k/{k/{k ]f - - _ _ __ _ ` / \ _ - - - -- 0_ -_ -_ ° )f2o )f2o )f2o J ±$}_ ±$}_ ±$}_ _- {§!} )§!} )§!} CL 2 2 ƒ$2 ƒ${� ƒ${� _ - o7}{q o7}>% - 7}{q 0- §/{±¥ §/{±¥ a) fie) 3/m§E3/m§E3/m§E IL 00 { < IL 6 5 / U z / j / {k 0 0 0 om \ i 0 re \/ �0W0 6 25W ) ) ) ) ) ) \ \ \ \ \ \ / / / / / / �f - I }per[ _- _- _=2co2 - �)ƒ\k/[ _®(u \I§E -- - __ j\jk/a) a)� - \\/�ƒ\kj - a)0 /�/\� \\/ � e� - -�� EU)0® ss mj \2 \ 2j 00 CL2m U-00U o m\ IL I 2c ƒƒ 24{k CL J\� \ j±E �� - _ �0£ c 8 § k)\ /ƒ /\ / / 6 /0 _>1 2w k §{)2)0 {§ E a� t§§� 25A- 6'0 ) ) ) ) ) \ \ \ \ \ r r o \ \ e e Q Q Q E ) ) ) (_ k E E m® - f \ / 7 \ - - _ - _ /\kk\ -§ -§ § /_ - _- 2) 0-0 o �f �E _ �k�)/§ //m\§§g_ 7\±ao- //[ //[ - =I�§§UR E I)f 7e§)\ §72 \)k{\/ Sa\)"Q]w - - mm8>§{ )22b CL ��)�®) §[ a 8ef 8ef e7 yEe #»§$ƒ2§/§ J/7 J/7 §7\ƒ/§ E E _ 6G \® _> 0 �0� ~k }3R = GE _&\ L kmE c § ƒ§I w Aƒ 363 $t 00 �\ /i{ ��� &(L 25 -10 ) ) ) ) \ \ \ \ ° G @ @ - G - - {7/ 2 & 2 \ \ / / / /�\\/} f o e e a> §£a) $ _— oo27m ° / - E / / /7§)/\G E \{ \{ _)ƒj{\ &�)§=CL £ $§S�2Ee k 3\ 3\ ]f 3 3 � �§3 \E E 0)0) � \\ 00 �30 0� $3 \\k} )\k �§0 25A.11 �/ ) ) ) ) ) \ \ \ \ \ / / / / / 0-0 C) \ 2- §\% _- §\% _- ( \\ C) �� �� �«2_0 c c� j)�/} jE »/ /\ § \) )D -U) )#=22 -) )#=22 LLJ < \\ \\ \\\k{ \)cr G U / E 0E /{ �o f - \ 0 U) /U) o m j// / / "=;"0 COoo omom< I I 1 0 1 0 .\ )k/ _ \k� \ �0 w� < A.12 'tmCY) O C w M Q O F m 00 � m a o U o p m U n C) N N } Y 0 0 0 0 0 LO o 00 va e» t O i O Y R 6 U N O) L w O C7 U Y T O>> 7 C 0 �'E O — .N M L O 3= (6 W o O U c N R V _ > N (n N < r 00 O N O F C N N N C 6 O L (6 .0 U 7 O N ) OA 7 N i 2i .N N > L > O O O O a m E 3 m (7 Q O N L L 3 C Q Q C 0 O 'y T 3 "- O U 2 Y L t Y 0 25A-13 Iq 00 � o � Z — U m � O XC) Wm >n C) mCY) cI Q O MCY) C N M Ua 0 n C) o vrMM�Mmu��rn�r u� u� in in in M M M m LL� O O) LL� M N M V of 0 0 0� M M N N of o u�u�o(D u�oov O LL� 0 0� LL� M N M of W m 0 O N C v -ct C v v U v U o '� T O W a U O V E E W w W ¢ W v W v O 0 L U a o Yi tt m 0 a v r ct v v o M 0 v W C C N v¢` E O T f7 'C F a F > Tn a y'( ? m c o A m E F O a E o 0 m — '� `o 'v W a a a a O a = " o r° E m v v v m U 0 v v m c o z m m m m y m w U Q m m m m � N co 4 i0 (D h N 6 z 25A-14 EXHIBITB (Standard Agreement) BUDGET DETAIL AND PAYMENT PROVISIONS 1. For services satisfactorily rendered and upon receipt and approval of the invoices, CWDB agrees to compensate the Contractor in accordance with Attachments B-1, Budget Summary and B-2, Budget Narrative. The total amount of this Agreement shall not exceed One Million Three Hundred Six Thousand One Hundred Seventeen Dollars and No Cents ($1,306,117.00). 2. Invoices shall include the CWDB Contract Number M0113404 and shall be submitted monthly in triplicate, in arrears to: California Workforce Investment Board Attn: Angela Medibles 800 Capitol Mall, Suite 1022, MIC 45 Sacramento, CA 95814 3. The Grantee is responsible for ensuring that invoices submitted to the EDD claim actual expenditures for eligible project costs under Attachments B-1 and B-2. Grantee shall, upon demand, remit to the EDD any grant funds not expended for eligible project costs or an amount equal to any grant funds expended by the Grantee in violation of the terms, provisions, conditions, or commitments of this Grant Agreement. B. Withholdina of Grant Disbursements The CWDB and EDD may withhold all or any portion of the grant funds provided for by this Grant Agreement in the event that that the Grantee has materially and substantially breached the terms and conditions of this Grant Agreement, including submission of required reports and data. 2. The CWDB and EDD will not reimburse Grantee for costs identified as ineligible for grant funding. If grant funds have been provided for costs subsequently discovered to be ineligible, the CWDB and EDD may either withhold an equal amount from subsequent payments to the Grantee or require repayment of an equal amount to the state by the Grantee. 3. In the event that grant funds are withheld from the Grantee, the CWDB's Executive Director or designee shall notify the Grantee of the reasons for withholding and advise the Grantee of the time within which the Grantee may remedy the situation leading to the withholding. C. Budget Contingency Clause It is mutually understood between the parties that this Agreement may have been written before ascertaining the availability of congressional and legislative appropriation of funds, for the mutual benefit of both parties, in order to avoid program and fiscal delays which would occur if the Agreement were executed after that determination was made. 25A-15 This Agreement is valid and enforceable only if (1) sufficient funds are made available by the State Budget Act of the appropriate State Fiscal Year(s) covered by this Agreement for the purposes of this program; and (2) sufficient funds are made available to the State by the United States Government or by the State of California for the Fiscal Year(s) covered by this Agreement for the purposes of this program. In addition, this Agreement is subject to any additional restrictions, limitations or conditions established by the United States Government and/or the State of California, or any statute enacted by the Congress and Legislature, which may affect the provisions, terms or funding of the Agreement in any manner. The parties mutually agree that if the Congress and/or Legislature does not appropriate sufficient funds for the program, this agreement shall be amended to reflect any reduction in funds. The CWDB has the option to terminate the agreement under the 30-day termination clause or to amend the Agreement to reflect any reduction of funds. D. California Prompt Payment Clause Payment will be made in accordance with, and within the time specified in, Government Code § 927, et seq. 25A-16 'tm't O C w V Q O 0 4 U C Q O U U m >n U 0 0 0 0 0 N c Lr Lr o Lr o M M l0 c-I N M O c-I M N M y Y O C C O O N ( C UC1 a C O +�+ in Q '6 VI C N E C U) Y U C L s E c` �° a, u v bb O > C O Q VI Q Y O ❑" U .0 U/ C ` N_ .0 Q Q �_ Q O- Y N C w h0 > '6 E in Y .0 Q — § ' C `1 C O ro N N N N Q Q 0 in c U1 in E w v v O _ O X U1 E U/ (D in C N � O U` v E> C w E C E U bn C L O Y Q ] ` U ` U - N C M = N w C w O O U) m U) N " j — E o 0 z m z C 3 O a z-0 a 0 0 p O O p O �i V V V [0 0 Q CO Q Y Q 0 L C L O to w O Y V E N t Q Y U N O a in ? V V N C O Y U N O a Q U U U U i Q Q Q 25A-17 'tm't O C w M Q O o�m Ua o T U n O U U m >n U Y Y Q � C � > Y C j ' Y 3bn > Q Y U/ pn C ` Y C C C O Q O c E E J c ro v O U/ a m� 8 a v E ro a Y o X W 0 0 0 0 0 0 i o 0 o ti 00 Lr N O N 0 M c-I M c-I I C v C I I w"I Y Y Q C_ C O Q C Q E N N Y f0 a > m `O E 3 a a Y N C w C O —_ v o ro C in N O � '6 � v E v C v W U E U C a m � a VI Y VI I a Y Y Q 0 U a O C � > bn Y C j c Y 3 bZ v > c_ Y U pn C ` Y C C C O Q O Y a C� O Y a a E v N v v c E v E 3 J U in U) c v O � U) m-0 m Q a Q E a Y o I 25A-18 CWDBC r ctlp�gv1113404 C f S nta Ana Page 1 of 1 Grantee ISanta Ana - ORPU Budget Line Item Admin* In House Program Contracted Program Total 1 Staff Salaries and Fringe Benefits $91,112.00 $200,000.00 $250,000.00 $541,112.00 2 Staff Travel $5,000.00 $5,000.00 $5,000.00 $15,000.00 3 Operating Expenses Facilities Rent $5,000.00 $30,000.00 $40,000.00 $75,000.00 Office Supplies $1,000.00 $8,000.00 $12,000.00 $21,000.00 - Communications $1,000.00 $2,500.00 $5,000.00 $8,500.00 - Other (Describe) $0.00 4 Equipment Purchases & Furniture -Purchases $1,000.00 $5,000.00 $5,000.00 $11,000.00 -Leases $1,500.00 $5,000.00 $5,000.00 $11,500.00 5 Testing/instructional Materials $15,505.00 $10,000.00 $25,505.00 6 Tuition Payments/Vouchers $100,000.00 $100,000.00 7 Training Costs $200,000.00 $200,000.00 8 Supportive Services $50,000.00 $150,000.00 $200,000.00 9 Indirect Costs $25,000.00 $22,500.00 $25,000.00 $72,500.00 10 Other Program Services $25,000.00 $25,000.00 11 Contracts $0.00 Total Budget Amount 1 $130,612.00 $643,505.001 $532,000.00 $1,306,117.00 Total Cost Percents Total Admin* $130,612.00 10% Total Program $1,175,505. 10 90% Total Budget Amount $1,306,117.00 100% *Administrative Costs not to exceed 10% of total budget 25A-19 CWDB Contract No. M0113404 cE)U4tWTf113anta Ana Page 1 of 1 Grantee JSanta Ana ORPU Budget Line Item 1 - Staff Salary and Fringe Benefits Charged to Project List job titles of staff working on project (FTE) Salaries Fringe Benefits Benefits % Total Econ. Dev. Spec. III,Workforce Spec.Il,Senior Admin Assistant,Accountant,Mgmt Analyst,Sr Acct Assist (.75FTE) $50,000.00 $41,112.00 80.00% $91,112.00 Re -Entry Navigators (5FTE) $250,000.00 $200,000.00 80.00% $450,000.00 $0.00 Subtotal $300,000.001 $241,112.001 $541,112.00 Budget Line Item Narrative Detail Budget Amount 2 Staff Travel Training of staff, attendance grant mgmt. Mtgs in Scramento $15,000.00 3 Operating Expenses - Facilities Rent Office Rent $75,000.00 Office Supplies Basic office supplies - paper,file floders, pens, pencils, notepads, etc. $21,000.00 - Communications phone, internet service $8,500.00 - Other (Describe) 4 Equipment Purchases & Furniture -Purchases computer/laptop/handheld device $11,000.00 - Leases misc - copiers, phone system, etc. $11,500.00 5 Testing/Instructional Materials assessment test materials/instruments, score sheets, booklets,etc. $25,505.00 6 Tuition Payments/Vouchers Payment to training providers $100,000.00 7 Training Costs WEX, OJT's $200,000.00 8 Supportive Services clothing, shoes, tools, transportation, DMV fees, etc $200,000.00 9 Indirect Costs 11.16% Indirect Cost Rate Cognizant Agency - Dept. of Health and Human Services $72 500.00 10 10ther Program Services Treatment, counseling, etc. $25,000.00 11 Contracts Total Budget Amount of Awarded Fund 1 $1,306,117.00 Amount Percentage Total Admin 1 $130,612.00 10% Total Program 1 $1,175,505.00 90% 25A-20 SPECIAL TERMS AND CONDITIONS 1. Subcontractors or Subgrantees Nothing contained in this Agreement or otherwise, shall create any contractual relationship between the State and any subcontractors or subgrantees, and no subcontract or subgrant shall relieve the Contractor of his responsibilities and obligations hereunder. The Contractor agrees to be as fully responsible to the State for the acts and omissions of its subcontractors or subgrantees and of persons either directly or indirectly employed by the Contractor. The Contractor's obligation to pay its subcontractors or subgrantees is an independent obligation from the State's obligation to make payments to the Contractor. As a result, the State shall have no obligation to pay or to enforce the payment of any monies to any subcontractor or subgrantee. 2. Consultant —Staff Expenses The Contractor represents that it has or shall secure at its own expense, all staff required to perform the services described in this Agreement. 3. Public Contract Code (Consultant Services) The Contractor is advised that he/she has certain duties, obligations, and rights under the Public Contract Code §§ 10335 — 10381 and 10410 - 10412, with which the Contractor should be familiar. These Public Contract Code sections can be viewed at: https://Ieginfo.legislature.ca.gov/faces/codes displayText.xhtml? IawCode=PCC&division=2. &title=&part=2 .&chapter=2.&artic1e=4. https://Ieginfo.legislature.ca.govtfaces/codes displayText.xhtml? IawCode=PCC&division=2. &title=&part=2 . &chapter=2.&article=8. 4. Contractor Evaluation Within sixty (60) days after the completion of this Agreement, the Contract Manager shall complete a written evaluation of Contractor's performance under this Agreement. If Contractor did not satisfactorily perform the work, a copy of the evaluation will be sent to the State Department of General Services, Office of Legal Services, and to Contractor within 15 working days of the completion of the evaluation. (PCC 10369) 5. Contractor agrees to provide an education and training assessment for each individual of the supervised population who participates in this project pursuant to Penal Code Section 1234.3(c). The assessment may be undertaken by the contractor or by another entity. A prior assessment of an individual may be used if, in the determination of the CWIB, its results are accurate. 6. Termination Clause This Agreement may be terminated by CWDB by giving written notice 30 days prior to the effective date of such termination. 25A-21 7. Advance Work Should the Contractor begin work before receiving a copy of the approved Agreement, any work performed before approval shall be considered as having been done at the Contractor's own risk and as a volunteer. 8. Force Maieure Neither party shall be liable to the other for any delay in or failure of performance, nor shall any such delay in or failure of performance constitute default, if such delay or failure is caused by "Force Majeure." As used in the this section, "Force Majeure" is defined as follows: Acts of war and acts of God such as earthquakes, floods and other natural disasters such that performance is impossible. 9. Change in Contractor Staff Should a Contractor's team member(s) become unavailable prior to a start date agreed upon with CWDB, the Contractor will propose an equally well -qualified replacement consultant after consultation with CWDB. All replacements are subject to CWDB approval. Switching staff that were identified in the Contractor's proposal with alternates immediately, or soon thereafter, after execution of this Agreement, are grounds for termination of this contract. CWDB has the right to request removal and/or replacement of Contractor resources. 10. Avoidance of Conflicts of Interest by the Contractor A. The Contractor agrees that all reasonable efforts will be made to ensure that no conflict of interest exists between its officers, agents, employees, consultants or members of its governing body. B. The Contractor shall prevent its officers, agents, employees, consultants or members of its governing body from using their positions for purposes that are, or give the appearance of being, motivated by a desire for private gain for themselves or others such as those with whom they have family, business or other ties. C. In the event that CWDB determines that a conflict of interest situation exists, any cost associated with the conflict may constitute grounds for termination of this agreement. This provision shall not be construed to prohibit the employment of persons with whom the Contractor's officers, agents, or employees have family, business or other ties so long as the employment of such persons does not result in increased costs over those associated with the employment of any other equally qualified applicant and such persons have successfully competed for employment with other applicants on a merit basis. D. Certain consultants designated by the EDD's Conflict of Interest Code are required to file a Statement of Economic Interests, Form 700. The Contractor agrees that if the Director of EDD determines that a Statement of Economic Interests, Form 700, is required, the consultant shall obtain the Form 700 and filing instructions from the EDD Personnel Office. 25A-22 11. Travel Clause The travel and per diem shall be set in accordance with Department of Personnel Administration for comparable classes and that no travel outside the State of California shall be reimbursed unless prior written authorization is obtained from CWDB. 12. Workforce Innovation and Opportunity Act Contractor agrees to conform to nondiscrimination provisions of the Workforce Innovation and Opportunity Act (WIOA) and other federal nondiscrimination requirements as referenced in 29 CFR, Parts 37 and 38. 13. Disputes If the Grantee is disputes an action of the CWDB in the administration of this Grant Agreement, the Grantee may appeal to the CWDB's Executive Director or designee. Such appeals shall be filed within 30 calendar days of the notification from Grantee of such dispute. The appeal shall be in writing and 1) state the basis for the appeal, 2) state the action being requested of the Executive Director, and 3) include any documentation relating to the dispute. The CWDB Executive Director will review the correspondence and related documentation and render a decision of the appeal within 30 calendar days, except in those cases where the Grantee withdraws or abandons the appeal. The procedural time requirement may be waived with the mutual consent of the Grantee and the Executive Director. 14. Grantee shall cooperate with CWDB with regard to the performance of this agreement. 15. Grantee shall cooperate with CWDB to provide timely responses to any requests for data and/or reports the CWDB deems necessary for the evaluation of the grant program. Such data may include individual program participant data. Grantee further understands and agrees that this data will be shared with the CWDB and any other stakeholders. 16. Grantee is responsible for the project activities identified in the original Grant Proposal submitted to the CWDB, which is attached to and made a part of this Grant Agreement. Review and approval by the CWDB is solely for the purpose of proper administration of grant funds by EDD and shall not be deemed to relieve or restrict the Grantee's responsibility. 17. Grantee shall fulfill all assurances, declarations, representations, and statements made by the Grantee in the Grant Proposal, documents, amendments, approved modifications, and communications filed in support of its request for grant funds. 18. Grantee agrees to procure all permits and licenses necessary to complete the project, pay all charges and fees, and give all notices necessary or incidental to the due and lawful proceeding of the project work. 25A-23 0113404 EXHIBIT E CWDB Px tal 0 45 Pages (Standard Agreement) Prison to Employment Implementation Direct Services Grant and Supportive Services Earn and Learn Grant Cover Page EDD RFA #84049 Applicant Santa Ana Total Project Budget$1$4,358,726.00 Requested Amount $ $4,358,726.00 Match $ ddress: 801 W. Civic Center Drive, Suite 200 City & Zip Code: Santa Ana, CA 92701 County: Orange Designated Contact Person and Title: Deborah Sanchez, Econ. Development Specialist III - W DB Director Telephone: 714-565-2621 Fax: 714-565-2602 E-mail: dsanchez(asanta-ana-org DUNS Number: 08-315-3247 Proposed Region: Orange Proposed Occupations/Trades: Manufacturing, Hospitality & Tourism, Construction List Partners: Anaheim Workforce Development oar range County Development oar; Division of Adult Parole Operations (DAPO) Southern Region; OC Probation Dept & Community Corrections Partnership (OCCP); OC Sheriffs Department (OCSD); OC Labor Federation; Rancho Santiago Community College; Coastline Community College; CBO's - Working Wardrobes, Project Kinship, Chrvs lis n lustre vc ae ina ntitjea Fer Approval of Authorized Repress 177777777endoza Title: Executive Director, Community Development Agency Signature: Date: 2/15/2019 E-mail: smendoza@santa-ana.orR 25A-24 Grantee ISanta Ana - ORPU Budget Line Item Admin* In House Program Contracted Program Total 1 Staff Salaries and Fringe Benefits $91,112.00 $200,000.00 $250,000.00 $541,112.00 2 Staff Travel $5,000.00 $5,000.00 $5,000.00 $15,000.00 3 Operating Expenses Facilities Rent $5,000.00 $30,000.00 $40,000.00 $75,000.00 Office Supplies $1,000.00 $8,000.00 $12,000.00 $21,000.00 - Communications $1,000.00 $2,500.00 $5,000.00 $8,500.00 - Other (Describe) $0.00 4 Equipment Purchases & Furniture -Purchases $1,000.00 $5,000.00 $5,000.00 $11,000.00 -Leases $1,500.00 $5,000.00 $5,000.00 $11,500.00 5 Testing/instructional Materials $15,505.00 $10,000.00 $25,505.00 6 Tuition Payments/Vouchers $100,000.00 $100,000.00 7 Training Costs $200,000.00 $200,000.00 8 Supportive Services $50,000.00 $150,000.00 $200,000.00 9 Indirect Costs $25,000.00 $22,500.00 $25,000.00 $72,500.00 10 Other Program Services $25,000.00 $25,000.00 11 Contracts $0.00 Total Budget Amount $130,612.001 $643,505.001 $532,000.00 $1,306,117.00 Total Cost Percentage Total Admin* $130,612.00 10% Total Program $1,175,505.00 90% Total Budget Amount $1,306,117.00 100% *Administrative Costs not to exceed 10%of total budget 25A-25 Grantee JSanta Ana ORPU Budget Line Item 1 - Staff Salary and Fringe Benefits Charged to Project List job titles of staff working on project (FTE) Salaries Fringe Benefits Benefits % Total Econ. Dev. Spec. III,Workforce Spec.Il,Senior Admin Assistant,Accountant,Mgmt Analyst,Sr Acct Assist (.75FTE) $50,000.00 $41,112.00 80.00% $91,112.00 Re -Entry Navigators (5FTE) $250,000.00 $200,000.00 80.00% $450,000.00 $0.00 Subtotal $300,000.001 $241,112.001 $541,112.00 Budget Line Item Narrative Detail Budget Amount 2 Staff Travel Training of staff, attendance grant mgmt. Mtgs in Scramento $15,000.00 3 Operating Expenses - Facilities Rent Office Rent $75,000.00 Office Supplies Basic office supplies - paper,file floders, pens, pencils, notepads, etc. $21,000.00 - Communications phone, internet service $8,500.00 - Other (Describe) 4 Equipment Purchases & Furniture -Purchases computer/laptop/handheld device $11,000.00 -Leases misc - copiers, phone system, etc. $11,500.00 5 Testing/Instructional Materials assessment test materials/instruments, score sheets, booklets,etc. $25,505.00 6 Tuition Payments/Vouchers Payment to training providers $100,000.00 7 Training Costs WEX, OJT's $200,000.00 8 Supportive Services clothing, shoes, tools, transportation, DMV fees etc $200,000.00 9 Indirect Costs 11.16% Indirect Cost Rate Cognizant Agency - Dept. of Health and Human Services $72 500.00 10 Other Program Services Treatment, counseling, etc. $25,000.00 11 Contracts Total Budget Amount of Awarded Fund $1,306,117.00 Amount Percentage Total Admin 1 $130,612.00 10% Total Program 1 $1,175,505.00 90% 25A-26 ruLIF0Rt-,orkforce Development Board Region Name: Orange Regional Planning Unit Lead Applicant: Santa Ana Objectives/Activities Estimated Dates Quarter 1 (July - Sept 2019) Meetings with Probation, Parole, and Sheriffs staff - co -locate staff in the area offices and in jail if approved. Work on resource mapping, referral process, etc. Ongoing thru Sept 30 Develop worksites and identify OJT employers Ongoing thru Sept 30 Meetings with CIO partners - referral process, resource mapping, service flow etc. Ongoing thru Sept 30 Local Agreement execution: execution of agreements for sub -grantees Sept 30 2019 Sign agreeement - Fiscal Agent and State Sept 30 2019 Quarter 2 (Oct - Dec 2019) Leverage resources from Local and Regional Partners, outreach for supplemental resources I Oct - Nov 2019 Initial Enrollment: Participant selection, enrollment, services 10/1/2019 Intake Case Management/career planning: Assessments, IEP, Career Advising, support services Oct 19 - ongoing Meet with partners to identify additional strategies and resources Ongoing Quarter 3 (Jan -March 2020) Particiapant Skills Increase: Workshops, trainings, support services provided 1/1/2020 Meet with partners to identify additional strategies and resources Ongoing Monthly ORPU meet to review enrollments and activity 1/20/2019 Quarter 4 (April - June 2020) Continue support services begin follow up services 4/1/2020 Meet with corrections partners to monitor progress and implement strategies as needed. Meet quarterly Meet with Partners for continued coordination and program progress Ongoing monthly Quarter 5 (July -Sept 2020) Review program enrollments benchmarks 6/1/2020 ORPU meet to review performance 7/30/2020 Quarter 6 (Oct - Dec 2020) Cont Case Management and Support Services Ongoing Identify cc enrollments with WIOA: ensure elilgible clients that can benefit are enrolled in WIOA 12/31/2020 ORPU meet to review performance 12/30/2020 Meet with partners to leverage resources for support services and follow up 31-Dec Quarter 7 (Jan - March 2021) Review Enrollment goals and performance Jan-21 Cont Case Management and Support Services Ongoing 25A-27 continue follow up services Ongoing Quarter (April - June 2021) Monitor co -enrollments in WIOA 4/1/2020 Continue follow up services Ongoing Meet with partners to discuss client progress and performance goals Ongoing Continue Support Services Ongoing Quarter 9 (July - Sept 2021) Monthly meetings with partners Ongoing ORPU meet to review performance 6/1/2021 Quarter 10 (Oct - Dec 2021) Meet with partners to discuss client progress and performance goals Begin to discuss coordination of transfer of clients into CBO or WIOA programs for continuation of services as needed Ongoing 12/30/2021 Quarter 11 (Jan -March 2022) Transition caseloads to CBO or WIOA programs for continuation of services as needed Close Out Grant 1/1/2022 3/31/2022 25A-28 � k \ �ƒ } } } } } k � k � ){ \ \ \ 8 8 - R R R ° ° \ \ - 2 k �«�gF k�gF k�gF ma*&\/ �cim C\! \! 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A E F E O — v d U n C v v v W m O O r d C 2 � m m m i x U O v m a w o� U¢ a a a a K � N M 41i0 (O h co, O) z 25A-34 Document Form Form Required Name/Description Provided Implementation & Combined supportive Services Direct Services & Earn and Learn Cover Page YES YES Application Narrative NO YES Flowchart of Services NO YES Form 1: Budget Summary YES YES YES Form 2: Budget Narrative YES YES YES Form 3: Workplan YES YES YES Form 3A: Partners Roles and YES YES Responsibilities Form 4: Participant Plan YES YES YES Form 5: Worker's Compensaiton YES Certificate YES YES Form 6: CCC-307 YES YES YES Form 7: Darfur Contracting Act Certification (if applicable, see YES form for details) If applicable If applicable Form 8: Bidder Declaration YES YES YES Proof of registration with the California Secretary of State's NO Office. If applicable If applicable Partnership Agreement Letter/MOU (For a sample template, see Appendix B in the NO NO RFA) 25A-35 EXHIBIT 1 Prison to Employment ImplementationDirect Form 5: Workers' Compensation Certification EDD RFA ,0.9 I am aware of the provisions of section 3700 of the California Labor Code which requires every employer to be insured against liability for workers' compensation or to undertake self- insurance in accordance with such provisions before commencing the performance of the work of this Agreement. Samantha M. Lambert Risk Management Sup' Name and Title (Print or Type) City of Santa Ana Firm Name 14-Feb-19 Date 20 Civic Center Plaza Street Address Santa Ana, GA 92702 City, State, Zip 25A-36 EXHIBIT 1 Prison to Employment Implementation Direct Services Grant Form 6: CCC-307 EDD RFA #84049 CONTRACTOR CERTIFICATION CLAUSES-307 CERTIFICATION I, the official named below, CERTIFY UNDER PENALTY OF PERJURY that I am duly authorized to legally bind the prospective Contractor to the clause(s) listed below. This certification is made under the laws of the State of California. Contractor/Bidder Firm Name (Printed) Federal ID Number City of Santa Ana 95-6000785 By (Authorized Signature) Printed Name and Title of Person Signing Steven A. Mendoza, Executive Director Community Development Agency Date Executed Executed in the County of 15-Feb-19 Orange CONTRACTOR CERTIFICATION CLAUSES 1. STATEMENT OF COMPLIANCE: Contractor has, unless exempted, complied with the nondiscrimination program requirements. (Gov. Code §12990 (a-f) and CCR, Title 2, Section 8103) (Not applicable to public entities.) 2. DRUG -FREE WORKPLACE REQUIREMENTS: Contractorwill comply with the requirements of the Drug -Free Workplace Act of 1990 and will provide a drug -free workplace by taking the following actions: a. Publish a statement notifying employees that unlawful manufacture, distribution, dispensation, possession or use of a controlled substance is prohibited and specifying actions to be taken against employees for violations. b. Establish a Drug -Free Awareness Program to inform employees about: 1) the dangers of drug abuse in the workplace; 2) the person's or organization's policy of maintaining a drug -free workplace; 3) any available counseling, rehabilitation and employee assistance programs; and, 4) penalties that may be imposed upon employees for drug abuse violations. EXHIBIT 1 Prison to Employment Implementation Direct Services Grant Form 6: CCC-307 EDD RFA #84049 c. Every employee who works on the proposed Agreement will: 1) receive a copy of the company's drug -free workplace policy statement; and, 2) agree to abide by the terms of the company's statement as a condition of employment on the Agreement. Failure to comply with these requirements may result in suspension of payments under the Agreement or termination of the Agreement or both and Contractor may be ineligible for award of any future State agreements if the department determines that any of the following has occurred: the Contractor has made false certification, or violated the certification by failing to carry out the requirements as noted above. (Gov. Code §8350 et seq.) 3. NATIONAL LABOR RELATIONS BOARD CERTIFICATION: Contractor certifies that no more than one (1) final unappealable finding of contempt of court by a Federal court has been issued against Contractor within the immediately preceding two-year period because of Contractor's failure to comply with an order of a Federal court, which orders Contractor to comply with an order of the National Labor Relations Board. (Pub. Contract Code §10296) (Not applicable to public entities.) 4. CONTRACTS FOR LEGAL SERVICES $50,000 OR MORE- PRO BONO REQUIREMENT: Contractor hereby certifies that contractor will comply with the requirements of Section 6072 of the Business and Professions Code, effective January 1, 2003. Contractor agrees to make a good faith effort to provide a minimum number of hours of pro bono legal services during each year of the contract equal to the lessor of 30 multiplied by the number of full time attorneys in the firm's offices in the State, with the number of hours prorated on an actual day basis for any contract period of less than a full year or 10% of its contract with the State. Failure to make a good faith effort may be cause for non -renewal of a state contract for legal services, and may be taken into account when determining the award of future contracts with the State for legal services. 5. EXPATRIATE CORPORATIONS: Contractor hereby declares that it is not an expatriate corporation or subsidiary of an expatriate corporation within the meaning of Public Contract Code Section 10286 and 10286.1, and is eligible to contract with the State of California. 6. SWEATFREE CODE OF CONDUCT: EXHIBIT 1 Prison to Employment Implementation Direct Services Grant Form 6: CCC-307 EDD RFA #84049 a. All Contractors contracting for the procurement or laundering of apparel, garments or corresponding accessories, or the procurement of equipment, materials, or supplies, other than procurement related to a public works contract, declare under penalty of perjury that no apparel, garments or corresponding accessories, equipment, materials, or supplies furnished to the state pursuant to the contract have been laundered or produced in whole or in part by sweatshop labor, forced labor, convict labor, indentured labor under penal sanction, abusive forms of child labor or exploitation of children in sweatshop labor, or with the benefit of sweatshop labor, forced labor, convict labor, indentured labor under penal sanction, abusive forms of child labor or exploitation of children in sweatshop labor. The contractor further declares under penalty of perjury that they adhere to the Sweatfree Code of Conduct as set forth on the California Department of Industrial Relations website located at www.dir.ca.gov, and Public Contract Code Section 6108. b. The contractor agrees to cooperate fully in providing reasonable access to the 7. DOMESTIC PARTNERS: For contracts over $100,000 executed or amended after January 1, 2007, the contractor certifies that contractor is in compliance with Public Contract Code section 10295.3. '0F in Y }m/ C V O v V L V1 Y E 0 Q a1 O- Q a1 _ L Y E E .> Y lG � o �_ wrn Y.3 m N Cu\O L c +� r O w v O Z V C N N O > N " WEO j CG"--11 N 0 � L C V O O C v O Z = fl c 'L y Y V1 Q y y v a1 O � C V O 3 C N T - Ly �_ L -0 r com O > ❑ O v m Owe m N Z j m Y y Z v 0 m m E E N H } O M CO o a N C 4 v o 0 v E m tG Y -O 7 A p O O V 6 N •y m cu V .V =�> 4 0 o a` 0 0 of 0--a EV O 'O C O v O Q O .0 O V 0 Q V E Y . 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O q` N Y E G C L a 6 a 1 — 'O _ _ o E2 a �°' �• a 6 zo Ev -o R 25A-43 C 'c A w e 107:11:311i1 Outreach and Recruitment OC Probation OC Sheriff's Department OCREP Co -enrollment with WIOA As necessary Certifications -Industry-Recognized Credentials including, but not limited to: -National Retail Foundation -Forklift - HS Diploma/GED Vocational Prison to Employment Direct and Supportive Service Grant Service Delivery Flow Chart Intake of Participants - Screening - Pre -qualification - Project suitability - Eligibility I Enrollment I Assessment and Service Planning - Orientation - Assess Interests/Aptitudes - Wisconsin Risk Assessment - Career Counseling/Guidance - Career/Training Exploration - Workshops/job clubs - IEP/IDP Development - On -Going Case Management Individualized Career Services Job Readiness Employment Preparation Resume /Job Search Skills Interview and Follow -Up Skills Classroom Training Job Retention Skills Through a network of training partners including: -Area Community Colleges, Adult Education Industry -Training providers under WIOA contract Sectors OJT's with employers or Work Experience (public~ Construction and or private employers) Manufacturing Hospitality \ Others Support Services and Referrals - Health / Behavioral Health - Counseling - Transportation Assistance - Child Care - Legal Aid - Clothing Assistance - Tools and Supplies - Housing Basic Skills Remediation -Referrals to Local Adult Schools for Reading and Math Skills Enhancement - ALISON online courses Mentoring Referrals to CBOs for mentoring services, case management, job readiness, substance treatment, "Earn and Learn" Work -Based Training - Work Experience - Paid Internships - On -the -Job Training (OJT) - Pre -apprenticeship - Apprenticeship Exit & Follow-up Transition to apprenticeship Placement in further education Unsubsidized Job Placement Follow -Up and Job Retention Supportive services Co -enrollment with WIOA 25A-44 I. Statement of Need Since the inception of Assembly Bill 109 (AB 109) Public Safety Realignment Act of 2011, the Orange Region Planning Unit (ORPU) has seen an accelerated number of justice -involved individuals. The Orange County in -custody prison population is the sixth largest in the State, accounting for 6,555.' or 5% of the total prison population. In 2017, Orange County had the fifth highest number of parole releases with 964 or 5.3%, and had a total of 2,680' parolees. The Orange County Probation Department (OC Probation) oversaw a total supervised population of 10,542' probationers as of September 2018. The Orange County Sheriffs Department (OCSD) had 56,726. releases in FY 2017-2018. Barriers for the Supervised Population are extensive and unique; many times include basic requirements, such as food, clothing, and shelter, which creates challenges beyond employment and training services. The needs for these individuals to become self-sufficient are varied and range from lack of job training difficulties with education, family law issues, immigration, and child support debt. The ORPU will maintain collaboration and conduct outreach to future partners to ensure that resources are available to assist this hard to serve population. Since July 2016, WIOA Title I programs have served over 339 justice -involved individuals. Of those served, roughly 50% obtained employment in the OC Region. In addition, the OC and correction partners implemented the Linking to Employment Activities Pre -Release (LEAP) programs and Forward Focus/Supervised Population workforce training programs. These projects focused on effective strategies within the jails and continue post -release: LEAP 1 • Total Enrolled Pre -Release: 140 • Enrollment in Training Post -Release: 46 • Entered Employment Post -Release: 52 Forward Focus/Supervised Population (Post -Release) • Total Enrolled: 94 LEAP 2 • Total Enrolled Pre -Release: 96 Enrollment in Training: 22 Pre -Release; 10 Post - Release • Entered Employment Post -Release: 24 • Entered Employment: 45 • Enrollment in Training: 59 • Retention in Employment 6 months: 27 • Completion of Training: 52 • Placement in Post -Secondary Education: 4 • Attained Industry Valued Certificates: 37 • Placement in State -Approved Apprenticeship: 1 The ORPU identified several collaborative strategies to reverse the trend of criminal recidivism in hopes of making a meaningful impact in the region. Pre- and post -release services must be implemented to assist justice -involved individuals in examining societal and self-imposed barriers to work and life adjustment and community reintegration. The provision of pre-release services, such as workforce co -location in jail, allows for a smooth transition that increases post -release success. In addition, the need for workforce staff co -location at key sites (jail release centers, parole and probation reporting centers) increases accessibility to employment and supportive services for successful reintegration into the community. With a successful partnership between workforce and supervision, increasing the quality of employment opportunities, those providing a livable wage, will have a significant impact on recidivism. 5 H. Partnerships Partner Roles (see Partnership Agreement/Letters of Commitment) Local Workforce Development Boards: The Orange County Community Investment Division/Orange County Development Board (OCDB), Anaheim Workforce Development Board, and Santa Ana Workforce Development 'CDCR Offender Data Points Offender Demographics For the 24-month period, ending December 2017 'CDCR Offender Data Points Offender Demographics Forth 24-month period, ending December 2017 'OC Probation Department Research Division, September 2018 40C Sheriff's Department, Fiscal Year 2017-2018 'Schnabel T. Kevin. Good Jobs and Recidivism, August 2016 25A-45 Board are the Local Workforce Development Boards for the ORPU. The Local Boards will utilize the region's One - Stop Systems to augment delivery of services to program participants. • Representatives of State Parole offices for the California Department of Corrections and Rehabilitation: The Division of Adult Parole Operations (DAPO), Southern Region, as well as Workforce Innovation and Opportunity Act (WIOA) programs strategies are available to this population. DAPO staff will cooperate with Reentry Navigators to ensure parolees (Justice Involved) are referred to and have relevant information available to progress through training, educational and job opportunities. The leveraged contribution to this project will be staff time and delivery of program services. • Community Based Organizations (CBOs): a. Working Wardrobes has served the justice -involved population for over 25 years, and has successfully developed curriculum targeted specifically to the incarcerated, recently released, and both in -and out -of - custody job seekers. For this initiative, Working Wardrobes will provide case management, workforce readiness training, job training, and soft skills modules to assist the men and women with multiple barriers to employment. They will also offer job development services and placement assistance with numerous employer partners. b. Project Kinship serves as a convener of community resources, and advocates for the health, mental health, and well-being of the reentry population. Project Kinship offers prevention, intervention, and treatment programming; and advocates for system solutions to flip the school -to -prison into the prison -to -career pipeline. 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 individuals with histories of gang and/or justice system involvement. The main objectives of Prison to Employment Initiative (P2E) are: 1) career planning, work readiness skill building, training, and certifications; 2) job development, intensive case management, and peer mentoring; 3) education enrollment and retention; 4) civic opportunities and leadership development; and 5) incentives, training stipends, paid work experience, and other supportive services. c. Chrysalis has introduced a model for workforce development to assist criminal justice -involved individuals' transition into permanent employment to accomplish the goal of self-sufficiency. Chrysalis has developed a social enterprise that provides transitional employment for those with severe barriers to employment, including individuals in the criminal justice system. As part of the proposed partnership, Chrysalis agrees to provide the following services to eligible participants: one-on-one case management focused on securing employment; job readiness classes; resume preparation; and interview skills training. The organization would like to offer supportive service resources related to participants' job search, including interview clothing, transportation assistance, computer lab access, and phone bank use. Transitional job opportunities are offered throughout Chrysalis' program. d. The ORPU is a member of the Orange County Reentry Partnership (OCREP) this committee is a linkage of CBOs and advocates which function together to serve as a link between community resource providers and justice involved individuals striving to re-establish healthy, productive, and rewarding lives. • Orange County Probation Department and Community Corrections Partnership: The Chief Probation Officer of Orange County also chairs the Orange County Community Corrections Partnership (OCCCP) under the authority of Section 1230(b)(2) of the California Penal Code. OC Probation will provide office space, telephone service, referrals and work in tandem with Orange County Reentry Navigators. • Orange County Sheriffs Department (OCSD): The OCSD will incorporate the P2E project in the jails to screen eligible candidates. The OC Region operated a jail -based AJCC within the Central Women's Jail and the Theo Lacy Jail, funded by the Department of Labor. LEAP 1 and LEAP 2 programs supported recidivism reduction by offering workforce training and development. • Labor Organizations and joint labor-management partnerships: Labor Organizations will provide apprenticeships and hiring opportunities for the formerly incarcerated and other justice -involved individuals. • Employers: Employers will provide subsidize and unsubsidized employment opportunities for justice -involved individuals. 25A-46 • Education Partners: Adult Education Providers will coordinate efforts between workforce and education partners/stakeholders to provide training in demand occupations: Rancho Santiago Community College, Saddleback College, and North Orange County Community College District. • Orange County Housing Authority: The Orange County Housing Authority is a sister agency to the ORPU. Staff will work together to assist participants with housing needs. The ORPU will pursue a fully -integrated referral process that encompasses shared case management and will develop a multiple entry point system; a "no wrong door" approach for reentry and justice -involved clients in need of services. Correction partners have identified the need to co -locate allowing for Parole and Probation Officers to easily refer participants to employment services provided within their offices, this will allow for streamline of services between workforce and correction partners. This approach will allow direct referrals from Parole or Probation to a workforce navigator co -located within reporting centers. Furthermore, workforce staff from the local boards will be able to participate in Parole and Probation unit meetings that will facilitate the sharing of information. The OCRPU intends to serve participants who will reside in Orange County. However, if a participant moves out of the area, reentry navigators will refer participants to a One -Stop System/AJCC in their new Local Workforce Development Area (LWDA). Reentry navigators will contact the respective One -Stop System/AJCC and provide information to the participant about the One -Stop System/AJCC such as location, hours of operation, contact number, website details, and directions to access the One-Stop/AJCC. The ORPU will convene monthly meetings where all partners will come to the table to discuss participant accomplishments or issues, program updates, and upcoming events. Partners will have the opportunity to share best practices and lessons learned with regards to the service models that serve the region's justice involved population. The project will be in the Santa Ana Probation office, Orange County Day Reporting Center, and field offices (North County, West County and South County) as well as youth reporting centers (North Region and Juvenile Hall). M. Regional Implementation and Direct Services Plan 1. Describe the specific goals, objectives, and deliverables of project that will lead to improved outcomes for the justice -involved population, including successes in pre -apprenticeship, apprenticeship, and education (i.e. industry recognized certificates, credentials, and degrees), job placement etc. The ORPU intend to serve 350 participants who are under supervision by County probation or State parole. Depending on the outcome of their assessment they will be served thru work experience (WEX), on -the job training (OJT), training that leads to industry recognized certificate, or direct placement. Of those enrolled in training 75% will complete, 65% will enter employment, and 60 % retention in employment after six months. As income is very important to prevent recidivism and homelessness, an emphasis will be placed in WEX and or OJT. A pool of employers who employ justice involved individuals are known and staff will ensure WEX/OJTs are matched to work -ready participants. Recognizing that participants must re-enter the labor market fully armed with skills and competencies that make them true assets to employers. If classroom skills training, pre/apprenticeship and basic skills education are needed, Re-entry Navigators will help them enroll in short term training courses. Training plans will account for abilities and learning styles. The ORPU will pursue a fully -integrated referral process that encompasses shared case management and will develop a multiple entry point system; a "no wrong door" approach for reentry and justice -involved clients in need of services. Learning from the previous Supervised Population Grant 2.0, Correction partners have identified the need to co -locate allowing for Parole and Probation Officers to easily refer participants to employment services provided within their offices, this will allow for streamline of services between workforce and correction partners. This approach will allow direct referrals from Parole or Probation to a Re-entry Workforce Navigator. Furthermore, workforce staff from the local boards will be able to participate in Parole and Probation unit meetings that will facilitate the sharing of information. The reentry and justice -involved are often the least prepared for employment and lack financial resources to sustain participation in training over week or months. The One -Stop Systems in the ORPU will implement support services 25A-47 protocols that provide direct support and referrals for transportation, clothes, uniforms, tools, and other necessities and referrals for housing, substance abuse and mental health services as necessary. Other system partners, such as OCCCP, Temporary Assistance for Needy Families (TANF), CalFresh, OC Child Support TANF and Adult Education Block Grant (AEGB), and a cadre of CBO's also provide resources to leverage and braid to meet the clients' needs. 2. Describe how funds provided through this initiative will complement the work of, and integrate the individuals being served with, the broader workforce, education and employment system within the proposed service area, and evidence that the proposal incorporates innovative strategies or proven practices for service delivery that will lead to improved outcomes, sustainability, and systems improvement. Thin its One Stops and partners, the ORPU can braid its experience in the broader workforce, education and employment system which will lead to greater employment opportunities for the participants thin its connection to employers, career planning case management and follow up, convening of business stakeholders and employers, industry focused research/industry roundtables, customized employer -driven training projects and published research on labor/workforce demands. 3. Describe how regional partnerships to serve the formerly incarcerated will interface with existing regional sector pathways efforts described in existing WIOA regional plans and how information on priority industry sectors and occupations will be provided to partners. The ORPU participates in regional employer stakeholder forums in high growth industries and holds forums for specialty occupational demands. The top three industry sectors that have been identified in the regional plan are also friendly to the former incarcerated participants. They are 1) Manufacturing, 2) Hospitality & Tourism, and 3) Construction. The ORPU convenes quarterly a OC Regional Economic and Workforce Development Network that serves as a mechanism to streamline communication, ongoing collaboration across systems enhance workforce and economic development, and support sector initiatives. Members include educators (K-12, Adult Ed, Community Colleges), workforce and economic development professionals, Dept. of Rehabilitation, Social Services Agency, and EDD. Sharing of research, data and region needs will support the efforts of serving the formerly incarcerated. 4. Describe how regional partnerships to serve the formerly incarcerated will interface with existing CWDB grantees that serve this population, including Forward Focus, Workforce Accelerator Fund, and High Road Partnerships for Construction Careers grantees. We are incorporating best practices learned from LEAP 1, LEAP 2 and Supervised Population (post release) grants — the importance of co -location at probation and parole offices, quickly assessing work readiness and placement in a work experience, OJT and or education career training while also addressing barriers to success such as housing, substance abuse, transportation and family issues. We will coordinate with the community colleges that are working with inmates prior to release to prepare them for life outside of prison. We will work together to coordinate information and referral so as to have a better "hand off' upon release 5. Develop resources to inform employers about AB 1008 Fair Chance Hiring, federal WOTC, California NETC, Federal Fidelity Bonding through EDD, information about CBO's and other organizations that provide job placement services for formerly incarcerated people, and the benefits of hiring formerly incarcerated people. The ORPU has written and electronic material(s) that summarize the various rules/hiring incentives available to area employers who do hire formerly incarcerated individuals. ORPU staff and staff of the various CBO's and other partners working with us to develop OJT's or direct placement will be trained on all the employer incentives so that they can educated area employers on how to access and use the incentives. 6. Describe the process in which identification of and engagement with employers, industry sector partnerships, and labor-management partnerships who are willing to hire formerly incarcerated and .justice -involved individuals, including those with felony convictions, and those who are currently under state or county supervision will occur. For this project the ORPU will leverage its Business Services team that works out of the respective comprehensive One Stop Centers to assist the Re-entry Navigators and CBO's to identify employers that are known to hire formerly 25A-48 incarcerated individuals while also matching the skill set of the candidate to job openings. The ORPU has experience in working with this population and this grant will provide the ability to give greater focus to a segment of our community that has greater barriers to overcome and require support to reduce recidivism. The Business Service team and CBO partners already have a list of known businesses who are able to hire this population. The Business Services team works locally and regionally to place people. They use an interactive employment tool that simplifies the process of filling vacant positions using job listings, social media, mini- recruitment fairs to ensure fast, quality matches between employers and job seekers. They will expand their efforts to identify additional employers who will hire or offer on -site training opportunities for the former incarcerated. The ORPU Business Service team already meets on a regular basis. Justice involved friendly businesses will be added as a recurring agenda item to discuss and share employer names and job openings with the team working on this initiative. 7. Describe anticipated changes to existing MOU's with AJCC's and or new MOU's with other service providers including but not limited to addressing any challenges associated with local ordinances or policies relevant to executing new MOU's Working with formerly incarcerated individuals is not completely new to the ORPU. The opportunity to be co - located with probation and parole so as to meet the client on -site will greatly enhance our ability to better serve the individual. A Partner Agreement has already been developed with Parole and we are finalizing one with Probation and anticipate that being signed shortly. We will develop MOU's or agreements with area CBO's but do not anticipate problems nor do we foresee challenges associated with local ordinances or policies that may be in place. 8. Describe staff and training needs of RPU's, Local Boards, and partners to adequately serve this population In order to accommodate the demands of serving this population, extensive staff and training opportunities are necessary. The local AJCCs will require staff directly dedicated to serving this population, both in case management and business services. This ensures quick enrollment in order to begin the process to enter into career advising, training, OJT, or direct employment. Beyond staff needs, training is extremely important. In order to serve this population effectively, the OCRPU staff, Local Boards, and partners must become well versed in understanding best practices in working with the justice -involved. The Workforce -Corrections partnership will provide instruction and guidance on how to work with this population. They will provide subject matter expertise to Local Boards and partners to assist in decision -making. They will provide information through trainings and meetings. For example, they will provide details on the hardest -to -serve within this population and provide advice on how resources could potentially be most effective. Furthermore, all involved must become knowledgeable of the resources available to both job seekers and employers that encourage job placement. Specifically, OCRPU staff require training from the Employment Development Department (EDD) and additional partners to receive an overview of the various available resources. This includes, but is not limited to, AB 1008 Fair Chance Hiring, the Federal Work Opportunity Tax Credit, California New Employment Tax Credit, and Federal Fidelity Bonding through the EDD state bonding services. AJCC staff will also work with Community Based Organizations (CBOs) and other organizations in the OC Region that provide job placement services for formerly incarcerated people and catalog employers that are willing to employ the justice -involved population. With this information, AJCC staff can work in providing workshops on trainings for potential employers to encourage and support them in hiring the justice -involved population. 9. Describe the provision of an education and training assessment for each individual of the supervised population who will participate in the project Comprehensive and specialized assessments of skill levels and service needs of supervised population will include diagnostic testing, use of assessment tools; in-depth interviewing and evaluation to identify employment barriers and appropriate employment goals. Assessment will entail an examination of the participant's basic skills, occupational skills, prior work experience, employability interests, aptitudes, supportive service needs, level of commitment to gaining and retaining employment and/or reaching and maintaining economic self-sufficiency as well as any restrictions or special requirements as part of their parole or probation 25A-49 Completed assessment will lead to the development of an individual employment plan identifying the employment goals, appropriate achievement objectives, and appropriate combination of services to achieve the goals, and support services needs to remove barriers to achieving successful outcomes. At a minimum, take into account the participant's: Family situation, Education, Basic educational skill, Prior work experience and skills, Occupational skills, Life circumstances of barriers to participation in training and/or work, Employability (attitude towards work, motivation, work maturity skills, financial resources and needs, Interest, career goals and aptitudes (including non-traditional jobs), Supportive service needs, and Personal employment information relating to the local labor market. IV. Regional Supportive Service/Earn & Learn Plan 1. Describe strategies for offering services that are accessible to people who are likely to face the greatest challenges in the labor market such as persons with disabilities facing barriers to employment or low-income disconnected women and men with little to no previous work experience or education attainment and who require immediate income assistance. To assist those that face extensive barriers, the three local boards will make collaborative efforts towards enhancing Competitive Integrated Employment (CIE). CIE seeks to combine resources between the OCDB, SAWDB, AWDB and its partners in addressing employment for populations affected by Intellectual Disability (ID) and Development Disability (DD). Specifically, collaboration with the Department of Rehabilitation (DOR) is necessary in order to expand this initiative. The DOR is currently a member of the Chamber of Commerce and connects with local businesses on a monthly basis in order to introduce their services. DOR utilizes these events to present information for On -the -Job training (OJT) and work experience opportunities. To address the needs of jobseekers with ID/DD or those that are low-income with little to no work experience or education, the three boards will continue to work alongside DOR in conducting trainings and outreach. Local AJCCs will host a DOR representative to take referrals and provide services, such as vocational training or employment services. Due to DOR's expertise in understanding the barriers of this population, they will continue to conduct trainings in order to educate and coach AJCC staff in handling this clientele. Case Managers will learn how to interact with the client and determine whether they should enter into training, job search, or receive a referral to another partner. In addition, Business Services Representatives will learn how to communicate with employers in order to incentivize ID/DD hires and provide guidance on how to hire and onboard this population. In addition, AJCC staff will assist in connecting the population with OJT and additional job placement opportunities to ensure that clients can immediately attain an income. This is extremely important when addressing the needs of low-income members of the supervised population that must enter into the workforce soon after post -release. 2. Describe the types of services that are currently funded by existing, new, and prospective regional partners, the baseline levels of service (number of individuals and types of service) currently being provided in the region to individuals from this population, and how funds furnished through the Prison to Employment Initiative will modify the types and quantity of services provided. These modifications should reflect the diversity of services needed to address the evolving needs of individuals prior to and upon release. The ORPU engages with various local and regional partners in order to deliver services for clients. For programs that previously assisted justice -involved individuals, the region has served over 350 clients across the Orange County Workforce Area utilizing WIOA funds. Current funding supports case management, business services, supportive services, and additional resources provided by partners. This includes, but is not limited to, indirect or direct payment for bus passes, uniforms, licensing fees, etc. If awarded, the funds are expected to serve an additional 3501 ustice-involved individuals within a similar capacity. Local AJCCs and partners will utilize P2E funding to cover internal and external expenses accrued for the supervised population pre and post -release. 25A-50 1-0i/111:jrM 3. Identify potential barriers to successful participation and completion of workforce education and training among the region's reentry population, and describe which supportive services (e.g. transportation, childcare, housing assistance, etc.) will be provided, the partners responsible for providing those services, and the process bywhich individualswill be furnished with those services. Included in this description should be a plan that articulates outreach and recruitment strategies for ensuring these services are provided to those individuals who need the services most Numerous barriers negatively affect members of the supervised population. Justice -involved clients often lack the necessities such as food, clothing, and shelter. This hinders successful and sustainable employment, making it difficult for individuals to become self-sufficient. In addition, stigmas that arise with their record make it difficult to attain employment opportunities. Family law issues, immigration, and child support debt also contribute to the barriers faced by the targeted population. The ORPU currently has a Supportive Policy within each Local Workforce Area. AJCC staff will immediately identify and offer support services, providing assistance with job search, training, and follow-up services. The ORPU will maintain collaboration and conduct outreach to current and future partners to ensure that resources are available to assist this population. Case Managers will determine the client needs and work alongside Business Services Representatives in order to help place with job placement. A referral process that maintains communication amongst local and regional partners will assist in providing services to those that are most in need. Outreach to potential employers will also establish a pipeline for employment, educating them on how to hire and onboard this population. Supportive services designated will include childcare, transportation, clothing/uniforms, testing/licensing fees, eyeglasses, and additional grant allowable procurements. 4. Identify existing and potential opportunities to collaborate with parole and probation partners to 25 18 P2E RFA 984049 determine pre-release when formerly incarcerated individuals are being released into the community and how workforce partners will work with parole and probation to link those being released to workforce services that align with the level of support each individual needs. The ORPU will continue communicating with parole and probation in order to understand the needs of the supervised population pre-release to attain stable employment post -release. Workforce partners can assist in a variety of ways to hinder recidivism rates and ensure long-term success for the targeted population. AJCC staff can provide onsite and remote access to information of services and resources available through the local AJCCs and mandated partners through focused outreach efforts. They can assist in the delivery of basic career services including program orientation, information of universal access services, partnerships, and referrals to additional partner services, and resources available through the AJCC delivery system. To determine an individualized career and/or educational goals, AJCC staff can provide initial assessments of skill levels including literacy, numeracy, English language proficiency, aptitudes, and skill gaps. They can also provide comprehensive assessments and determine service needs through diagnostic testing, evaluation of employment barriers, and establishing appropriate employment goals In addition, staff can provide transitioning to career services for four quarters after the client's first day of employment. Furthermore, AJCC staff will develop an Individual Employment Plan (IEP) to identify employment and educational goals, appropriate achievement objectives, support service needs, selection of an eligible training provider, OJT opportunities, and available pre -apprenticeships to achieve established employment goals. Staff can facilitate client focused career counseling, job search activities, and placement assistance in collaboration with local partners, workforce development programs, and resources. This will occur through follow- up services to provide additional career counseling assistance, support services, and/or information of available resources through partners. Finally, the ORPU can strengthen collaboration between the One -Stop Delivery System delivery system (AJCC), economic development activities, and local area employer needs to develop trainings including classroom, pre -apprenticeship, and OJT that integrate the Prison to Employment population into the local area workforce community. 5. Identify existing intake and case management needs for serving the justice -involved population, and describe how case managers will obtain current information about the education and training an individual received while incarcerated so as to build on both prior assessments of needs and pre-release education and training when determining which services and training to provide as well as how to best position individuals for job 25A-51 placement. This should include the sharing of transcripts or other training information acquired while incarcerated (e.g. certificates, diplomas, degrees, documented work experience, etc.) with LWDBs. Upon referral to a Case Manager from the Regional Parole offices the parolee population will be assigned to a Case Manager and will be scheduled to attend an orientation and program registration. After registration, the Case Manager will work with the parolee to determine an appropriate plan, which will include an objective assessment and individual employment (IEP). The IEP will identify training opportunities available through the AJCC system that may be appropriate for the clients. Case Management and Business Services will assist in a variety of ways. Services include individual career counseling, resource referrals, job development, employment assistance, supportive services, follow-up services, and assistance in compiling essential documents needed to secure employment. 6. Describe how supportive services will support job retention. Supportive services are based on individual needs assessment services necessary to enable an individual to overcome barriers to pursuit and development their career goals. Supportive services may include but not limited to assistance with transportation, childcare and dependent care, housing assistance, clothing, medical and other services that are necessary to enable an individual to participate in the various activities under WIOA. Supportive services will be instrumental to ensure the success and sustainability of the P2E program through a variety of methods. Before services are provided, the OCRPU Case Management staff will meet with their respective clients and develop a resource plan. To best address their needs, case managers will utilize internal resources and/or connect the individual with both local and regional partners. Supportive services include, but are not limited to childcare, transportation, clothing, fees, and eyeglasses. Covering the cost of childcare would help ensure that individuals, both men and women, can enter in the workforce with flexible hours and increased availability in order to assist them in providing for their families. Furthermore, covering the costs of transportation is a counteractive measure against the barriers currently faced by the workforce. Potential methods include providing bus passes, gas cards, and reimbursements for metro cards in order to offset the costs of going to work. Beyond transportation, the costs for professional attire or uniform can also hinder the success of clients. For example, some individuals cannot afford to purchase mandated footwear necessary to work in construction, which prohibits them from working. The OCRPU staff will work with agencies such as Working Wardrobes and connect clients with additional financial resources to cover the costs incurred by mandated attire and footwear. Supportive services can also include covering the costs for test and licensing fees so that individuals are able to work without incurring a prior cost. Finally, should the individual lack appropriate eyewear, support services can assist in procuring glasses for the client. V. Data Collection and Evaluation The ORPU has identified the Santa Ana Workforce Development Board as the fiscal entity for the grant responsible for the collection and reporting of all program data. As part of the data collection methods, the ORPU will utilize CaIIOBS, the State of California's intemet-based case management system, to track and report all Prison to Employment outcomes. Characteristics and demographic information, activities, employment, and retention shall be tracked in Cal10BS. CalJOBS is California's labor exchange system. Participants will be registered in Cal10BS with assistance from the reentry navigator upon enrollment into the program. Participants will use their login information to 1) access their resumes that were completed and uploaded by their reentry navigator; 2) access labor market information; 3) conduct job searches; and 4) research prospective employers and/or training programs. Reentry navigators will work closely with partners, particularly the OC Sheriffs Department and OC Probation, to help identify and track participants that exit the Orange County area to track the participant's continued assistance. All outcomes will be collected in CaUOBS. The OCRPU will also coordinate closely with correction partners to track participants who may have been re - incarcerated. VI. Innovation &Sustainability 1. Describe the elements or strategies to sustain the program beyond the term of the grant and/or to develop the infrastructure to increase the scale and capacity of job placement services to the supervised population. 25A-52 1-0i/111:j1fl The OCWDB, SAWDB, and AWDB design the workforce framework and facilitate the coordination of public policy that affects workforce development issues through various local and regional initiatives. In direct relation to this program, the region will establish a formal system with other agencies including, but not limited to, housing, transportation, economic & community development and local education in order to ensure long-term sustainability of the program. These partnerships will permit access of leveraged funds and resources in order to provide the services necessary to train and upskill the population prior to entering the workforce. Furthermore, the region will promote partnerships with employers, local agencies, educational providers and the community to coordinate resources that address sustainable employment issues. In order to assist the supervised population, attain employment, Business Services staff will work to build private -public partnerships to encourage local employers to train and hire. The region will work in coordinating workforce development activities with both the local and regional are. In addition, collaborative efforts will focus on advocating for current and future workforce needs of employers and job seekers. 2. Describe innovative approaches the program will use to draw funds from existing realignment or other sources New methods of aligning goals and services with local and regional partners will be imperative to the success of the program. The OCRPU has identified the need to co -locate with partners, which would permit Parole and Probation Officers to easily refer participants to employment services provided within their offices. This will allow for a streamline of services between workforce and correction partners, ensuring that funding potential is maximized and efficiently expended. This approach will allow direct referrals from Parole or Probation to a workforce navigator co -located within reporting centers. Furthermore, workforce staff from the local boards will be able to participate in Parole and Probation unit meetings that will facilitate the sharing of information. The targeted population is often unprepared for employment and lack financial resources to sustain participation in training for an extended period of time. The One -Stop Systems (AJCC) in the OC Region will implement protocols that provide direct support and referrals for housing, transportation, clothing, uniforms, tools, and other necessities. In order to further leverage resources, additional partners, such as OCCCP, Temporary Assistance for Needy Families (TANF), CalFresh, OC Child Support, and Adult Education Block Grant (AEGB). Realigning service strategies and resources will permit the OC Region to serve the targeted population in a greater capacity. hi addition, utilizing their expertise and time, partners can further collaborate with local AJCCs in delivering workshops and trainings to better education both justice -involved job seekers and employers. s. Describe how the program will build off of existing efforts to serve this population, create new or adapt existing approaches, and/or accelerate the application of promising practices in workforce development and skill attainment for the supervised population. The ORPU will continue exploring methods to aid the supervised population. Efforts include reaching out to local and regional partners to expand programs that assist and connect justice -involved individuals with pathways to attain self-sufficiency. Specifically, the ORPU will focus on middle skill occupation, which historically pay higher wages than the regional average. This will be particularly beneficial to individuals without a four-year college degree. It will assist increasing their overall standard of living and quality of life. AJCC staff will work closely with clients to connect them with employment opportunities in the Manufacturing, Construction, and Hospitality and Tourism sectors that are traditionally accommodating to this population. The OC Region will work to develop a coordinated outreach effort to expand the list of businesses that have a history of hiring justice -involved individuals. AJCC staff will be knowledgeable of opportunities and incentives available for businesses who are willing to hire the target populated. As such, the OCRPU will make it a priority to work with businesses who offer jobs with good wages and benefits. The three boards, the Employment Development Department (EDD), and additional partners will collaborate and disseminate information to local businesses and partners about the various available resources, such as AB 1008 Fair Chance Hiring, the Federal Work Opportunity Tax Credit, California New Employment Tax Credit, and Federal Fidelity Bonding through the EDD state bonding services. Staff will also work with Community 25A-53 Based Organizations (CBOs) and other organizations in the OC Region that provide job placement services and catalog employers that are willing to employ justice -involved population. The ORPU is currently working alongside the OCSD, OC Probation, and CDCR at the local level to identify potential opportunities to improve coordination between the three local workforce development boards, service providers, and correction partners. A potential method would involve Memorandums of Understanding (MOUs) that would enhance the workforce -corrections partnership and permit staff to participate, train, and share information between CDCR, OCSD, Probation, and the OCRPU. It may also provide the opportunity to co -locate to serve the target population. Staff development is imperative to adequately serve the justice -involved population; therefore, the OC Region will work closely with partners to coordinate trainings that allow for professional development of staff. The ORPU will provide staff with the opportunity to attend trainings provided by partners, such as the National Institute of Corrections trainings, and cultural sensitivity training that are required to ensure that staff remain updated and are aware of best practices and skills needed when working with the reentry population. Beyond the previously mentioned efforts, enhancing the Multi -Core Curriculum (MC3) would also be impactful to serve this population. The OC Region currently collaborates with Coastline Community College and Santa Ana Community College in order to support MC3. As courses become available, the local AJCC conducts outreach efforts in order to educate job seekers and assists in filling the seats available. The AJCC personnel is instrumental in the initial review of potential candidates and helps to ensure that they qualify for the program. Career Advisors undertake the targeted population in determining the best next steps in order to attain employment that will lead to self-sufficiency. 4. Identify additional sources of funding that may be accessed to supplement the funds provided by this grant and describe how regional partners will work in concert to access those fund In order to account for the variety of resources that will be necessary for effective program implementation, the three local workforce boards will collaborate with partners to supplement funds provided by this grant. Beyond application of the previously mentioned methods, the three local boards will look into additional avenues to supplement costs. The region will pursue funding to address underserved targeted populations in the workforce development area. The region will also look into building future partnerships with additional government departments. Aligning goals with Public Safety departments will assist in potentially accessing funds and services that seek to address similar issues. Public Safety works with these individual prior and post release, investment of either their time and/or funding would only further improve the opportunities for success. 25A-54 EXHIBIT 1 <G: ORANGE COUNTY SHERIFF'S DEPARTMENT u From: Greg Boston, Division Director Orange County Sheriffs Department Inmate Services Division 1530 S. State College Blvd Anaheim, CA 9280 To: Carma lacy, Director of Workforce Development Orange County Development Board OC Community Services —Community Investment Division 1300 5. Grand Avenue Building B, 3b Floor, Santa Ana CA 92705 Re: Prison to Employment Initiative Grant SHERIFF -CORONER DON BARNES The Orange County Sheriffs Department (OCSD) is committed to working with the Orange County Regional Planning Unit (RPU), to include the Anaheim Workforce Development Board, Orange County Development Board, Santa Ana Workforce Development Board, and other grant partners to offer in -kind services In conjunction with the Prison to Employment Initiative. As a partner for this grant, the OCSD will provide the following on an in -kind basis: 1. dedicated and secure office space for Career Planners including: desks, phone connections, access to classrooms, and access to private consultation rooms; 2. designated Inmate Re-entry staff who will provide specialized services such as individual assessments, pre- release planning classes and cognitive behavioral therapy classes. 3. coordination between Inmate Re-entry staff and Career Planners for seamless service delivery and referrals; 4. security assessment and safety protocols/training for Career Planners; S. secure access to Career Planners for the buildings, parking, and file storage; and 6. the assessment and selection of inmate candidates for the project based on release dates, risk factors, and need who will then be referred to the Career Planners for eligibility and enrollment into the program. These services are valued at approximately $70,000 per year. The OCSD and the RPU have agreed upon the following plan for service delivery under this grant: !ntegr.ry w thaul compromise Service above self Professional sm in the performance of duty uglance in safeguard ng our community 25A-55 EXHIBIT 1 d �} ORANGE COUNTY .�' SHERIFF'S DEPARTMENT SHERIFF -CORONER DON BARNES eL Location and Facility Operational Structure: This grant will serve offenders who are jailed in the Central Women's Jail and Intake & Release Center at 550 N. Flower St, Santa Ana, CA 92703 as well as the Theo Lacy Facility at 501 The City Drive South, Orange, CA 92868. All services under this grant provided to inmates will be delivered onsite in dedicated offices in this facility until they are released. At that time, services will be delivered by the OCDB by dedicated career planners at the Orange County One -Stop Centers located in three cities throughout Orange County (Irvine, Garden Grove, and Buena Park). The Intake & Release Center and Central Women's Jail is a secure jail complex housing approximately 1290 inmates; while the Theo Lacy Facility houses approximately 3400 inmates. Inmates incarcerated at the facilities are classified into various housing locations depending an their past confinement history, current charges, criminal sophistication, and a host of other indicators. Once classified, inmates are housed in areas ranging from multiple bunk dormitories to one or two -man cells. inmates have access to television, outdoor recreation, local newspapers, mail, commissary purchases (minor grocery store food items and sundries), and special programs. Inmates also receive medical, mental health, and dental care. Schedule of Activities: All activities under this grant will be provided to inmates during normal business hours to best coincide with the services and schedules of the Inmate Re-entry staff of the Sherriffs Department. Coordination: The Sheriffs Department Inmate Re-entry staff and OCOB Career Planners will work together as a team to serve the population under this grant. The team will be physically situated together in adjoining office spaces in the same area of the facility and will work together on a daily basis on the needs of each individual participant. We look forward to collaborating on this important initiative to serve the employment needs of the County of Orange's formerly incarcerated and otherjustice involved populations. Please do not hesitate to contact me for further information or questions. Greg Boston Date Division Director Inmate Services Integrity without compromise I Service above self Professionalsm in the performance of duty I yigionce in safeguard ng our cammunay 25A-56 EXHIBIT 1 ORANGECOUN 110 February 14, 2019 Carma Lacy, Director of Workforce Development Orange County Development Board OC Community Services --Community Investment Division 1300 S. Grand Avenue Building B, 3" Floor, Santa Ana CA 92705 Re: Prison to Employment Initiative Grant— Letter of Support STEVEN J. SENTMAN CHIEF PROBATION OFFICER TELEPHONE: (714)569-2000 1065 N. MAIN STREET, 51F FLOOR SANTA ANA, CA 92701 MAILING ADDRESS: P.O. BOX 10260 SANTA ANA, CA 92711-026C The Orange County Probation Department (Probation) is committed to working with the Orange County Regional Planning Unit (RPU), to include the Anaheim Workforce Development Board, Orange County Development Board (OCDB), Santa Ana Workforce Development Board, and other grant partners to offer in -kind services in conjunction with the Prison to Employment Initiative. As a partnerfor this grant, Probation will provide the following on an in -kind basis: 1. Provide space in Probation office(s) for OCDB staff to implement program services. 2. Pre-screen and conduct initial interview with supervised population candidates for this program. 3. Provide referral information in writing to OCDB for each participant identified as appropriate for job training and placement services to be provided by OCDB. 4. Collaborate with OCDB staff in -person and electronically on a regular basis to Identify and develop specific program procedures and policies to govern the operational aspects of service delivery. These services are valued at $45,000. Probation and the RPU have agreed upon the following plan for service delivery under this grant: Location and Facility Operational Structure: Santa Ana Probation Office 909 N. Main Street Santa Ana, CA 92701 -57 EXHIBIT 1 Schedule of Activities: Activities will occur during Probation's business hours of operation. Coordination: Erik Wadsworth Division Director Erik.Wadsworth(@orob.gggqv.com (714)569-2140 Martin Corrales Assistont Division Director Ma rtin.Corrales@ prob.ocpov.com (714)569-2222 We look forward to collaborating on this important initiative to serve the employment needs of the County of Orange's formerly incarcerated and other justice involved populations. Please do not hes date to contact me at (714) 645-7004 or by email @ Sue.Detac rob.oc ov.com. Sue DeLacy Date Chief Deputy Probation 0 ic�r ,r 11 25A-58 EXHIBIT 1 PAATNEMRIP AfaREEM NT BETWEEN ORANCIE1t9GIQNAI PLANNING'UNIT ,AND DWISIO.N.QFADULT PAROLE OPEA`ATIONS SOUTHERN REGION PARTIES Orange Reglon'al. planning Unft, their Cocal Workforce Davelophiefit, Board's (WDBa). and:the America's Jop G'enters•,of Callfnmla (AJCC) In t'he reglcn,provlding,*Orkforob planning services. This Partnersh1li Agreement is t6ntercd Into by and betiqgan the followingpartngrs Orange {tegiorip) Planning Unit;.to16ciude; Anaheim Workforce DeV'elopmont Board, Orange County. Wcrkf6eeeDevelopment aoa,rd, $enta.Aha Wbrkfcree D welo'Pment Board, and.the'D.ly!slon of.Adult Parole Operetlons (DAPQ), Southern %glan. Nothing ih this Partnership Agreerilentshould.lie construed as limiting of impeding the baslaspiritof cooperation thatekists between the pa'rticipatlrig,paltners. To create, opportunities; for the•parble.pnpufation.to itnprpvetheir quallficatlons for apprenticeship programs, community oollege career programs, direct Jo'b'plucement as well as Workforce innovatlon and Clpportu6ity Act (W1bAj program gtrategie3 available to YMIs populatibn.,. Partners- will Ifhk, edueatlon, JQb training and work .axperlenf a In -prison to.pa'st-release JoW:by fostering s system of coordinated service dellvery¢o,this population thatfaces•a variety ofbarriers to emplbgment. 25A-59 EXHIBIT 1 The Prison to 8mployn** liilfiative (M) will endeavor to accomplish the Major 6blectives of the Getifordla WI0AUnlflad1Strateglc•Workfoi'ce Gevelopnl;6t Pjaft In order to reduce recidivism, reduce victimization, facilitate reintegration and enhance public spfety. Workfprcedevelopmehtpa,rtrterawfll'provldefocusGdservices tolha'reentry p'opuiation,to ensurat • Fostering demand-,d'riven skills attainment. Wdrkfotee. end Qdutatiorr,p�o§rams oeiadto allgn prograln'content wlth'the state's Industry sgctoeneeds•so ante provide Galftrnla's employers and buslnesse3 with the:skilled woek?crce It naeds to ;oompete in`the global economy. + Enabling upwand mob,Ility Far.pll Callfurnlons,:lncluding pbptjltiogs%w.ith barrl,iYs to employment.. Workforce and, educatfun programs need to be accpsslble for'all gallfarr Tans and ensure that everyone has access to p :marketable Se; ofskills and able to access the level of eduoatlon-necessary to .gnsure economic self-sutclency and security. + Aiigning, ceotdinating, and, ldtegrMM4— p'rograhis and ie'rvicps. to ecanomIre limited resburces while also proVdlnsthe right"sdrvices to elientp, based ed Bath client's particular and potentially unique nkeris•so alto facllitate.skills-attalnrdent. All particlpants, acknowledge that the Local Workforce Devel'ophient Boards are responsible for the.pollct'es and general direction fgr.the Looal WOO and A)CC10he Stops, The leveraged contribution to this. project will be staff time and delivery oYprograrn §ervlces, 15AP0 staff will cooperate, with AJCC staff to ensure parolees (Justlgc bivalved)'ate referred to'and have relevant Information avallable to..progress through training, educp,tton al apd lob oppoyfunitles, The AJCC leveraged' contributions are provided by AICC staff -tulle and on sife re'sciurces to give participants access to computers, phones, current. job listings, .employer recrgltrnents and valuable 'Workshops, AJCO 'stsfr 'will provjde case inanagefherrt and work wJth participants to; develop an employmonvand training plan,. rggelve Job coaching, provldp e'ppropdate •suppgrtke serviceg, address barri'er.'s tb, employment, ano' provlde p.csess'to on-the-joh training,. ecqupational training and 25A-60 EXHIBIT 1 employment opportunities. All!d-staff will report services, prograsg and outcome&ln appropFiatd dhtab'a'sbs, V. ` UL� LI9s7t 1 This, Fertnorshlp ,Agreement will, remain; in effect. for twq years, Rengwa[ of the agreetriant ar 1 be aotornatic contingent upon continuej state fµnding,for the Prison to Employment Initiative, a 25A-61 EXHIBIT 1 Planning Unit Partnership Agreement Signatories; Date- :e tlevelopment'Bnard Planning.Unit I Director/Executive Director Date Orange.CountyWorkfgrceDay Iopmerit oard Orange / Regional.Planning.0 It —�q-- N \..,.,._...,v..._.. Z .11 _tot Director/Executive Director (pate Santa Aha Workforce Development Board, Olangej Regf®nal,Plarlhing Unit Os - Attorney a 25A-62 EXHIBIT 1 Ju aProRraMP6roleA irliztrator Dlvlsloo of Adul'.Parole Operation's; soWVeln R'egidn KAREN'114ACKER 'Regipngl Patrole!Adrtn iniOrAtor or• ;Deglgnde Dl> Won of Adult Parole Oper44ons, S®Utbern Rpglop C71. tt ., Date, �Iltltq Rate 25A-63 EXHIBIT 1 WORKING Garden Grove ALTERNATIVES, INC. Residential Re -Entry Center From: Christopher H. Talley, Assistant Director Working Alternatives, Inc. 11112 Barclay Drive Garden Grove, CA 92841 To: Carma Lacy, Director of Workforce Development Orange County Development Board OC Community Services--Community Investment Division 1300 S. Grand Avenue Building B, 3`a Floor, Santa Ana CA 92705 Re: Prison to Employment Initiative Grant Working Alternatives, Inc. is committed to working with the Orange County Regional Planning Unit (RPU), to include the Anaheim Workforce Development Board, Orange County Development Board, Santa Ana Workforce Development Board, and other grant partners to offer in -kind services in conjunction with the Prison to Employment Initiative, As a partner for this grant, the Working Alternatives, Inc. will provide the following on an in -kind basis: 1. Provide a consistent flow of clients in need of services. 2. Collaboratively 1dentlfy Vet clients to ensure their services go to the neediest. 3. Publicize their mission through our CRB (Community Relations Board) We lock forward to collaborating on this important initiative to serve the employment needs of the County of Orange's formerly Incarcerated and otherjustice Involved population. Please do not Isita$e to contact me, Christopher Talley, Assistant Director, 714-537-3605. Date 11112 Barclay Dr. , Garden Grove, CA 92841 - FEL (714) 537-0605 - FAX (714) 537.9538 s Email: k.washington0workingaltemaiives.org 25A-64 EXHIBIT 1 WorkingWardrobes W The Power of a Paycheck January 26, 2019 Ms. Carma Lacy Director of Workforce Development Orange County Development Board OC Community Services — Community Investment Division 1300 S. Grand Ave., Bldg. B, 3rdFloor Santa Ana, CA 92705 Dear Ms. Lacy, Working Wardrobes for a New Start is a non-profit organization located in Irvine, CA, that empowers men, women, young adults, and veterans overcoming difficult challenges to confidently enter the workforce and achieve success. We are committed to work in collaboration with the Orange County Development Board, the Santa Ana Workforce Development Board, and the Anaheim Workforce Development Board, along with other named partners, to facilitate the Prison to Employment program. We have served the justice -involved population for over 25 years and have successfully developed curriculum targeted specifically to the incarcerated, recently released, and both in - and out -of -custody job seeker. We are able to provide case management, workforce readiness training, job training, and soft skills modules to assist the men and women with multiple barriers to employment. We also offerjob development services and placement assistance with numerous employer partners. Our wardrobe services are the final touch. In December of 2018, we concluded a two-year commitment to the Orange County Development board to facilitate the LEAP2 program for incarcerated women in the Orange County Women's Jail and the Intake and Release Center. We served 96 women and provided job training, workforce readiness and soft skills training along with job placement services. Prior to that, we served over 200 recently incarcerated youth (18-24) through the Division of Juvenile Justice with similar workforce readiness services. We strongly support the application for the Prison to Employment program and look forward to working with our county and city partners to achieve success. Sincerely, A 6:,>o Mary Ann Profeta VP, Career Success Institute Working Wardrobes 1851 Kettering a Irvine, CA 92614 e (714) 210-2460 a Fax (714) 434-2870 www.workingwardrobes.org • www.thehangerboutiques.org 25A-65 EXHIBIT 1 prxor>s+aryr Y OR tlY CCVN'l'V @6T. AbY4 V A WPROrECTMNSHIRORf HOPE LIVES HERE From: Mary Vu, LCSW Director/Co-Founder Project Kinship 2215 N. Broadway St. Suite 2 Santa Ana, CA 92706 To: Carma Lacy, Director of Workforce Development Orange County Development Board 1300 S. Grand Avenue Building B, 311 Floor, Santa Ana CA 92705 Re: Letter of Support forthe Prison to Employment Grant Funding Opportunity Project Kinsh ip is committed to working with the Anaheim Workforce Development Board, Orange County Development Board, and Santa Ana Workforce Development Board and othergrant partners to services In conjunction with the Prison to Employment Grant Funding Opportunity. To support this project the Project Kinship commits to providing the following: 1. Case Management: Referrals and Linkages to Community Resources 2. Individual and Group Counseling Services 3. Peer Navigation and Monitoring Services 4. Education Preparation Strategies 5. Employment Preparation Strategies We look forward to collaborating on this Important Initiative to serve the employment needs of the County of Orange's high -risk inmate population. Please do not hesitate to contact me 714) 941-8009, L�l 1—,14" �,4 vv f /.30/l7 Mary Vu, LCSW Date Director, Co- Foun ma ry @projectl<inshi p.org 25A-66 EXHIBIT 1 CHRYSALIS a nonprofit organization Changing Lives Through jobs ChangeLives.org January 29, 2019 Carma Lacy Director of Workforce Development Community Investment Division 1300 S. Grand Avenue, Bldg. B Santa Ana, CA 92705 Re: Prison to Employment (P2E) in Orange County — Letter of Support Dear Ms. Lacy: On behalf of Chrysalis, I am pleased to write this letter of support for Orange County's proposal under the Prison to Employment (P2E) initiative. If awarded, funding would provide critical resources, enabling the region to better serve the formerly -incarcerated. The initiative will succeed by fostering partnerships between the local workforce development system, CDCR and parole, County Probation, community -based organizations (CBOs) like ours— along with a range of other partners coming togetherto serve the formerly incarcerated and justice -involved local population. Chrysalis has been serving the reentry community for 35 years as a non-profit organization dedicated to creating a pathway to self-sufficiency for homeless and low-income individuals by providing the resources and support needed to find and retain employment. At Chrysalis, we empower our clients to overcome their barriers to employment and complete a self -directed job search. In fall 2018, Chrysalis opened its first location in Orange County, located in Anaheim. Leading up to opening, and since, the local workforce development and reentry services community has welcomed us with open arms. We are thrilled to be a part of this innovative community and to do our part to meet the needs of local residents. As part of the proposed partnership, Chrysalis agrees to provide the following services to eligible participants: • one-on-one case management focused on securing employment; • job readiness classes, resume preparation, and interview skills training; • resources related to participants' job search, including interview clothing, transportation assistance, computer lab access, and phone bank use; and transitional job opportunities, as available, through our Chrysalis Enterprises program. If you have any questions or need additional information, please contact me at michaelew@ChangeLives ore or 213-806-6341. Sincerely, Michael Graff -Weisner VP, Strategy & External Relations Downtown Los Angeles Orange County San Fernando Valley Santa Manic. 522 5. Main St. 290 S. A.aheim Blvd. 13545 Van Nuys Blvd. Ste. 1 1853 ILinr.ln Blvd, Los Angeles, CA 90013 Anaheim, CA 92805 P.<oima, CA 91331 Santa Monicc, CA 90404 (213) 806-6300 (714) 204-3000 (818) 794-4200 (310) 401-9400 25A-67 EXHIBIT 1 Garden Grove — Chamber of Commerce — 09 Founded rom From: Cindy Spindle, CEO/President Garden Grove Chamber of Commerce 12866 Main Street, Suite 102 Garden Grove, CA 92840 To: Carma Lacy, Director of Workforce Development Orange County Development Board OC Community Services --Community Investment Division 130D S. Grand Avenue Building B, 3rtl Floor, Santa Ana CA 92705 Re: Prison to Employment Initiative Grant The Garden Grove Chamber of Commerce is committed to working with the Orange County Regional Planning Unit (RPU), to include the Anaheim Workforce Development Board, Orange County Development Board, Santa Ana Workforce Development Board, and other grant partners to support the Prison to Employment Initiative. As a partner for this grant, the Garden Grove Chamber of Commerce will support the OC RPU through earnest and enthusiastic consideration of referred formerly incarcerated and other justice involved individuals for employment and work -based learning opportunities. We look forward to collaborating on this important initiative to serve the employment needs of the County of Orange's formerly incarcerated and other justice involved population. Please do not hesitate to contact me, Cindy Spindle, CEO/President — 714-638-7950. Cindy SpindI CEO/Preside I —Ld j 5, Date 12866 Main Street, #102 Office: 714-638.7950 www.GardenGfoveChamber.com Garden Grove, CA 92840 Fax: 714-636-6672 25A-68 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 1, 2019 TITLE: APPROVE AGREEMENT EXTENSION WITH NAPHCARE, INC. TO PROVIDE INMATE MEDICAL SERVICES IN THE AMOUNT OF $2,717,709.56 (STRATEGIC PLAN NO. 1, 3A) CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s' Reading ❑ Ordinance on 2od Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO /s/ Kristine Ridge FILE NUMBER CITY MANAGER RECOMMENDED ACTION Authorize the City Manager to execute a one-year agreement extension with NaphCare, Inc. to provide basic and emergency inmate health care services for Santa Ana Jail for the period of October 1, 2019 September 30, 2020, in the amount of $2,717,709.56 (including a $200,000 contingency), subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION The California Board of State and Community Corrections (BSCC) requires agencies to provide basic and emergency health care services for all incarcerated individuals held within their custody. In addition, the City's federal contracts require that medical services be provided to contract inmates. On April 25, 2017 the Police Department issued a request for proposals (RFP #17-051) for inmate medical services. NaphCare, Inc. and Correctional Managed Care Medical Corporation (CMCMC) each submitted proposals for consideration. An evaluation committee consisting of representatives from the Santa Ana Jail and the Santa Ana Police Department Fiscal Section reviewed and rated the two proposals. The proposals were evaluated according to Responsiveness to RFP (20%), Experience of Firm and Personnel (40%), and Cost of Proposal (40%), as stated in the RFP. 25B-1 Agreement with NaphCare, Inc. for Inmate Medical Services October 1, 2019 Page 2 The results of the RFP evaluation were as follows: Vendor Score NaphCare, Inc. 350 CMCMC 282 400 point maximum NaphCare was the most responsive, capable and cost effective respondent. NaphCare has enhanced efficiencies, modernized the medical operation and increased preventive care measures, reducing the need for outside or specialized medical care. NaphCare has provided routine and emergency inmate medical services, including but not limited to providing prescription and over the counter medications, physical examinations, dental care and psychiatric services. NaphCare has also provided recurring CPR training and Tuberculosis screening for Jail employees. Naphcare has agreed to continue to provide these services for a third year without increasing their base rate above year two rates. The original two-year term (October 1, 2017 through September 30, 2019) has expired and the Police Department is proposing to exercise the first of three one-year options. In addition to the one-year extension, NaphCare is requesting to add an additional four hours of psychiatric services per week. In 2017, when the previous agreement was proposed by NaphCare the Jail's average daily population (ADP) was 125. Over the past two years, the Jail has maintained an ADP of 400. With the increase in the inmate population, the need for additional psychiatric care also significantly increased. The additional cost for this care is $35,822.18. A $200,000 contingency is included for services not included in the base agreement including, but not limited to, pharmaceuticals, x-rays, dentures, and other medical exams. The amendment contains a stepdown mechanism by which the contract cost is reduced should the inmate average daily population fall below 176. In addition, the agreement can be terminated by the City by providing a 30-day written notice of cancellation. The proposed (1) year extension with NaphCare will ensure the continued medical services are provided to inmates in the custody of the Santa Ana Jail facility. Naphcare has been accommodating, professional and consistent in its services, and staff recommends a one-year agreement extension with NaphCare, Inc. effective October 1, 2019 through September 30, 2020. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #1 Community Safety, Objective #3 (promote fiscal accountability to ensure financial responsibility at all levels of the organization), Strategy A (continuously evaluate and assess fiscal aspect of service delivery to ensure that the Police Department provides programs and services efficiently and effectively). 25B-2 Agreement with NaphCare, Inc. for Inmate Medical Services October 1, 2019 Page 3 FISCAL IMPACT Funds for this agreement are available in the Jail Operations Contract Services account (no. 01114475 62300). ADP at or above 176 ADP at or below 175 FY 2019-20 $1,811,807.04 $1,612,621.07 FY 2020-21 $905,902.52 $806,309.54 Total $2,717,709.56 $2,418,930.61 Note: Figures include $200,000 contingency to be used at City's discretion APPROVED AS TO FUNDS AND ACCOUNT: David Valentin Kathryn Downs, CPA Chief of Police Executive Director Santa Ana Police Department Finance and Management Services Agency Exhibit: 1. Agreement with Naphcare 25B-3 Exhibit 1 FIRST AMENDMENT WITH NAPHCARE, INC. TO PROVIDE INMATE MEDICAL SERVICES THIS FIRST AMENDMENT to the above -referenced agreement is entered into on October 1, 2019, by and between NaphCare, Inc., an Alabama corporation ("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. The parties entered into Agreement No. A-2017-249, dated September 19, 2017, by which Contractor agreed to provide basic and emergency inmate medical services ("Agreement"). The Agreement's term is scheduled to expire on September 30, 2019, and is currently in effect. S. The parties wish to exercise its first option to extend the term of the Agreement for one year and to increase the overall compensation to pay for services during the extension. The Parties therefore agree: Section 1, TERM, is amended to extend the term of the Agreement for the period from October 1, 2019 through September 30, 2020. 2. Section 4, COMPENSATION, is amended to increase the overall compensation per the following: a. Tier 1 RFP Staffing-176 ADP and Up in Exhibit S shall be deleted in its entirety and replaced with Tier 1 RFP Staffing-176 ADP and Up attached hereto which increases the required Psychiatrist hours from four to eight hours. b. Compensation for the renewal option year shall be adjusted by $35,822.18, which is the amount required to increase the Psychiatrist hours from four (4) to eight (8) hours. Compensation for renewal option year one beginning October 1, 2019, through September 30, 2020, shall be as follows: Tier 1 Tier 2 (ADP at or above 176) (ADP at or below 175) ----- ----------------------------- Renewal Option Year One $2,517,709.56 $2,218,930.61 (10/01 /19-09/30/20) c. The total amount to be expended during this extension shall not exceed $2,717,709.56. This amount includes the base amount listed under the Tier 1 listing above, and includes a contingency amount of $200,000, for services to be provided at the sole discretion of the City. The total amount to be expended for this Agreement shall not exceed $7,709,196.34. #7433v1 1 25B-4 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 DAISY GOMEZ Clerk of the Council APPROVED AS TO FORM CITY OF SANTA ANA KRISTINE RIDGE City Manager SOy:N CARVALHO, City Attorney NAPHCARE, INC. B_ /f �C TAMARA BOGOSIAN y: James S. McLane Assistant City Attorney Title: Chief Executive Officer RECOMMENDED FOR APPROVAL DAVID V,ALENTIN Chief of Police #7433v1 25B-5 Total FLIES 18.100 r REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 1, 2019 TITLE: APPROVE AGREEMENT WITH CHEMIMAGE FOR THE PURCHASE OF VEROVISION MAIL SCREENER AND ADANI CONPASS DUAL VIEW BODY SCREENING SYSTEMS IN THE AMOUNT OF $367,381.50 {STRATEGIC PLAN NO. 1, 4} /s/ Kristine Ridge CITY MANAGER RECOMMENDED ACTIONI CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 15' Reading ❑ Ordinance on 2na Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO 9I1noR11tU1 010 Authorize the City Manager to execute a two-year agreement with Chemlmage Inc., for the purchase of the VeroVision Mail Screener and Drug Presumptive Identification System and the ADANI ConPass Dual View Full Body Security Screening System, forthe period of October 1, 2019 through September 30, 2021, for a total not to exceed amount of $367,381.50, including a $20,000 contingency, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION A critical mission of the Santa Ana Police Department's Jail facility is to ensure the inmates under the custody of the Department are safe and secure. Many of the inmates at the Jail suffer from drug addiction or have charges related to drug trafficking or sales. The two primary methods currently used by inmates to traffic such contraband inside a facility is to have it sent to them discreetly in their mail or to hide it within their bodies. The Jail's ability to locate this type of contraband through visual mail screening and routine searches is limited. As drug overdoses continue to increase within jails across the country, there is a concerted effort to mitigate this threat to inmate health and safety. The primary method of trafficking drugs into a jail is to hide the drug articles in letters or in the creases of envelopes. The VeroVision Mail Screener and Drug Presumptive Identification system uses technology that will identify drugs concealed in inmate correspondence. This state of the art technology will further prevent these dangerous substances from reaching the housing unit and decreasing the likelihood of drug overdose and related criminal activity. The secondary method to traffic drugs in a jail is to hide it within their body. The purchase of the ADANI Body Screening System will ensure such contraband is detected upon an inmate's arrival 25C-1 Agreement with Chemlmage Corporation for Jail Body and Mail Security Systems October 1, 2019 Page 2 to the Santa Ana Jail, before it can reach the inmate housing units. If undetected using the routine search methods, drugs such as fentanyl would place a major health and safety risk to other inmates and Jail personnel within the housing areas. This screening system would significantly increase the success of finding contraband and remove the need to perform invasive strip searches on inmates suspected of carrying dangerous drugs or unauthorized items. The technology used in both the mail and body scanners is sole source technology offered only by Chemlmage. This agreement includes the purchase of the VeroVision Mail Screener and Drug Presumptive Identification $(134,800) and the ADANI ConPass Dual View Full Body Security Screening System ($171,000), taxes ($28,286.50), shipping and handling ($795), $12,500 in maintenance costs over a two-year period, and a $20,000 contingency for unanticipated system repairs and/or enhancements. The total cost of the agreement will not exceed $367,381.50 over the two-year period. This agreement will be funded by the Police Department's Inmate Welfare Fund. Under the California Penal Code Section 4025, an Inmate Welfare Fund must provide services essential to the benefit, welfare, and educational needs of the inmates confined in detention facilities. Both the mail scanner and body screening system enhance the security of Jail inmates, and are therefore eligible Inmate Welfare Fund expenses. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #1 - Community Safety; Objective #4 (Ensure a sound fiscal model for Jail operations through coordinated efforts with personnel from the City Manager's Office, Police Department, City Attorney's Office, Finance, and Personnel). FISCAL IMPACT Funds for this agreement are available in the Police Department's FY 2019-20 Inmate Welfare Fund (account no. 02314475 66400), as follows. The FY 2020-21 amount will be included in the next proposed budget. FY 2019-20 $357,381.50 FY 2020-21 $10,000.00 Total $367,381.50 APPROVED AS TO FUNDS AND ACCOUNTS: David Valentin Kathryn Downs, CPA Chief of Police Executive Director Santa Ana Police Department Finance and Management Services Agency Exhibit: 1. Agreement with Chemlmage Corporation 25C-2 Exhibit 1 AGREEMENT WITH CHEMMAGE FOR THE PURCHASE OF VEROVISION MAIL SCREENER AND ADANI COMPASS DUAL VIEW BODY SCREENING SYSTEMS THIS AGREEMENT is made and entered into this I" day of October, 2019 by and between ChemHnage, Inc., a Pennsylvania Corporation ("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. The two primary methods inmates traffic contraband into the facility to have it sent to them discreetly in their mail or hide it within their bodies. Rather than use visual mail screening and routine searches and in order to be effective in locating this type of contraband, the Santa Ana Police Department's Jail facility will purchase state of the art technology to achieve these goals. B. Contractor represents that it not only has the required equipment but can also facilitate the training to provide said services to achieve the City's goals to safeguard its Jail Facility. C. In undertaking the performance of this Agreement, Contractor represents that it is knowledgeable in its field and that the products provided by Contractor under this Agreement are in compliance with such standards as may reasonably be expected from a professional firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terns and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Contractor shall perform during the term of this Agreement, the tasks and obligations including providing all labor, materials, tools, equipment, and training necessary to fully and adequately complete the services described and set forth in Exhibit A, attached hereto and incorporated by reference. 2. COMPENSATION a. City agrees to pay, and Contractor agrees to accept as total payment for its equipment and services, the rates and charges identified in Exhibit A. The total amount to be expended during the tern of this Agreement shall not exceed $367,381.50. b. Payment by City shall be made within thirty (30) days following receipt of proper invoice evidencing work performed, subject to City accounting principles. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may be reasonably expected by the City. Page 1 of 7 25C-3 3. TERM This Agreement shall commence on October 1, 2019 through September 30, 2021, unless terminated in accordance with Section 14, below. 4. 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. 5. 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 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 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. Page 2 of 7 25C-4 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 canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. iv. Where the amounts or coverage provided by the certificates of insurance provides coverage greater than those listed by this Agreement, the amounts provided by the certificates of insurance shall be incorporated by reference into the Agreement. V. Contractor shall supply City with a fully executed additional insured endorsement. e. 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 Consultant'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. 6. INDEMNIFICATION See Exhibit A 7. INTELLECTUAL PROPERTY INDEMNIFICATION See Exhibit A 8. 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 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. Page 3 of 7 25C-5 9. 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. City agrees that information obtained during the Program will be kept confidential and will not be shared with other vendors within the training simulation industry 10. CONFLICT OF INTEREST CLAUSE Contractor 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 specified under this Agreement. 11. DISCRIMINATION Contractor 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. Contractor affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 12. 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 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 is not embodied herein. Page 4 of 7 25C-6 13. ASSIGNMENT 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 consultants retained by City. 14. TERMINATION See Exhibit A 15. 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 retnedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. 16. 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. 17. 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. 18. 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: Page 5 of 7 25C-7 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: David Valentin Chief of Police City of Santa Ana 60 Civic Center Plaza P.O. Box 1988 Santa Ana, California 92702 Fax:714-245-8190 To Consultant: ChemImage 7325 Penn Avenue Suite 200 Pittsburgh, PA 15208 Fax:412-241-7311 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. [signature page to follow] Page 6 of 7 25C-8 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: Daisy Gomez Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO Cit Mttorney B� Tamara Bogosian Assistant City Attorney RECOMMENDED FOR APPROVAL: David Valentin Chief of Police CITY OF SANTA ANA Kristine Ridge City Manager CONTRACTOR: q4j4AJ-,J- By. ;iz��t:� S. 3ELF�,tiAL Tit e: 4:�6) Page 7 of 7 25C-9 EXHIBIT A SCOPE OF SERVICES and COSTS 25C-10 Exhibit A Director Christina Holland City of Santa Ana 20 CIVIC CENTER PLZ FL 8 SANTA ANA, CA 92701 +1 714-565-2690 c hol la n d @sa nta-a na.org Dear Director Holland, 7325 Penn Avenue Suite 200 Pittsburgh, PA 15202 Tel 4'12.241.7335 Fax 412,241 7311 Please see below, our quote for the VeroVision Mail Screener and the Adani ConPass DV Dual View Full Body Security Screening system. This combination provides your facility a total contraband interdiction solution. Chemlmage understands the threat of illicit drugs smuggled into facilities through postal mail and within the human body. The added safety, security and intelligence data this combination provides is a powerful. It empowers your officers by enabling them with the technology required to lock down your facility from these threats. This solution greatly increases facility security by empoweringyour officers with technology that will help officers identify would-be facility drug smugglers and to interdict their narcotics. We are committed to continually develop and provide technology with our customers to address the latest threats. We look forward to earning your business. Best Regards, Robert Levy Account Manager Western US 25C-11 7325 Penn Avenue Suite 200 age Pittsburgh, PA 15208 Tel: 412.241.7335 Fax: 412.241.7311 Price Quotation Quoteis I 10000598 System Date 07/18/2019 To: City of Santa Ana Chemlmage Contact: Robert Levy Address: 20 CIVIC CENTER PLZ FL8 Phone: 775-781-2525 Phone: +1 714-565-2690 Fax: Fax Email: levyr@chemimage.com Email: cholland@santa-ana.or g 10/3112019 Quote Expires: CONPASS DV e DUAL VIEW TRANSMISSION x-RAY SCREENING SYSTEM 25C-12 7325Penn Avenue Suite 200 ge Pittsburgh, PA 15208 lei : Ili J 2�241J35 Fax: 412.241.7311 rovision Mail scregnt[-5Ystenn 25C-1 3 Ichemifflage ks . .....u.,:t "'a �, v'.,..« ���!�.,:..is3:�,.l.Nt.,�a'v'' .w.,r.»..u.�.,.s..,�..,?.z....i 7325 Penn Avenue Suite 200 Pittsburgh, PA 15208 Tel : 412.241.7335 Fax: 412,241.7311 a` ::u" s i, y`�f3f�`i r r ter,. Qty Product sales Price 1 , • in'{ � rt .... ,.: n.�', , ,. EA t..�..< � rE��TaBrhr,r �... :aTntalPrtce 00 VetoVision"' Mail Sireener Detection Systern - SONIR HypersflecnA unit (SHU) - Mall SC! eening Ligh nng Stand for Document Scanning (Reflectance and Transmittance Modes) - Woi kst icon Operator Control Unit with 23" Touch Screen Dlspla,y • Ethernet and Sensor !-lead cablac - Operator Manual Limited Warranty - Installation and I rainin; VeroVision Drug Presumptive Identification $9,900.00 9 25% $10,815.75 ADANI ConPas5 Dual View Full Body Security Screening System $162,500.00 925% $171,531.25 Adam ConPASS DV Adam C onPASS DV - 2 X-Ray Gmnerafors Two Image Detectors, w/Filtration Systems - Dosimeter for both x-ray generators - 3 Independer'it W and rriA-scannulg mode; - 6 in DV - Opeiators lnrorfaco Workstation - (1) 24" Color Monitor and (1) 19" Color Monitor - Moveable Platform (660 Ib MAX) w/saf?ty hand rail- Imaging Field of View- 8 GB RAM tvternoiy- 2 each 1 T P Hard Drives - Local Storage of Approx. 940,000 Images - 65.384 Gray';cale Levels - Operation Docurent; - Bar Code Scanner and Software AUtornafic I`darcbtiCS DE•3eirlOn Software -X-Ray Shielciin„ Cabin with (12) window, configuration - Installation and Calibration - Operator and Administrator 1 raining for up to 10 People 24 month Warranty on parts and Tabor - Annual Service Contract Covering Parts, Labor, Travel and Freight, Shipping X- Ray Shielding Cabinet $8,500.00 9.25% $9,286.25 I2Vvuuiow Configufanon Extended Comprehensive Service Agreement $12,500.00 0% $12,500.00 12 month term • Unlimited phone support - Software recipe, and library updates uro aded when na Gible Parts u labof ctrvered due to Cori ;pone. fit failure Iron', normcd wear and real - One repliice;rnent Performance Qualification kit - One annual preventauae miir.tenance vis,t Contingency- for Santa Ana PD $20,000.00 0% $20,000.00 To be used at the agtmc7S, sole discionon Total Price $366,586.50 Shipping and Handling $795.00 Grand Total $367,381.50 9.25%Tax Break Out California 6% Orange0.25% Santa Ana 1.5% 25C-14 i <w Orange County Local Tax 1 % Orange County District Tax 0.5% Shipping VeroVision Mail Screener estimated at 30 days ARO Adani Body Scanner estimated See additional Terms and Conditions below Training and Installation included on both systems Included is a contingency line for Santa Ana PD to be used at the agency's sole discretion. Chemlmage Corporation Make checks payable to: Chemlmage Corporation 7325 Penn Avenue accountsreceivable@chemimage.com Suite 200 Federal E.I.N. #542081245 Pittsburgh, PA 15208 .�.i�Cyv' ��1 `£r}�r{1RV `1f � ,,.�,.v'v.° 3a4:,y�F.$t:{i.s'�w,,aSk'i,u".,. r t�. ,. 7325 Penn Avenue Suite 200 Pittsburgh PA 15208 Fel : 412 241.7335 Fax: 412 241,7311 If you have any questions, or if you require further information, please do not hesitate to contact the originator of this quotation. A summary of the key specifications and performance characteristics of the product are included below 25C-15 i VeroVision""Mail SCreener System 7325 Penn Avenue Suite 200 Pittsburggh, PA 15208 Te I : 412.241.733 5 Fax: 412,241.731'1 Moil Screening Imaging System • Interdiction of narcotics with a simple scan • Non-destructive and Non -contact detecting • Mail Screening Lighting Stand for Document Scanning (Reflectance and Transmittance Modes) • Sample Platform • I ransinued and reflected lights • NIR Hyperspectral imaging (800 to 1800 rim range) • 9 inch x 12 inch field of view • Workstation Operator Control Unit with 23" touch Screen Display • Ethernet and sensor head cables Materials in Contraband library • Cocaine (materials list is continuously • Iferoin being updated) • I<eWrnine • Methamphetamine • Methadone • Phencyclidine (PCP) • Suborone0 • Fentanyl • D-amphetamine SuboxoneG) is a registered trademark of ReckittBenckrser Phormo. Inc. VeroVision'^' Moil5creenerApplicotion • Detect through 3-layers of paper • 5 mg/cm2 limit of detection minimum on all drugs of interest (see table below for current materials within contraband library) • Audit trail tracking of the detections and printed on reports Image Export • Reports are saved via a PDF format for easy export via flash drive or local network as an ancillary document to an inmate folder 25C-16 7325 Penn Avenue Suite 200 Pittsburgh, PA 15208 TO : 412.241.7335 f"ax: 412.241.7311 VeroVision"Mail Screener Computer System Vero Vision'" Moil Screener Computer System • Intel 1-7 6700/3.4 Ghz with Intel HD Graphics 530 • 8GByte RAM • 1 Tb Hard Drive • SuperMulti DVD-RW Drive • Gigabit Ethernet • Windows 10 Pro • 23 inch High Resolution touch Screen Monitor • Chemlmage's'" Spectral Kitchen'" and VeroVisionT" MaIIScreener Software *Chemlmage will endeavor to procure the best price/performance computer hardware available when system assembly commences. As such these specifications are subject to change without notice but in any event replacement equipment will exceed current specifications. VeroVision'"Mail Screener Software Powered by custom Chemlmage'" Software Platform • Mail Screener Software system • Powered by Chemlmage's"" Spectral Kitchen"" Suite Other Software Features: • One -button scan functionality Powerful spectral mixture resolution capabilities via • Image and spectral information collected simultaneously chemometrics • Each pixel in the image has an associated spectrum • Substrate signal or background patterns removed • Detection results presented in user-friendly image format • User has the ability to enter facility specific information with each detection • Detection database maintained for post -detection review • Detection reports generated from detection database with embedded audit trail information. 25C-17 7325 Penn Avenue Suite 200 Pittsburgh, PA 15208 Tel : 412.241.7335 Fax: 412.241.7311 VeroVision""Mail Screener System System Requirements Power Requirements • Voltage: 115V/220V • Frequency: 50/60 Hz • Required Power: 1500 VA Environmentol Requirements • Indoor use only • Attitude up to 2,000 meters • Temperature 50C (41 °F) to 40"C (1041F) • Maximum relative humidity 80%for temperatures up to 31°C VeroVision"'Mail Screener SVstern Tool kit Documentation VeroVisionTM Mail Screener User Manual Quick Reference Cord Shows user normal operation on one card Control positive and negative sample verification of normal operation VeroVision""Mail Screener System Warranty System Warranty • One-year unlimited software, parts and labor • Software upgrades included • Warranty period commences when installation is complete • One preventative maintenance visit included VeroVision""Mail Screener System Training System Troining • Installation manual provided along with laminated quick reference card • Professional installation by Chemlmage Staff • Up to two days on on -site training including train the trainer at no additional cost 25C-18 7325 Penn Avenue Suite 200 Pittsburgh, PA 15208 Tel : 412.241.7335 Fax: 412241.7 311 ipnonal verovision—liviail Sc eener System Extended Comprehensive Service Agreement Program Details • One-year unlimited software updates, parts and labor • Software drug library updates included • Warranty period commences when installation is complete • One preventative maintenance visit included Dptional VeroVision'"Mail Screener System Presumptive Identification Software Features • One button presumptive identification of illicit contraband contained in the mail • Provides presumptive identification results in 2 minutes • Drug library updates included ADANI CONPASS Dual View Transmission X-Rav Screenine System Technical Data • Scanning Speed: Fully adjustable 5 seconds or more • X-ray dose / Inspection: Dosimeter controlled 0.25 pSv • Preset scanning modes: 6 configurable modes • Wire detectability: 40AWG typical (HD) • Privacy: PREA Feature • Dimensions, max (LxWxFi): 82" x 72" x 97" • Weight:1896lbs • Platform load: not less than 661 Ibs • Duty cycle: 100%- 24/7 continuous operation • Warranty: not less than 12 months CONPASS XCS X-ray shielding Cabin • Allows minimization of the safetyzone around scanner especially in confined or crowded spaces • x-ray protective glass and video surveillance system preserves the transparency of the scanner and scanning process DRUGUARD' Intelligent software anolysis tool • Analyzes X-ray images received on CONPASS body scanner and highlights torso area In which narcotics may be hidden by a suspected trafficker or "mule" • Accurately identifies and alerts the operator to the presence of suspected narcotics • Proven valuable tool to assist customer and law enforcement per in or interdiction efforts. • Effective detection of concealed narcotics • Fast image analysis • Remote retrofit upgrade capability • Storage of all images with highlighted zones • Low percentage of false alarms • Track operator effectiveness 25C-19 M :1 , , 4 M3 7325 Penn Avenue Suite 200 Pittsburgh, PA'15208 Tel . 412.241,7335 Fax: 412.241,7311 , �,..mw_ These Terms and Conditions constitute a material part of the agreement between Seller and Buyer.Seller objects to, and does not agree to be bound by, any changes to these terms and conditions.These terms and conditions supersede any inconsistent terms and conditions in any documentation submitted by Buyer to Seller. • Prices.Prices are based on the products and quantity described in the quote. Any changes or deletions to the product, quantity, of specifications may alter the price. Seller's commercial offer shall be strictly limited to the products and/or the services that are expressly mentioned herein and shall not set a precedent for any future orders. • Payment. Terms of payment for sales are cash in United States (,U.S") dollars Net 30 days, or irrevocable letter of credit issued by a bank headquartered in the United States of America and whose deposits are insured by an agency of the United States government. If Seller consents to a delay in delivery requested by Buyer, payinent shall become due on the date when Seller is prepared to make shipment, and goods held for Buyer after such date shall be held at the risk and expense of Buyer. • Delivery and Installation. All shipments are made FCA Sellers shipping point per INCOTERMS published by the International Chamber of Commerce and in force at the time of the execution of this contract, unless otherwise specified. Buyer shall choose the carrier, subject to the approval of the Seller. Buyer assumes all risk of loss in shipping and all liability for loss or damage, whether direct, indirect, consequential or otherwise, due to delays once the products have been delivered to the carrier. Buyer agrees to purchase any and all insurance it deems necessary to indemnify it against any loss in shipping. • Limited Warranties. • Termination.Seller may terminate the performance of the work under the agreement in whole at any time, or from time to time in part, by written notice to Buyer. • Default - Cancellation. Buyer may not cancel this order, or any portion thereof, except upon written notice to Seller. • Bankru tp�c /Insolvency- In the event of Buyer's bankruptcy or insolvency, or in the event any proceeding is brought against Buyer, voluntarily or involuntarily, under the bankruptcy or insolvency laws, Seller may cancel any order then outstanding at any time during the period allowed for filing claims against the estate, and shall be paid the cancellation charges specified in Section 6 (Default —Cancellation). • Force Majeurp.Neit� party shall be liable for defaults or delays due to Acts of God or the public enemy, acts or demands of any Government or any Governmental agency, strikes, fires, floods, accidents, or other unforeseeable causes beyond its control and not due to its fault or negligence.Each party shall notify the other in writing of the cause of such delay within five (5) days after the beginning thereof. • Indemnification. Buyer will defend, hold harmless, and indemnify Seller from and against any liability and expenses (including, without limitation, attorney and other professional fees and disbursements) arising from or in connection with any damages, injuries, or third party claims of demands to recover for personal injury, death, or property damage caused by or arising out of any of the goods or services supplied the Seller (regardless of whether such claim or demand arises under tort, negligence, contract, warranty, strict liability or other legal theories). except to the extent such injury, damage, or loss results from Seller's negligent actions. • Assignment. Neither this order nor any rights or obligations herein may be assigned by Buyer nor may Buyer delegate the performance of any of its duties hereunder without Sellers prior written consent. • Intellectual Property, Seller warrants that products furnished under the Sales Contract, and any part thereof, shall be delivered free of any rightful claim of any third party for infringement of any United States patent. Buyer acknowledges and agrees that all intellectual property rights in the Products and Software and in any Seller technology, intellectual property, and know-how used to make or useful for the manufacture or use of the products will at all times remain vested in the Seller. Buyer shall not use Seller's trademark, tradename, or other indication in relation to the Product unless in accordance with Seller's instructions or prior written approval and solely for the purposes expressly specified by Seller in writing. Buyer shall not have nor obtain any right, title, or interest in or to any Seller's owned trademarks, tradenames, or other indications. Buyer acknowledges all rights, title, and interest of Seller in respect of and to Seller's owned trademarks, tradenames, and other indications. • Attornevs' Fees.ln the event there is any dispute concerning the terms of this agreement or the performance of any party, and any party retains counsel of the purpose of enforcing any of the provisions of this agreement or asserting the terms of this agreement in defense of any suit filed against said party, each party shall be solely responsible for its own costs and attorneys' fees incurred in connection with the dispute irrespective of whether or not a lawsuit is actually commenced or prosecuted to conclusion. 25C-20 7325 Penn Avenue Suite 200 age Pittsburgh, PA 15208 Tel : 412.241.7335 Fax : 412,241.7311 i • Invoices and Notices Al correspondence covering this quote must be addressed to Accounts Payable, 4th Floor /Room 429, 20 Civic Center Plaza, Santa Ana, CA 92701 - Electronic copy to: Purchasing_AP@santa-ana.org • The parties agree that for any transactions subject to this quote, facsimile signatures shall be accepted as original signatures, orders may be transmitted electronically and any document created pursuant to this or may be maintained in an electronic document storage and retrieval system, a copy ofwhich shall be considered an original. Neither party shall raise any objection to the authenticity of this quote or any document created hereunder, based on the use of a facsimile signature, electronic order or the use of a copy retrieved from an electronic storage system. • Severability. In case any one or more provisions contained in this quote shall be invalid, illegal, or unenforceable in any respect, the validity, legality, or enforceability of the remaining provisions contained herein shall not in any way be affected or impaired thereby. • NoticeAnvAnv notice given under this quote shall be in writing and will be effective: (i) when delivered if delivered in person; or, (ii) three (3) days after deposited in the United States mail to the address provided on the first page of this quote. Email communications are solely for the convenience of the parties and will not constitute valid or effective legal notice for purposes of this quote • Taxes Prices include any municipal, provincial, state or federal sales, use, excise, value added or similar taxes, or in lieu thereof, Buyer will provide Seller with a tax exemption certificate acceptable to the taxing authorities. • Export Laws Buyer agrees to comply with all applicable export laws, assurances, codes, and license requirements and controls of the United States and other applicable jurisdictions in connection with the use and resale of products including Buyer's acceptance of responsibility for the payment of any relevant taxes or duties, etc. • ]TAR om lin ante Buyer is advised that this purchase order may involve goods or services subject to the International Traffic in Arms Regulations (ITAR) ITAR 22 CFR , Chapter 1, Sub -Chapter M, §120-§130, Sale of goods may be subject to licensing requirements by the U.S. Government, and may not be resold, diverted, transferred, or otherwise be disposed of, to any other country or to any person other than the authorized end -user or consignee(s), either in their original form or after being incorporated into other end -items, without first obtaining approval from the U.S. Department of State or use of an applicable exemption. If Buyer is a U.S. company that engages in the business of either manufacturing or exporting defense articles or furnishing defense services, the Buyer herby certifies that it has registered with the U.S. Department of State, Directorate of Defense Trade Controls and understands its obligations to comply with the International Traffic in Arms Regulations (ITAR) and the Department of Commerce, Export Administration Regulations (EAR). Buyer shall indemnify and hold Seller harmless from and against any liability claims, demands or expenses (including attorneys or other professional fees) arising from or relating to Buyer's non-compliance with U.S. export laws. • Applicable Law This Agreement is governed by the laws of the State of California, excluding the United Nations Convention on Contracts for the International Sale of Goods ('CISG') and excluding its conflict of laws rules. • Entire, A2reement; Additional or Different. Provisions Re ectp& Modifications; Amencirrent.Thi quote constitutes the entire agreement between Buyer and Suppliec.Anyadditional or different provisions proposed by Buyer are rejected and will not be effective unless agreed to in writing by Seller.The parties may agree to amend provision(s) contained in these Terms and Conditions if such amendment (1) specifically references the provision(s) in these Terms and Conditions to be amended; (2) specifically provides how such provision(s) is amended, and (3) is executed by the President of Seller.Otherwise, this Quote may be amended or renewed only by written agreement of both parties. • Dorumrntation Any specifications, characteristics and other indications that appear on Seller's or Manufacturers technical and commercial documentation shall be indicative only and do not have any contractual value except when expressly indicated in writing. The documentation supplied to the Buyer is established in accordance with the standards, technical specifications and norms used in United States on the date of execution of the contract. It remains the product manufacturer's exclusive property. Delivery dates are not guaranteed, but are estimated on the basis of immediate receipt by Seller of all information and approvals to be furnished by Buyer and the absence of delays which are excused under Section 8 (Force Majeure). The published delivery date shall be meant as an indication only, so that a non -respect of the delivery date shall not be considered as a default, not shall it entitle the Buyer to claim damages for the delay or to hold back the payment due, unless it has been agreed otherwise in writing. The Seller reserves the right to make partial deliveries with corresponding invoicing. The Seller shall retain the property title of the sold products until the payment is received in full. Late payment or non-payment of any one of the due payments could result in Seller's's claim to return the sold products. The Buyer shall nevertheless assume the risk of deterioration or loss of the received products as well as the damages that it could cause. 25C-21 7325 Penn Avenue Suite 200 Pittsburgh, PA 15208 1"el . 412.241.7335 Fax. 412.241. /311 When Seller undertakes to assemble and/or to install the products, the Buyer shall take care at its own costs of any possible help necessary for Seller's assemblers including, without limitation, movers, electricians, unskilled workers, and electric and telecommunication connections. a.Chemlmaee Products. Seller warrants to the customer that for a period of 1 year from the date of installation, equipment manufactured by us shall be free from defects in materials and workmanship for a period of one (1) year from the date of shipment of such equipment. Services performed by Seller in connection with such equipment, such as site training and installation services relating to the equipment, shall be free from defects for a period of one year from the date of shipment. If defects in materials or workmanship are discovered within the applicable warranty period as set forth above, Seller shall, at its sole option a) in the case of equipment, either repair or replace the equipment or b) in the case of defective services, reperform such services. Seller shall have the option of replacing equipment with substitute products or new or used replacement parts. Warranty shall be void due to any of the following: a) If the product has been opened, modified, altered, or repaired, except by Seller or its authorized agents, b) if the product has not been installed or maintained or used in accordance with instructions provided by Seller, c) misuse, abuse, accident, thermal or electrical irregularity, theft, vandalism, fire, water, or other peril, d) damage caused by containment and/or operation outside the environmental specification of the product, e) connection of the product to other systems, equipment, or devices or use with other software (other than software specifically provided by Seller), or f) removal or alteration of identification labels on the product or its parts. b.Adani Products. The Buyer shall advise ADANI of any inconformityof the received products to the specifications mentioned in the contract within 14 (fourteen) days from the date of reception of the products.ADANI shall examine the received claim and respond to it within 7 (seven) days. All products manufactured by ADANI have a warranty of one year from the date of delivery, if not declared otherwise in the Commercial Offer. The warranty period includes all parts, labor, and travel expenses. Typical response time is 2-4 hours and typical onsite response time is less than 24 hrs. Semi-annual preventative maintenance and radiation safety inspections are included. Shipping costs of any parts or equipment needed for repair/maintenance are the sole responsibility of ADANI. The warranty stated here above shall cover exclusively and according to ADANI's choice, the exchange or repair in its factories or those of a third party duly authorized by ADANI, of products or spare parts recognized as faulty by ADANI after being sent back to ADANI or a third party duly authorized by ADANI. The warranty shall not cover defects due to negligence, improper use or maintenance, accidental break, as well as any repair operations carried out by the Buyer or by a third party not authorized by ADANI. c.EXCEPT AS SET FORTH HEREIN, NO OTHER WARRANTIES OR REMEDIES, WHETHER STATUTORY, WRITTEN, ORAL, EXPRESSED, IMPLIED (INCLUDING, WITHOUT LIMITATION, THE WARRANTIES OF MERCHANTABILITY OR FITNESS FORA PARTICULAR PURPOSE, INCLUDING BUT NOT LIMITED TO PUBLISHED DETECTION SPECIFICATIONS OR ACCURACY OF DETECTIONS) OR OTHERWISE, SHALL NOT APPLY. IN NO EVENT SHALL SELLER HAVE ANY LIABILITY FOR ANY SPECIAL, EXEMPLARY, PUNITIVE, INDIRECT OR CONSEQUENTIAL LOSSES OR DAMAGES OF ANY NATURE WHATSOEVER, WHETHER AS A RESULT OF BREACH OF CONTRACT, TORT LIABILITY (INCLUDING NEGLIGENCE), STRICT LIABILITY OR OTHERWISE. REPAIR OR REPLACEMENT OF THE EQUIPMENT DURING THE APPLICABLE WARRANTY PERIOD IS YOUR SOLE AND EXCLUSIVE REMEDY UNDER THIS WARRANTY. IN NO EVENT SHALL SELLER, MANUFACTURER, OR THEIR SUBCONTRACTORS HAVE ANY LIABILITY TO BUYER, WHETHER AS A RESULT OF BREACH OF CONTRACT, TORT UABILITY (INCLUDING NEGLIGENCE), STRICT LIABILITY OR OTHERWISE, AND WHET HER ARISING BEFORE OR AFTER DELIVERY OF THE GOODS AND/OR PERFORMANCE OF THE SERVICES FURNISHED UNDER THE SALES CONTRACT, FOR ANY SPECIAL, INDIRECT, INCIDENTAL, CONSEQUENTIAL, EXEMPLARY OR PENAL LOSS OR DAMAGE OF ANY NATURE WHATSOEVER, INCLUDING WITHOUT LIMITATION, DAMAGE TO OR LOSS OF USE OF PLANT OR EQUIPMENT, EXPENSES INVOLVING INTEREST CHARGES OR COST OF CAPITAL, LOSS OF PROFITS OR REVENUES, COST OF SUBSTITUTE EQUIPMENT, FACILITIES OR SERVICES, OR CLAIMS OF BUYERS OR CUSTOMERS. Buyer may not cancel any order, or portion thereof, after shipment, Buyer may not reschedule or change any order, or portion thereof, without Seller's prior written consent. 25C-22 REQUEST FOR COUNCIL ACTION Qh, CITY COUNCIL MEETING DATE: OCTOBER 1, 2019 TITLE: APPROVE AGREEMENT WITH NICHOLS CONSULTING ENGINEERS FOR PAVEMENT MANAGEMENT PROGRAM SERVICES IN AN AMOUNT NOT TO EXCEED $101,310 (NON -GENERAL FUND; PROJECT 20-6898) (STRATEGIC PLAN NOS. 6, 1A& 1F) Is/ Kristine Rida( CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: r9MIMIZ10 :191 ❑ As Recommended ❑ As Amended ❑ Ordinance on 13' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For lillft]PIIILIUTADim C0] FILE NUMBER Authorize the City Manager to execute an agreement with Nichols Consulting Engineers to provide pavement management consultant services for the two-year term beginning October 2, 2019, and expiring September 30, 2021, with an option for a one-year extension exercisable by the City Manager and City Attorney, in the amount of $92,100 plus a 10 percent contingency of $9,210, for a total amount not to exceed $101,310, subject to nonsubstantive changes approved by the City Manager and City Attorney. The agreement will be funded by Measure M2 Local Fairshare. DISCUSSION Approval of this recommended action will allow the City to retain professional services for updating the City's Pavement Management Program (PMP). The PMP is an essential tool in determining the condition, expected life, recommended improvements, and associated costs of the City's pavement assets. The program enables the City to prioritize pavement rehabilitation projects where they are most cost effective. In addition, an updated PMP is required for the City to remain eligible for Orange County Transportation authority (OCTA) Measure M2 funding programs, and to allow a reduced local match requirement for using those funds. On July 16, 2019, the Public Works Agency released a Request for Proposals on the City's online procurement portal, Planetbids for updating the City's Pavement Management Program. Three proposals were received on August 6, 2019. The proposals were evaluated in a qualifications - based selection and ranked by a review committee according to the criteria listed in the RFP. Scoring criteria included firm and team experience, understanding of need, relevant project experience, references, and schedule. The ranking of the firms is as follows: 25D-1 Approve Agreement with NCE (Nichols Consulting Engineers) for Pavement Management Consulting Services October 1, 2019 Page 2 NAME OF FIRM RANKING NCE (Nichols Consulting Engineers) 1 Bucknam Infrastructure Group, Inc. 2 Dynatest 3 The proposal by NCE demonstrated necessary labor capacity and deliverables to complete the required services. The firm's rates are reasonable and within industry standard, the team qualifications are appropriate for this program, and the proposal was found to provide the best value for the City. The proposed fee, in the amount of $92,100, plus a ten percent contingency of $9,210, yields a recommended not -to -exceed total contract amount of $101,310 (Exhibit 1). A large proportion of the work under this agreement involves individual street assessments in the field, and most of that work will take place during the current fiscal year. However, the firm must be retained through 2022 for revisions to the Pavement Management analysis that may be requested by OCTA, or by State and Federal grant funding agencies, as needed, in order to assure the City maintains maximum funding eligibility. The proposed services also include optional mapping and Geographic Information System (GIS) support to help with the integration to the City's Asset Management System, currently under implementation. The mapping and GIS will be compatible across all other infrastructure that is being mapped for which the City is responsible. 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 A (develop a complete inventory of all assets to determine the scope of improvements needed to sustain the City's current infrastructure investment), and Strategy F (perform periodic measurements to monitor and update each asset's condition and ensure adequate funding for repair and/or replacement costs in future budgets), ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funding in the amount of $101,310 is available in the approved Fiscal Year 2019-20 Capital Improvement Program (Project No. 20-6898), from the Measure M2 Program (Account No. 03217662-66220), for estimated expenditure as follows: 25D-2 Approve Agreement with NCE (Nichols Consulting Engineers) for Pavement Management Consulting Services October 1, 2019 Page 3 Accounting Unit - Accounting Unit - Account No. Fiscal Year Account No. Fund Description Description Amount (Project No. FY 2019-20 Measure M-Street Measure M2 Local Fairshare — Oct. - June 03217662-66220 Construction Improvements Other Than $90,000 Building FY 2020-21 Measure M-Street Measure M2 Local Fairshare — July - June 03217662-66220 Construction Improvements Other Than $9,300 Building FY 2021-22 Measure M-Street Measure M2 Local Fairshare — June — Sept. 03217662-66220 Construction Improvements Other Than $2,010 Building TOTAL EXPENDITURES: $101,310 APPROVED AS TO FUNDS AND ACCOUNTS: Fuad S. Sweiss, PE, PLS Kathryn Downs, CPA Executive Director Executive Director Public Works Agency Finance and Management Services Agency FSS/EW G/JG/KN Exhibit: 1. Agreement with NCE for Pavement Management Consultant Services 25D-3 AGREEMENT TO PROVIDE SERVICES FOR PAVEMENT MANAGEMENT PROGRAM UPDATE THIS AGREEMENT is made and entered into this 2nd day of October, 2019 by and between Nichols Consulting Engineers ("NCE" or "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. On July 16, 2019, the City issued Request for Proposal No. 19-070, by which it sought a consultant to provide professional services necessary to update the City's Pavement Management Program in compliance with Orange County Transportation Authority (OCTA) guidelines. B. Consultant submitted a responsive proposal that was selected by the City. Consultant represents that it is able and willing to provide the services described in the scope of work that was included in REP No. 19-070. 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: 1. SCOPE OF SERVICES Consultant shall perform the services that were described in the scope of work that was included in REP No. 19-070 and as more specifically delineated in Consultant's proposal, which is attached as Exhibit A and incorporated in full. 2. COMPENSATION a. City agrees to pay, and Consultant 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 terns of this Agreement, including any extension periods, shall not exceed $101,310. This sum is comprised of (1) the base amount of $92,100 and (2) a 10% contingency in the amount of $9,210 for additional services at the City's sole discretion. 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. IZAI?0-4 3. TERM This Agreement shall commence on the date first written above and terminate on September 30, 2021, unless terminated earlier in accordance with Section 17, below. The terns of this Agreement may be extended for up to one 1-year period upon a writing executed by the City Manager and City Attorney. 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. Ifthe 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 CONTRATOR 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 subconsultants to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subconsultant 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 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. IZADO- 8 INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subconsultants, 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, 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 equivalentform,with acombinedsingle 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, 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 cancelled or reduced in coverage or changed in any other material aspect, by consultant, without thirty (30) days prior written notice to the City. URDO-A (iv) Consultant shall supply City with a fully executed additional insured endorsement. 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, consultants, 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 or its subconsultants, 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 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 terns 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 of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant. 9. INTELLECTUAL PROPERTY INDEMNIFICATION Consultant 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 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. 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 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 Fax 714-647-6956 Executive Director Public Works Agency City of Santa Ana 20 Civic Center Plaza (M-21) P.O. Box 1988 Santa Ana, CA 92702 Fax 714-647-5635 To Consultant: NCE 17050 Bushard Street Fountain Valley, CA 92708 Attn: Charlene Palmer A party may change its address by giving notice in writing to the other party. Thereafter, an_v 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 Consultant 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 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 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 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 mill and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the set -vices which are the subject to this U*�Dci$ Agreement performed by City personnel or by other consultants 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 remedv. 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, 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 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. Pavment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 18. NON-DISCRIMINATION Consultant 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 an), activities under this Agreement. Consultant 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 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 pen -nits, 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: DAISY GOMEZ Clerk of the Council APPROVED AS TO FORM SONIA R. CARVALHO City Attorney By: hn 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 CONSULTANT Naa6:t rlene Palm Title:P ci al e Page 8 of 8 25D-11 Pavement Management Program Update Submitted By: Fountain Valley Office 17050 Bushard Street, Suite 200 Fountain Valley, CA 92708 Phone: 714,848.8897 25D-12 E TABLE OF CONTENTS 1 Statement of Qualifications 1 Cover Letter 1 Contract Agreement Statement 2 Firm and Team Experience 4 Relevant Project Experience 12 References 16 2 Scope of Services and Schedule 17 Scope of Services 17 Schedule 25 3 Fee Proposal 26 4 Certifications 27 A Staff Resumes A-1 4wNC Table of Contents 25D-13 August 6, 2019 City of Santa Ana Attn: Kenny Nguyen Public Works Agency: M-36 20 Civic Center Plaza, Ross Annex Santa Ana, CA 92701 Proposal - Pavement Management Update Program RFP No. 19.070 Dear Mr. Nguyen and Members of the Selection Committee: With more than 80 person -years of experience with PMPs, NICE has more knowledge and understanding than any other pavement consulting firm. Our highly trained technical staff are experienced in data collection and has worked together on numerous similar projects and developed an excellent reputation for dedication, integrity, productivity, quality of work and service to our clients. Specifically, the NICE team provides the following capabilities to the City: Extensive working knowledge with various PIMP software - The NICE team has worked with various software systems, such as StreetSaver® and MicroPAVERTM for numerous years. Certified inspectors - NCE's field inspectors and engineers are certified through both the Orange County Transportation Authority's (OCTA) and the Metropolitan Transportation Commission's (MTC) Inspector Certification Programs. 41 Southern California experience providing PMP's - NCE has performed dozens of similar PMP projects for agencies, such as Orange County, Ventura County, and the Cities of Buena Park, Mission Viejo, Seal Beach, Anaheim, Orange, Garden Grove, Laguna Niguel, Redondo Beach, Santa Monica, Manhattan Beach, Diamond Bar, Whittier, San Gabriel and Burbank. 41 Expertise in pavement engineering - NCE has a number of pavement experts that specialize in asphalt and concrete materials. We will assist the City in developing practical and economical solutions for maintenance and rehabilitation (M&R) as part of the budget analyses. 11 Rigorous quality control (QC) - All of NCE's projects include a QC Manager who reports directly to the Project Manager. Additionally, NCE's engineers and technicians undergo a mandatory internal training/calibration; this enables NICE to provide high -quality deliverables to the City. As a Principal of the firm, Charlene Palmer is authorized to negotiate and contractually bind NCE to this contract. Lisa K. Senn will be the contact for questions that may arise. We look forward to your favorable review of our proposal. Sincerely, NICE � zit 7V,,,,,, Charlene R. Palmer Principal Lisa K. Senn Senior Project Manager Fountain Valley, CA 17050 Ushard Street, Suite 200 Fountain Valley, CA 92708 (714) 848-8897 1 ngiiieering & Environmental Services 25D-14 ArtCHANGES ON PAGES 2 AND 3 NOT ACCEPTED BY CITY AND NOT INCORPORATED INTO AGREEMENT STATEMENT OF QUALIFICATIONS Contract Agreement Statement NCE has reviewed the City of Santa Ana's standard agreement provided in Attachment "2" to your request for proposals to provide professional engineering services for the annual pavement maintenance update program. After careful consideration, we would appreciate the opportunity to discuss the changes noted below. The proposed indemnification changes are requested to meet the new requirements of S13496. Additionally, NCE will meet the insurance coverage requirements. Proposed modifications are in red italics. Agreement Clause Number, Name: 8. INDEMNIFICATION Proposed Change: Consultant agrees to reimburse the apportioned costs 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, to the extent caused bythe 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 Gta4n that personal dan4ageS, Just judcl e€fesfs ari ing-f . 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. In no event shall the cost to defend charged to the Consultant exceed the Consultants proportionate percentage of fault. Additionally, NCE would like to add the following clauses: Limitation of Liability CONSULTANT's liability to CITY and/or anyone claiming by, through or under CITY, shall not exceed $100,000 for claims arising from (i) professional acts, errors or omissions. CONSULTANT's liability for all other claims for loss or injury shall not exceed $1,000,000. The CITY hereby forever releases CONSULTANT and its officers, principals, employees and agents from any liability for losses or damages sustained and incurred by the CITY in excess of such amount. As used in this Paragraph, the term liability or liable means liability of any kind, whether in contract (including breach of warranty), in tort (including negligence) in strict liability, for indemnity or otherwise, for any and all injuries, claims, losses, expenses or damages, administrative sanctions, penalties or fines imposed (including attorney's fees) whatsoever arising out of or in any way related to CONSULTANT's Page 12 25D-15 CHANGES ON PAGES 2 AND 3 NOT ACCEPTED BY CITY AND NOT CltFPNo.Santa Ana 070 Pavent Management Program Update RFP No. 19-070 INCORPORATED INTO AGREEMENT August 6,2019 Services from any cause or causes whatsoever. The provisions of this Paragraph shall survive the completion of the Project or the expiration, cancellation or termination of this Agreement. CONSULTANT shall not be liable for any claims of loss of profits or any other indirect, special, incidental or consequential damages of any nature whatsoever. Cross Indemnification to NCE CITY shall indemnify and hold harmless CONSULTANT, its officers, agents, and employees from any and all claims, suits, losses, pure economic damages, costs (including reasonable attorney's fees) and demands, administrative fees, penalties and fines imposed, and demands, including reasonable attorney's fees connected therewith, on account of personal injury, including death, or property damage, sustained by any person or entity not a party to this Agreement between CONSULTANT and CITY to the extent such injury, death or damage is caused by the negligence or willful misconduct of CITY or its Consultants or their respective employees, officers and agents. CITY agrees to the full extent permitted by law, to indemnify, defend, and hold harmless CONSULTANT, its officers, directors, shareholders, employees, affiliates, and subsidiaries and their successors from and against any and all claims, demands, losses, penalties, fines and causes of action of every kind and character (including reasonable attorney fees) arising from or relating to Pre-existing Conditions. Third Party Reliance upon Reports All CONSULTANT work products are prepared solely for use by CITY and shall not be provided to any other person or entity without CONSULTANT's written consent. CITY shall indemnify CONSULTANT from and against any and all claims, liability, damages, actions or proceedings brought by any person or entity claiming to rely upon information or opinions contained in reports or other work products provided to such person or entity, published, disclosed or referred to without CONSULTANT's written consent. Dispute Resolution CITY and CONSULTANT agree that they shall first submit any and all unsettled claims, counterclaims, disputes, and other matters in question between them arising out of or relating to this Agreement to mediation in accordance with the Construction Industry Mediation Rules of the American Arbitration Association, effective as of the date of this agreement. Litigation Support. CONSULTANT shall receive compensation for preparing for and/or appearing in any litigation at the request of CITY, except: (1) if such litigation costs are incurred by the CONSULTANT in defending its work or services or those of any of its sub -Consultants; or (2) as may be required by the indemnification requirements of the CONSULTANT. Compensation for litigation services requested by the CITY shall be paid at a mutually agreed upon rate and/or at a reasonable rate for such services. Force Majeure Neither party to this Agreement will be liable to the other party for delays in performing the services, nor for the direct or indirect cost resulting from such delays, that may result from labor strikes, riots, war, acts of governmental authorities, extraordinary weather conditions or other natural catastrophe, or any other cause beyond the reasonable control or contemplation of either party. Page 13 25D-16 City of Santa Ana Pavement Management Program Update RFP No. 19-070 August 6, 2019 Firm and Team Experience AINCEFirm Overview '41 Ja Founded in 1990, NICE is a client -focused professional consulting firm integrating the disciplines of engineering, science, and planning to address the infrastructure and resources challenges facing our communities today and in the future. NICE has grown significantly in expertise and capabilities beyond its origin as a transportation research and pavement management firm working with the Federal Highway Administration (FHWA). Unique from other civil engineering firms, we have specialized in pavement technology, including pavement management, design, and research since 1990. Since our founding, we have performed pavement condition surveys ranging from state highways in 12 states to local street networks in over 200 cities and counties in California. We have surveyed over 100,000 miles of pavements. NICE has over 100 employees available on an as -needed basis from our Fountain Valley, Richmond, Oakland, and Sacramento, California offices, as well as from our Reno, Lake Tahoe, and Las Vegas, Nevada offices. Our clients continuously work with NICE staff because of our collaborative style of working on projects, our commitment to making sure the project is a success: and the confidence they have in our ability to complete the project to their satisfaction. The City can expect superior customer service and high value work products tailored to this specific project. NCE's civil engineers and technicians have extensive experience in collecting pavement distress data, analysis, and design, as well as developing plans, specifications, and construction cost estimates and providing environmental and water resources services for infrastructure projects. It is the fundamental goal of NCE to produce high -quality work products, while maintaining a reputation for timely service. Pavement Management NICE has an extensive background providing pavement management services and is proficient with many pavement management systems that are currently in use. These software systems include: PAVERT" StreetSaver°, and Cartegraph. We have successfully implemented PMPs for numerous cities and can assist the City to more effectively plan a multi -year capital improvement program. With our vast experience delivering PMP projects throughout California, we are very familiar with all aspects of a PMP, including: 0 Pavement management software evaluation 41 Database development 41 Establishing pavement inventories 'fit Pavement data collection it Rigorous QA/QC procedures 41 Funding (or "what -if') analyses t GIS links to PMS and development of user interfaces at Training (field and computer operations) V Providing technical support 1: Presentations to elected officials, advisory boards, and agency staff 41 GIS links to PMS and development of user interfaces 53 Training (field and computer operations) V. Providina technical support t Presentations to elected officials, advisory boards, and agency staff As an indicator of our experience and the quality of our work, NICE received the Metropolitan Transportation Commission's (MTC) award for "Best Pavement Management Consultant". * 'NCE 14 25D-17 City of Santa Ana Pavement Management Program Update RPP No. 19-070 August 6, 2019 Pavement Design & Analysis Pavement designs, plans, specifications, and estimates (PS&E) for preventive maintenance, rehabilitation, and reconstruction are NCE's specialty and we offer extensive experience and expertise with pavement treatment alternatives. Our civil and geotechnical engineers not only understand the types of pavements and treatment options, they understand the significance and cost implications of proper roadway support on competent subgrade soils to limit future settlement and cracking. Pavement design begins with an accurate assessment of the existing structural adequacy. Unlike traditional civil firms who rely on core samples, we employ our pavement survey expertise in conjunction with deflection data and materials testing to more accurately assess the engineering properties of the existing roadway. Sustainable and Innovative Pavement Technologies There are numerous pavement rehabilitation techniques available today with new binders, new additives, and polymers that may be applied in various layers to preserve pavement life. NCE constantly seeks to identify the most cost- efficient alternatives for cities and counties, such as cold -in - place recycling, full -depth reclamation, warm mix asphalt, and terminal blend asphalt rubber binders. Many of the technologies NCE can implement will meet the goals of the City's Sustainable City Plan, even though specific pavement strategies are not mentioned in the plan. Some examples of cost-effective sustainable treatments are described in the following paragraphs. FHWA Sustainable Pavement, Pro -gram `MWnia."',"x","w�w`"0y imm&S.d.hmmble Pavement SyAms: Webinar Series :�T4MXi4mJatlHaAvr.MLleMrercNrMgrmNJ}q es Wave Ole mm..+eeeo-nao�aaAearvmmv.axw�aw�.mewuaiot�.ue � t d+�xds+.nbrowrrxaK+.nrcrcaa+aro anmar xLvWmYwrhetta I ,.z�` tum.«awm..aao-ar+u�xn.wm�=n,rc.wm>wa.an '. nm+naw�xwswmwawauwumxa.wwrvw�ysa3y `" 'i� MMnMa MNerrdl M4+anNi+19MN16raMIeM WmeMdNrc*uniwuaWRM. = - --.e r+u.a><e»...vam�.a.ars�mon w�uu .o. �eN6=PaMW+ uxaMgv Nilw: waEgNaerc -We9br wrfhatluan wv,re W2nMvsw Pmmenn eyq�tsnw4Re Ems# Sustainable Pavements - NCE is involved with projects at both the national and local levels on issues such as sustainable pavements and premature failures. For example, Dr. Tom Van Dam is NCE's Principal Investigator for the FHWA on Sustainable Pavement Systems. He has developed technical guidelines and delivered a webinar series in 2015 on this subject. Cool Pavements - NCE provided cool pavement testing in the City to mitigate the urban heat island impact. NCE used an albedometer that includes two separate pyranometers. The first, located in a glass dome on the top of the unit, measures incoming solar radiation. The second, located in a glass dome directly beneath the first, measures radiation reflected off the pavement surface. The ratio between the two measurements is the albedo of the surface. The result is used to determine the use of pavement alternatives, such as porous or permeable pavements, pavers, concrete pavements, and use of light-colored aggregates. Cool pavement is a road surface that uses additives to reflect solar radiation, unlike conventional dark pavement. Conventional dark pavements contribute to urban heat islands as they absorb 80 to 95 percent of sunlight and warm the local air. Conventional dark 140IN ,' Page 15 25D-18 City of Santa Ana Pavement Management Program Update RFP No, 19-070 August 6, 2019 pavements contribute to global warming because they radiate heat into the atmosphere. Cool pavements are made with different surfaces to increase albedo, thereby reflecting ultraviolet radiation out of the atmosphere. Increasing albedo reduces heat transfer to the surface and creates local cooling. Composite Pavements — NICE worked for the Strategic Highway Research Program (SHRP2 R21) to develop best practice standards for asphalt concrete (AC)/portland cement concrete (PCC) composite pavements nationwide. This project resulted in the development of best practices in construction, specifications, and quality management procedures for these pavements. NICE is currently teaching a series of workshops for State Highway Agencies nationwide to assist them in implementing key best practices for composite pavements. While this work was funded and ai the fundamental concepts of composite pavements and the best ways to implement them can be translated to cities, too. Cold -in -place recycling (CIR) — A cost-effective alternative to traditional mill and fill pavement treatments, cold -in -place recycling can yield cost savings of as much as 30% by the use of existing AC materials, which produces less truck hauling and better time efficiency during construction. The technology involves milling of existing AC, pulverizing, and processing it to a specified material size, adding emulsion, mixing, and then placing and compacting it onto the roadway. A thin AC overlay is typically placed as a smooth wearing course. Longer pavement sections (generally at least 500,000 square feet of pavement area) that require deeper mill and fills (typically at least three inches) are good candidates for cold -in -place recycling with potentially large cost savings. Full -depth reclamation (FDR) — Full -depth reclamation is a process that reconstructs failed AC pavements by recycling the existing roadway materials. The old AC and aggregate base materials are pulverized and mined using specialized equipment. The full -depth reclamation method recycles the materials in -situ and can offer significant cost savings over conventional roadway reconstruction techniques. It is generally cost-effective for areas as little as 25,000 square feet. City Owned Asset Collection As an optional service (costs can be provided upon request), NICE can collect additional transportation related asset information in the field concurrent with the pavement condition survey. Mobil data collection units gather high -resolution 360-degree geo-referenced right-of-way street level digital imagery along with 3D point cloud data. Assets collected can include curb/gutter, ADA compliance, streetlights, traffic signals pavement markings, pavement, sidewalks, drainage facilities, signage (including reflectivity), parking lots bike trails, and pathways/walkways. a We have and can work with the City to develop G` I( customized condition rating standards where none exist. a The data are entered into a database, either proprietary software, such as StreetSaverO, or custom Page 16 25D-19 City of Santa Ana Pavement Management Program Update RFP No. 19-070 August 6, 2019 databases developed by NCE. These are then analyzed to develop funding estimates for the future and work plans. The results are typically presented in reports, AutoCAD maps, or GIS shape files. Specialty Pavement Testing and Pavement Design Options As an optional, added -value service (costs can be provided upon request), NICE can perform non-destructive pavement deflection testing to evaluate the subsurface or structural capacity of the existing pavement on rehabilitation slated streets. NCE owns and operates a Falling Weight Deflectometer (FWD), which is a powerful device for measuring the response of pavements under simulated wheel loads and estimating their subsurface and structural capacities. The test procedures are performed in accordance with California Test Method (CTM) 356. Deflection testing can quickly and cost-effectively measure in -situ pavement section strength and can identify structural deficiencies for a given traffic loading and future expected traffic growth, which can help reduce the chance of under designing or over designing pavement rehabilitation. Streets identified for reconstruction can sometimes indicate that reconstruction is not necessary and more cost-effective rehabilitation alternatives are feasible. It should be noted that FWD testing is time -sensitive and the data is only valid for pavement design within two years of the testing. Deflection testing must be correlated with knowledge of the pavement structural section (i.e., thickness of AC and base) before meaningful analysis can be performed. Representative coring is budgeted on arterials and collectors to provide this information following the clearing of utilities. The core holes are filled with cold patch for AC roads and with rapid set grout for portland cement concrete roads. NICE recently performed FWD testing, coring, analysis, and pavement design for the City of Lemon Grove, and is currently providing similar services for the Montebello Grade Separation project's Haul Route in Montebello. Pavement and Civil Engineering Street rehabilitation extends well beyond the pavement and often requires important considerations, such as striping, curb and gutter repairs, pedestrian and bicycle improvements, signage, utility relocation, drainage improvements, and ADA compliant curb ramps and sidewalks. NCE has developed outstanding working relationships with our clients, implementing projects similar to the City's. NCE provides civil engineering services on -time and designs that are technically innovative and highly cost-effective. NICE has experience designing thousands of roads throughout California, including developing PS&E. We thoroughly understand the impact recommended pavement designs can have on the roadway system. Geotechnical Engineering NCE's geotechnicai engineers understand the significance of proper support on competent subgrade soils to limit damaging settlement and future cracking. For example, based on field exploration and soil/rock laboratory testing, we are able to accurately assess the engineering properties and the presence of 4 °ONCE Page 17 25D-20 City of Santa Ana Pavement Management Program Update RFP No. 19-070 August 6, 2019 subgrade soils that might be soft and exhibit pumping under vehicle loads. We develop appropriate subgrade stabilization techniques for problematic subgrade soils that may include moisture conditioning, lime treatment, geotextiles, and/or over -excavation and replacement with aggregate materials. NICE provides comprehensive geotechnical engineering services ranging from site investigation to thorough review of plans and specifications, as well as critical follow up on services during construction. GIS Analysis, Modeling, and Mapping NCE staff have an in-depth knowledge and understanding of the geographic information system (GIS) needs of public entities and the importance of geospatial data in making critical resource, impact analysis, and management decisions. These decisions require well thought out tools that allow for efficient management, deployment, and dissemination of spatial data (both internal and external for the public). Our experience with GIS development and analysis, cartography, and asset management is extensive and includes projects for municipalities across California and Nevada. Our services include mobile data collection, integration with asset and PMS software, and detailed mapping capabilities using ESRI and ArcGIS. Specialized Training, Experience and Professional Competence Our engineers and technicians have also undergone training on both software programs. We have developed and conducted training for numerous cities and counties (both field distress and computer training) for various transportation agencies, such as OCTA and MTC. NCE's pavement inspectors for this project have been tested and prequalified through both the OCTA and the MTC "Inspector Certification/Testing" programs. This cover both ASTM D6433 for PAVERTm and StreetSaver® distress types. In addition, Ms. Lisa Senn attends a week-long PAVERT" training class every two years in order become fully familiar with the latest software updates. This enables NICE to remain current in our understanding of the latest updates -to-th-e-software-as-well-as ASTM updates. StreetSaverV PAVERTM Implemented over 125 StreetSaver® PMS's Implemented over 75 PAVERTM PMS's NCE's technicians and engineers are verified in NCE's staff have used the PAVERTM software MTC's rater certification program since 1987 NCE has trained users on the StreetSaver® Ms. Lisa Senn attends a week-long PAVERT"' software since 1997 Protocol Update training class every two years All field employees received refresher training on All field employees received refresher training on StreetSaver® distresses once a year PAVERTm distresses once a year NCE staff have beta tested versions of the Developed and conducted training on PAVERTM software since 1994 and are members of the for numerous cities and counties (both field and software development team computer training) as OCTA's consultant Pavement Inspector Certification/Testing — NCE's pavement inspectors for this project have been tested and prequalified through both the OCTA and the MTC 'Inspector Certification/Testing" programs. This cover both ASTM D6433 for PAVERTM and StreetSaver® distress types. In addition, Ms. Lisa K. Senn attends a week-long PAVERTM training class every two years. This enables NCE to remain current in our understanding of the latest updates to the software as well as ASTM updates. This translates to up-to-date improvements for the City's update. 40IN C E Page 18 25D-21 City of Santa Ana Pavement Management Program Update RFP No. 19-070 August 6, 2019 Failing Weight Deflectometer (FWD) Testing and Analysis — NCE evaluates pavement structural conditions with deflection testing using our truck mounted Dynatest FWD, a specialized tool that will assist in cost-effective pavement designs for the City. In -situ conditions can be quickly evaluated to determine issues, such as the extent of subgrade problems or the presence of voids/unstable soils. Pavement designs for phased or staged constructions are possible, as well as the ability to model and use new materials and technologies. This equipment is operated by our technicians who have over 15 years of experience collecting this data. NCE has assembled a team of highly experienced individuals who have implemented PMP's throughout California and the West Coast. We are committed to providing our clients continuity in staff and quality in service. Our staff benefits from continuous training in the latest versions of software, design, and construction techniques. In addition to frequently participating in such training, we instruct others throughout the engineering community. The City can count on our team to provide superior, responsive service on this project. Also, NCE will not substitute key personnel without prior approval from the City. The core NCE team has completed hundreds of projects together throughout California fulfilling the following roles and responsibilities on similar PMP projects. 2 Project manager —responsible for directing the data collection activities, pavement condition index (PCI) calculations, budget analyses, and preparing reports. 44 QC manager — responsible for calibration of the data collection activities, review of field activities, including spot checks on the field crews, reviewing field procedures and making changes as needed, comparing the field data collected with on -site conditions, review of data entry functions, including random spot checks, review of reports generated, and analyses performed to ensure a quality product. @ Project engineers — perform the funding analysis and update maintenance and rehabilitation decision trees. 4: Field technicians — perform the functions relating to data collection Project Representatives Our proposed Project Manager, Lisa K. Senn will be our primary point of contact for the lift of the contract and can be reached at: Lisa K. Senn, Senior Project Manager 17050 Bushard Street, Suite #200 Fountain Valley, CA 92708 (714)848-8897 LSenn@ncenet.com Additionally, our proposed principal -in -charge, Charlene Palmer will serve as our secondary point of contact and can be reached at: Charlene Palmer, Principal -in -Charge 17050 Bushard Street, Suite #200 Fountain Valley, CA 92708 (714) 848-8897 CPalmer@ncenet.com "NCE Page 19 25D-22 City of Santa Ana Pavement Management Program Update RFP No. 19-070 August 6,2019 Project Team Organization NCE has assembled a team highly experienced in StreetSaver® and OCTA M2 requirements. Our proposed team has worked to together for many years delivering pavement management program updates which include pavement condition surveys, data analysis, budget projections, and OCTA report submittals. The organizational chart illustrated below details the structure of our team, roles, and percentages of availability to the project. Following the chart are brief summaries of these each key team member, ipsj J re PaEmer 0% Project Engineer Narut Leehacharoenkui, PE 26% Key Personnel rJarneLsSig.1 20°fo Lisa K. Senn 20% Sr. Field Technician Sr. Field Technician Franc Escobedo David Bivens 100% 100% Lisa Senn, Project Manager — Ms. Senn has more than 19 years' experience completing pavement engineering and transportation projects. She has managed many PMS projects and has been involved in every aspect of PIMP implementation and updates including collecting field data, performing condition surveys, and calculating analyses to report preparation, and result presentations to decision makers, project management, and quality control. Currently, Ms. Senn is working with Orange County and the Cities of Thousand Oaks, Orange, Lake Forest and Dana Point using StreetSaver®. She is also teaching the ASTM D6433-11 distress1 program to 35 local agencies in Orange County for the Orange County Transportation Authority (OCTA). Ms. Senn has provided PIMP training to over 200 city and county engineers and technicians in California. Overseeing field inspections and QC procedures for projects with various agencies, Ms. Senn's clients include the cities of Buena Park, Mission Viejo, Orange, Garden Grove, Cypress, Laguna Niguel, Seal Beach, San Gabriel, Torrance, and Whittier in addition to the Counties of Orange, Santa Barbara, and Ventura. Ms. Senn is also responsible for the field training and annual refresher training of all NCE PMS personnel. Page 110 25D-23 City of Santa Ana Pavement Management Program Update RFP No. 19-070 August 6, 2019 Ms. Senn has managed many similar PMP updates and is currently working with both Orange and San Diego Counties as well as the Cities of Orange, Buena Park, Lake Forest and Dana Point on a similar update. She has also provided PMP training to 35 local agencies for the OCTA. Charlene Palmer, Principal -in -Charge — Ms. Palmer brings 35 years of extensive experience in the engineering consulting industry for services covering a broad base of engineering disciplines to a project. She is a registered professional engineer in Kentucky and her consulting experience includes the transportation, civil, rail / transit, infrastructure, water resources, environmental, materials testing and inspection, and geotechnical engineering arenas. She has won and directed projects with services varying from feasibility studies through design support during construction and construction management and inspection services. INJames Signore, PhD, PE — QA/QC & Technical Advisor— Dr. Signore, PhD, PE, has been in the pavement field for over 20 years. He specializes in pavement design and evaluation, rehabilitation and maintenance, materials assessment, and training. He has experience in designing pavements for many local agencies, Caltrans, and for heavy vehicle loading applications for highways, airfields and ports. He has spent years researching pavement materials, having directed a state-of-the-art AMRL certified and Superpave mix design equipped research laboratory, and is well versed in state and local pavement practices and specifications Narut Leehacharoenkul, PE, Staff Engineer — Mr. Leehacharoenkul has engineering project experience including pavement management budget analyses using both PAVERTM and StreetSaver® software, pavement condition survey QA/QC inspection, asset management using EarthMine, AutoCAD Civil 3D, ArcMap, and ArcGIS Online. He has also been certified by both the MTC and the OCTA inspector certification testing programs. Mr. Leehacharoenkul is heavily involved with pavement management projects as well as with the asset data collection for the cities of Carson, Commerce, Corona, Diamond Bar, San Gabriel, Torrance, and West Covina as well as Orange County. \, Franc Escobedo Senior Field Technician — Mr. Escobedo has over 15 years of experience as a pavement management technician for NCE. He has performed numerous pavement condition surveys throughout California, Idaho and Washington and has collected distress data for various Pavement Management Systems, including StreetSaver®, PAVERTm and Cartegraph systems. He has collected data for the Cities of Agoura Hills, Commerce, Cudahy, San Dimas, Torrance, and West Covina, and the Counties of Orange, Ventura and San Diego. Mr. Escobedo is certified by both the MTC and the OCTA inspector certification testing programs. Both of these agencies require companies and inspectors to pass a rigorous field test in order to work in their respective jurisdictions. He also assists with the training of agency staff. David Bivins, Senior Field Technician — Mr. Bivins has over 17 years of experience as a pavement management technician. He is one of NCE's most experienced distress collectors and our primary choice for working with/training our clients in field data collection activities. x' His field experience and expertise are an added benefit to agencies during field training. Mr. Bivins is certified by the MTC inspector certification testing program, which requires inspectors to pass a rigorous field test in order to work in their respective jurisdictions. He has performed condition surveys of over 15,000 centerline miles in California, Washington, Idaho and Nevada. He has not only attended yearly in-house training but has assisted in training local agencies on distress identification and collection procedures. �04A NCE Page 111 25D-24 City of Santa Ana Pavement Management Program Update RFP No. 19-070 August 6, 2019 Resumes Per the options outlined in the RFP, we have included our key staff resumes in Appendix A. Understanding of Need The City of Santa Ana is required by the Orange County Transportation Authority (OCTA) to update its pavement management plan every two years in order to be eligible receive funds from Measure M2 turn - back funds. The Pavement Management Program Update RFP No. 19-070 is the City's action to comply. This project seeks to perform pavement condition updates the MPAH and Local streets for the City. The steps the City has set forth to accomplish this, is as follows: " Add new street sections to the StreetSaver database 0 Perform condition surveys on MPAH and Local street networks 4 Compare the PCI's of all street sections to the previous survey of 2018 (determine probable reason for PCI discrepancies of +/- 10 points. 41 Update unit prices for treatments the City performs 40 Perform budgetary analysis per OCTA PMP Guidelines 41 Complete the M2 PMP Template for submission. V Prepare a final report for City to deliver to Council «" Work with StreetSaver developers to design and create custom reports that are needed by City staff 4" As an optional task, update StreetSaver GIS Toolbox to reflect street sections and linking in conjunction with the City's ESRI GIS program. III Provide regular project updates to City staff. Relevant Project Experience NCE has performed similar PMP updates for over 50 cities and counties located in Southern California alone. We are currently providing PMP related services for the following agencies: :" City of Anaheim* %" City of Manhattan Beach 0 City of Temple City 11 City of Buena Park* City of Mission Viejo* City of Torrance 4" City of Burbank 40" City of Moreno Valley FO City of Ventura 0 City of Corona w" City of Orange* a" County of Orange* 5" City of Dana Point* 0 City of Redondo Beach g" County of Santa Barbara 0 City of Garden Grove* 0 City of Santa Ana* 00 County of San Diego 10 City of Lemon Grove 10 City of Santa Monica 0 OCTA 1" City of Lake Forest* 0 City of Seal Beach* 4" City of Laguna Niguel* 1:" City of Stanton* NCE provided OCTA Measure M2 compliance submittals for many of the clients denoted with an asterisk. The City of Santa Ana can be assured that similar submittals will be prepared efficiently and cost- effectively. CIWNC Page i12 25D-25 City of Santa Ana Pavement Management Program Update RFP No. 19-070 August 6, 2019 project. Various Pavement Managemenf: Program Studies,Orange County Transportation Authority (OCTA) (1997 - Current) Services provided: NCE has worked with OCTA since 1997 on various projects related to pavement management programs (PMP). There are over 6,500 centerline miles of paved streets and roads in Orange County, which serves a population of almost three million. In 1990, voters approved a V2 cent sales tax measure for transportation improvements. This measure was subsequently renewed in 2007 and is expected to sunset in 2041. In order for the 35 Cities/County to be eligible for Measure M funds, OCTA required them to implement and maintain a pavement management system to select projects for rehabilitation. Over the past 12 years, NCE has worked with OCTA to provide guidelines and recommendations on how this may be accomplished. Client Contact OCTA Harry Thomas Project Manager (714)560-5617 Hthomas@OCTA.net Project Team Lisa K. Senn Senior Project Manager Margot Yapp, PE Principal -in -Charge Narut Leehachroenkul, PE Project Engineer Franc Escobedo Senior Field Technician Countywide Assessment of Existing & Future Pavement Needs — In 2006, NCE completed a study to assess the existing and future pavement conditions of the roadways operated and maintained by the 34 cities in Orange County and the County of Orange over the next twenty years. The overall goal of the study was to determine the pavement condition deficiencies as well as to quantify the investment needed to bring the deficiencies to various levels of improvement. The project required collecting PMP data from local agencies, normalizing the pavement condition ratings, normalizing the maintenance and rehabilitation (M&R) strategies with associated unit costs, and normalizing the "trigger points" requiring a specific M&R strategy. Countywide PMP Guidelines — In 2010, NCE assisted OCTA in developing countywide guidelines for the PMP. This is to ensure consistent data collection procedures for all 34 jurisdictions so that funding allocations may be made on an "apples to apples" comparison. PAVERTM & StreetSaver' Training Workshops (2011-2018) — NCE has developed and conducted the training workshops for PAVERTM on both pavement distress and software training for OCTA since 2011. Generally, the two-day training workshops in the fall are focused on pavement distress data collection as per ASTM D6433-11; the spring workshops are focused on the StreetSaver® and PAVERTM software and report submittals for OCTA, respectively. In 2016, OCTA added StreetSaver® to the workshop. Over 100 city and county personnel have been trained to ensure that they were familiar with the PAVERTM software as well as OCTA's requirements for the countywide pavement management program. The feedback from ALL respondents indicated that the workshop was "good/excellent". Al 4XNC Page 113 25D-26 City of Santa Ana Pavement Management Program Update RFP No. 19-070 August 6, 2019 Services provided: NCE updated the City of Anaheim's PAVERTM PMP in compliance with OCTA's Measure M requirements in 2014, 2017 and recently submitted the 2019 OCTA PMP Update. The current contract with the City extends to 2021 and includes the conversion from PAVERT19 to StreetSaver® PMP software. The street network consists of approximately 584 centerline miles of pavement including 155 miles of Arterial Highway System (AHS) and 429 centerline miles of Local Street System (LSS). NCE's scope of work included the following tasks: E Update PAVER to the most current version #0 2018 convert PAVER PMP database to StreetSaver 00 Verify all street dimensions 00 Performing distress/condition surveys as per the most current version of ASTM D6433 4: Performing distress/condition surveys as per the most current version ofASTM D6433 4! 4". PO 44 fit 4! 0 Collecting both ride quality (International Roughness Index) and digital images of the pavements Identify missing sidewalk gaps Implementing a rigorous QC plan for data control and delivery Client Contact City of Anaheim Cesar Carrillo Principal Civil Engineer (714) 765-5175 ccarrillo@anaheim.net Project Team Lisa K. Senn Senior Project Manager Charlene Palmer Principal -in -Charge James Signore, PE QC Manager Narut Leehachroenkul, PE Project Engineer Updating the M&R history since 2015 Creating shapefiles and KML files with the pavement condition information. Performing funding scenarios Perform Budget Scenarios per OCTA guidelines (these are different from preceding scenarios and are required) Prepare all reports and submittals to Page 114 25D-27 City of Santa Ana Pavement Management Program Update RFP No. 19-070 August 6, 2019 As part of the project, the maintenance and rehabilitation (M&R) decision tree was updated with new treatments and unit costs re- evaluated prior to performing any budgetary analyses. In addition, the City's projected 20-year pavement budget was analyzed, and a seven- year work plan prepared. Numerous custom reports were prepared for the City, and finally, an executive summary was submitted to OCTA for the Measure M2 program. NCE's scope of work included the following tasks: 4' Condition surveys as per ASTM D6433 OW 1 Calculated a Pavement Condition Index (PCI) ' Updated maintenance & rehabilitation (M&R) strategies and life cycle costs if Determined the budget needs of the road network V Provided input for Grant Applications ' Prepared seven-year Capital Improvement Program 40 Prepared submittal to OCTA for Measure M program ' Presentation to City staff V. Technical assistance In addition, the City has used both the StreetSaver® and PAVERTM software programs, and NCE most recently assisted in converting the City back to StreetSaver®. Client Contact City of Mission Viejo Joe Ames, PE Assistant City Engineer (949)470-8419 james@cityofmissionviejo.org Project Team Lisa K. Senn Senior Project Manager Charlene Palmer Principal -in -Charge James Signore, PE QC Manager Narut Leehachroenkul, PE Project Engineer Franc Escobedo Senior Field Technician Page 115 25D-28 City of Santa Ana Pavement Management Program Update RFP No.19-070 August 6, 2019 Pavement Management Program Update,, City of Santa Ana°(20171$018) 40 Pavement condition updates 41 StreetSaver®PMP software population 1 MPAH —Arterial Network combining of street sections 1 Analvsis — usina StreetSaver® o' Final report Franc Escobedo Senior Field Technician NCE has performed hundreds of similar projects throughout California delivering the services the City has requested for this project. following individuals and agencies are listed as NCE's references for projects which we have completed in the last five years. The references below will allow the City to verify NCE's experience and the level of satisfaction of our clients. City of Mission Viejo Joe Ames, RE, Assistant City Engineer 200 Civic Center Tel: (949) 470-8419 Mission Viejo, CA 92691 Email: james@cityofmissionviejo.org OCTA Harry Thomas, Project Manager 550 South Main Street Tel: (714) 560-5617 Orange, CA 92863 Email: Hthomas@OCTA.net City of Anaheim Cesar Carrillo, PE, Principal Civil Engineer 200 South Anaheim Boulevard, Suite 276 Tel: (714) 765-5175 Anaheim, CA 92805 Email: ccarrillo@anaheim.net 4111NCE P a g a 116 25D-29 SCOPE OF SERVICES AND SCHEDULE Scope of Services Details of NCE's proposed scope of services and schedule follow on the subsequent pages. rt, rr. ♦. 1.1 — Database LI NCE understands that the City will provide the new street sections that are to be added to its current StreetSaver® database. In order to add these sections, the following information will be needed from the City. 4: Street Name ,11 Street Limits (beginning point and ending point) is Functional Classification 44 Year of Construction NCE will confirm the lengths, widths, surface type during the pavement condition assessment. Pavement sections will be created in the StreetSaver® software. Deliverables: 0 Section Summary for each new section (electronic) 2.1 — and Administration NCE will first meet with City staff to kick-off the project and review and discuss the technical approach (covering both field and office work) and any administrative matters as may be necessary. At a minimum, items to be discussed will include the following: ro' m EE 4' �1 i Scope of work, project schedule, budget and invoicing requirements Points of contacts Monthly Progress Reports Field work O Scheduling and access requirements for field work o Public safety concerns, requirements and procedures O Quality Control Plan (QCP) Maintenance and rehabilitation practices, records and costs Paving or maintenance budgets GIS shapefiles OCTA updates to PMP submittal requirements StreetSaver°changes and needs Other issues as appropriate Curve for Pavement Section(CALIPORNAV-09( m�ag _ A jm Page 117 25D-30 City of Santa Ana Pavement Management Program Update RFP No. 19-070 August 6, 2019 Prior to the kick-off meeting, NCE will prepare a detailed agenda, which will be sent to City staff for review. In addition, NCE will schedule additional meetings with City staff at appropriate milestones to review the work performed, survey progress, and to address any questions or issues that arise. NCE is also available upon request of the City's staff to assist with preparing materials and presentations for City Council meetings or any public meetings. 2.2 — Pavement Condition S NCE will perform walking pavement condition surveys on the City's MPAH pavement network, approximately 105 sections centerline miles. In addition, NCE will perform walking surveys for complete Local network will be performed on 317 centerline miles (approximately 3,992 segments) of streets Like many Southern California communities, the distresses present are reflective of the traffic levels, as well as the local environment and climate. Common distresses include alligator cracking, rutting, distortions, patches and utility cuts, as well as weathering and raveling (examples shown left). There are three types of distress surveys that agencies and consultants have performed for pavement management programs, and each has its advantages and disadvantages. Briefly, these are: Walking Surveys — These are performed with one -person crews (for high volume streets like expressways or major arterials, two -person crews may be needed for safety). The major advantage of this survey method is that it is highly accurate, since cracks and all other pavement distresses are measured and recorded. However, walking surveys are more labor-intensive and are thus more expensive than windshield surveys. OCTA recommends this method for the MPAH. Windshield Surveys — These are performed with two -person crews in a vehicle traveling at low speeds (under 15 mph). The major advantage is that 100% of the roadway is surveyed, and it can be accomplished very quickly, safely and inexpensively. However, the disadvantage is that the data collected tends to be of variable quality. In particular, low -severity distresses are typically not visible from a moving vehicle. This results in a higher than expected condition rating of the streets, and consequently, a lower estimate of the backlog and pavement M&R needs. OCTA accepts windshield surveys for local roads. Automated Surveys — These are typically performed with a customized vehicle that is equipped with a video or digital camera and/or laser bars. The major advantage is thatthey are equipped to perform surveys very quickly and safely. However, post -processing time can offset cost -savings in the field, and the quality of the data can be variable depending on light conditions (e.g., tree -lined streets with contrasts in light and dark) because shadows can mask some distresses. Typically, only the outer travel lanes are surveyed, and for most residential streets, only one lane is surveyed. No parking lanes are included, which eliminates Page 118 25D-31 City of Santa Ana Pavement Management Program Update RFP No. 19-070 August 6, 2019 distresses such as tree root distortions, edge cracking, oil spots from parked cars etc. The PCI can be either lower or higher than walking surveys, depending on the types of distresses. Finally, these vehicles are expensive to purchase (typically over $100,000 per) and unless the City wishes to be tied to one vendor for future PMS updates, this option is not usually recommended. NICE recommends walking surveys for MPAH and Locals to maintain continuity of survey methods. This was the methodology in 2017. 41 OCTA recommends walking surveys for MPAH roadways. 10 Walking surveys are more accurate and better capture the distresses caused by the higher increased traffic and loading. 43 Windshield surveys for the Alley network is sufficient. NCE will provide costing for this method. Therefore, NICE will perform walking pavement condition surveys in accordance with the established standards as per ASTM D6433-11. A minimum of one sample unit per section will be inspected. Approximately one sample unit will be inspected for each 1,000 lineal feet of roadway. Any variation from the established procedures will be to accommodate unique local conditions, e.g., gap -graded texture of rubberized asphalt concrete overlays, chip seals over Portland cement concrete pavements, etc. These conditions typically exhibit unique distresses that may not be reflected in any distress manual, so special exceptions will need to be made. Any areas which are not typical of the entire section will be inspected and recorded as a special sample unit. High severity bleeding Our scope of work and condition surveys do not address issues including, but not limited to traffic, safety and road hazards, geometric issues, road shoulders, sidewalks, curb and gutters, drainage issues or short- term maintenance that should be performed. NCE will be responsible for providing all equipment necessary for performance of this task. Should City personnel wish to observe NCE's crews during the surveys, we will be more than happy to accommodate the City. Individual city staff may also accompany NCE's field crews for up to a half day each — to gain hands-on training at no additional cost to the City. We have found that this is the most effective training method for agency staff, as they become part of the data collection crew, rather than just an observer. Data Entry and PCI Calculations The distress data will be recorded on tablets once the surveys are complete. We will be responsible for providing all equipment necessary for performance of this task. The data will receive random quality control checks to ensure that it is complete and accurate. Quality Control Quality management practices for pavement management suggest that a one-time survey of the final data are typically inadequate and involve a high risk of failure. Quality Control (QC) checks are critical on a project such as this. As part of NCE's goal to provide a superior quality product for our clients, we incorporate a QC component into all of our projects. For this project, we have proposed the inclusion of a QC Manager, Mr. James Signore, as noted in our Project Organization chart. Mr. Signore will have the following project responsibilities: 4XONCE Page 119 25D-32 City of Santa Ana Pavement Management Program Update RFP No. 19.070 August 6, 2019 0 Calibration of all data collection activities Review of field activities, including spot checks on the field crews 41 Review field procedures and making changes as needed 41 Compare the field data collected with on -site conditions 41 Review of all data entry functions, including random spot checks 41 Review of reports generated and analyses performed to ensure a quality product In addition, NCE's technicians are qualified for OCTA distress collection and have been certified by fNTC. The qualification and certification process assure the City of Santa Ana that NCE's technicians have the skills needed to assess the distresses correctly. Deliverables: V PCI report (electronic) 41 Spreadsheet containing any changes to StreetSaver® database Task 2.3 — Customized Database 1 Street Name 41 Section ID 41 Begin Location 41 End Location 41 Lanes 41 Functional Classification 0 Length 41 Width 42 Area 1 Surface Type a1 Year of last construction 10 Type of treatment 41 Last Inspected PCI 41 Last Inspected PCI date 41 Neighborhood 41 Area ID NCE understands that this report needs to be created in a column -based spreadsheet. The graphic below is a representative of what StreetSaver will develop. Section '.: Surface Year Last Nelghhorhoods Area ID Street Name- Length Width TREATMENTTYPE pQ Date PEI ID Type ' Constructed - - CaDngmal nstructmn {: Ind 18-InGusNal 92-NON-NEIGHSGRHOW{ 1100 LOTH ST 101000 260, 32 A AC 1 11102012 - 11111970 11 M18 95 Loc l04 21 ARTESIA PIIAR 1200 LOTH ST-101000 Bfi0'. 36 A AC II10I2012 _ 21111960 1125I2018 85 Loca104 - 2LARTESIA PILAR _-_ -._-. ! 1300 LOTH ST101000 713' 36 __ —A— II10I2012 21111960 _ 112512018 1 74 -- Local04 21 ARTESAPILAR r 1490 0THST_101000 __ 263� 96 A AC 111111956 111111956 1I26I2018 74 Loca104 �21 ARTESIA PILAR a 1500 10THST-101000 2fi1L _I 5d 0 ACIAC 114I2009 21111953 1I25I2018 1 94 Local O4 21-ARTESA PILAR y 1600 IIOTHST-1010W 2fi4' 641 0-AOIAC -WaO09 I 11111952 1125@0181 94 NCE will work closely with staff to assure all needs are met as custom reports created. NCE will also work closely to customize the StreetSaver® database to the City's needs. Deliverables: 41 PCI report (electronic) 041 N Page 120 25D-33 City of Santa Ana Pavement Management Program Update RFP No. 19-070 August 6, 2019 NCE will next perform a Budget Needs analysis using an analysis period to be determined by the City (assumed to be seven years per the RFP, although this can be as long as 30 years). This will identify M&R requirements for each road section and determines the total maintenance and rehabilitation requirements over the entire analysis period. The Needs Analysis identifies road sections that need treatment and applies the M&R decision tree to each section. The costs are then summed for the entire period. This forms the basis for performing Budget Scenario evaluations, which optimize the street sections for repair under constrained budgets. In simple terms, the Budget Needs analysis answers the questions: "If unlimited funding is available for street maintenance and repair, which streets should the City fix?" "When should the City fix them?" "What treatments should the City apply?" "How much will it cost?" The Budget Scenarios evaluation prioritizes sections for repair under constrained, realistic, budgetary assumptions. This module answers the question: "If the City has only limited funds for street maintenance and repair, which streets have the highest priority for repairs, when should the City perform the repairs, and how much will it cost?" Multiple budget or target -driven scenarios will be performed after discussion with City staff. Examples of typical scenarios include: l Impacts of existing funding levels ¢0 Impacts to model drops in funding, e.g. drop in Measure M revenues if a recession occurs s° Forecast PCI's for all sections for seven years 4' Funding required to maintain certain PCI levels (as per OCTA requirements) e1 Funding analyses by community or maintenance zone NCE will then prepare a final report that summarizes the overall condition of the City's pavement network, the M&R strategies used by the City, the results of budgetary analyses, and different budget scenarios and recommendations on the recommended scenario with selected road sections for maintenance and rehabilitation. In addition to the City's requirements, this report will meet OCTA's Measure M2 reauirements, as outlined by the OCTA PMP Template. Page 121 25D-34 Deliverables: sI Results of budget needs and scenarios 41 Seven-year rehabilitation program Pt Projected PCI's for all sections City of Santa Ana Pavement Management Program Update RFP No. 19-070 August 6, 2019 Tas The funding analysis depends on accurate data, notjust field condition data but also relevant and accurate maintenance strategies and costs. Therefore, as an optional task, NCE will first review maintenance and rehabilitation (M&R) strategies with City staff. This will include the recommendation and selection of appropriate treatments such as cape seals or overlays, and the determination of treatment unit costs. This will also be an appropriate time to review the use of new/sustainable treatments or materials, such as rubberized asphalt, rubberized chip or cape seals, microsurfacing, rejuvenators, cold -in -place recycling, full depth reclamation, warm mix asphalt, etc. NCE's experience in pavement engineering and design, as well as local conditions, allows our staff to be able to provide the City with solutions that are innovative, sustainable, practical, and workable. The development of a M&R decision tree is a critical step in any pavement management update as it has a direct and significant impact on the final work plan that is developed, as well as the budgeting sequence and ultimate consequences. The M&R alternatives are used to determine effective treatments for each street section based upon criteria such as condition, pavement type, and functional class. Once these M&R alternatives are defined, a treatment unit cost will be determined for each alternative. These alternatives and costs will then be entered into the PMP database for budgetary analyses. NCE's experience in pavement engineering and design, as well as local conditions, allows our staff to provide the City with solutions that are practical and workable. The M&R alternatives are used to determine effective treatments for each street section based upon criteria such as condition, pavement type, and functional class. Once these M&R alternatives are defined, a treatment unit cost is determined for each alternative and the alternatives and costs are then be entered into the PMP database for budgetary analyses. The unit costs will have a huge impact on the City's projections or needs assessments. Therefore, NCE will review any recent bid tabs, together with those from neighboring cities as appropriate. Also, unit prices will be fully loaded rates, and will include not just contractors' prices, but also design, survey and testing costs. Deliverables: 1 Updated M&R decision tree Task 2.48 — Update Maintenance and Rehabilitation History (Optional Tas Updating the M&R history in the StreetSaver database can be extremely useful, particularly for pavement preservation strategies such as slurry seals. Unlike PAVER, the StreetSaver program will adjust the PCI accordingly, and the prediction models will reflect these activities so as to more accurately reflect the future condition. III N Page 122 25D-35 City of Santa Ana Pavement Management Program Update RFP No, 19-070 August 6,2019 Therefore, if City staff has not performed this task, NCE will update all M&R history since 2018 in the StreetSaver database. Deliverables: *ate Updated M&R history in StreetSaver® NCE will then prepare a final report that summarizes the overall condition of the City's pavement network, the maintenance & rehabilitation strategies used by the City, the results of budgetary analyses, different budget scenarios and recommendations on the recommended scenario with selected road sections for maintenance and rehabilitation. In addition to the City's requirements, this reoort will meet OCTA's Measure M2 reauirements, as outlined by the OCTA PMP Template: 1. Pavement management program certification 2. Quality Assurance/Quality Control plan 3. Pavement Management data files in a form useable by OCTA 4. Average (weighted by area) PCI for: i. Entire pavement network ii. Master Plan of Arterial Highways (MPAH) roadways iii. Local Streets 5. Projected PCI under existing funding levels over the next seven years for: i. Entire Pavement network ii. MPAH roadways iii. MPAH roadways 6. Seven-year plan for road maintenance and rehabilitation based on current and projected budget identifying street sections selected for treatment. Specific data to be submitted are: i. Street name ii. Limit of work iii. Lengths, widths iv. Pavement Areas a. Each street b. Total area for local streets c. Total area for MPAH roadways d. Total area for entire public streets network iv. Functional Classification (i.e., MPAH or local street) v. PCI and most recent date of survey vi. Type of treatment vii. Cost of treatment 7. Alternative funding levels required to i. Maintain existing average network PCI ii. To improve average network PCI 8. Backlog by year of unfunded pavement rehabilitation, restoration, reconstruction, and maintenance needs. 9. Centerline mileage for MPAH, local streets, and total network. % Percentage of total network in each of the five condition categories based in centerline miles. �4jAN Page 123 25D-36 NOTE: NCE recommends the City consider not submitting the OCTA report until after the M2 Eligibility Workshop (usually held in April), in case there are new requirements. NCE understands that there will be some changes to the PMP Guidelines for the 2020 submittals. A draft copy of this report will be provided to the City for review. Upon receipt of the City's comments, a final report will be prepared and submitted. Deliverables: "` Draft Report (electronic copy) �« Final Report (1 electronic copy on a flash drive, and 1 hard copy) 441 Updated StreetSaver® database Task 3 — Alley Network Optional Task) Task 3.1 - Manaaement and Administration City of Santa Ana Pavement Management Program Update RFP No. 19-070 August 6, 2019 Current PC[ 70 PCI65 PCI75 The same scope as Task 2.1 applies, and if the notice to proceed is at the same time as Task 2.1, there is no additional cost. NFM(VIPM Pavement condition surveys will be performed on 28 centerline miles (approximately 350 segments) of alleys utilizing the same scope and protocols described in Task 2.2. Task 4.1 — GIS M NCE will review the City's shapefile currently in StreetSaver for accuracy. Quality checks includes: 11 City maintained street verification 4" Newly annexed streets -1 Functional classifications All discrepancies will be sent to City staff for review and direction. Once these tasks have been completed, NCE will be able to provide up to five custom maps with information shown in Task 2.3 Deliverables: ". Updated StreetSaver GIS section linking 44 Maps as needed A"0N C E P a g e 124 25D-37 City of Santa Ana Pavement Management Program Update RFP No. 19-070 August 6,2019 MITTmM NCE proposes the following schedule upon notice to proceed for the MPAH portion of the project (Task 1). Assuming a notice to proceed of October 31, 2019. City of Santa Ana Pavement Management Services MPAH and Locals- Pro]ect Schedule Ta;k oearlption or ..: 1` 2 ® 3 ...�l.��ll��....iw.rrl-M.... 4 5" 6 / 8 r9 Weeks 10 from it. Notice t2 13 to 13 Proceed 15.. lb 1/ 14 19 20 21 32 R3 24 25': C C......mmnmm....CCC:CCC C. ...iiiiiii.iiiiiiiaiiiiii...mmm mice -.MUM .... CCC�CCCCCCCCCCCCCC..i.�CCC ...0 OWN .mamommm MM........ ,` lipdonat'sks Alleys':'. GI$IptetaElN# ^ . �.MWiil®=iii MM Assumptions Task 1.1 assumes updating the City's 5treet5aver database with newly added street sections Task 2.2 assumes walking surveys for approx. 105 cenlerline miles Task 2.2 assumes walking surveys for approx, 317 centerline miles (1 Task 12 assumes 1 week weather delays Task 2.3 covers working with Street5aver developers to create reports needded by City st aff Task 2.4 includes OCTA PMP scenarios Task 2AA would Include a decision tree meeting to discuss alternate treatments and unit costs Task 2,48 would include the update of all M &R treatment since last PMp update In 2018 Task 2.5 Includes OCfA required reports and appendices. Task 3.2 assumes windshield surveys for approx 28 comedine miles I Submitted by NOE t' N C E August 6, 2019 Page 125 25D-38 FEE PROPOSAL Our Fee Proposal is enclosed in a separate, sealed envelope, per the RFP requirements. 44N Page 26 25D-39 Required Certification Forms V Attachment 3-1: Non -Collusion Affidavit Certification 1' Attachment 3-2: Non -Lobbying Certification >l Attachment 3-3: Non -Discrimination Certification to-10 Page 127 25D-40 Appendix ATTACHMENT 3-1: NON -COLLUSION AFFIDAVIT CERTIFICATIONS NON -COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 7106) To the CITY OP SANTA ANA DEPARTMENT OF PUBLIC WORKS In accordance 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 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 -collision Affidavit is part of the Proposal. Signing this Proposal on the signature portion thereof shall also constitute signature of this Non -collusion Affidavit. BIDDERS are cautioned that making a false certification may subject thq certifier to criminal prosecution. Signed State of California Nevada County of Washoe Subscribed and sworn to (or affirmed) before me on this Ist day of August 2019, by Debra G Smitb proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. Notary Public Sig ature ................................................ STAFILENE REGALADO Notary Public - Stata of Nevada i {., �pot'AMON RerZ in Weshao CMM `' •' No: 99.80817.2. Exores Dec.18, 2022' Notary Public Seal City of Santa Ana IPFP Page A3-1 25D-41 Appendix ATTACHMENT 3-2: NON -LOBBYING CERTIFICATION CERTIFICATIONS 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 malting 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 any 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, loan or cooperative agreement, the undersigned shall complete and submit a "Disclosure of Lobbying Activities". 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 aprerequisite 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 sub recipients shall certify and disclose accordingly. Finn Nichols Consulting Engineers, Chtd. (NCE) Signed and Printed Name: Charlene Palmer, �� 1 Tithe Principal -in -Charge Date August 6, 2019 City of Santa Ana RFP 20 Al Appendix ATTACHMENTS-3: NON-DISCRIMINATION CERTIFICATION CERTIFICATIONS The undersigned consultant or corporate officer, during the performance of this contract, certifies as follows: The Consultant shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Consultant 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 Consultant 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 Consultant shall, in all solicitations or advertisements for employees placed by or on behalf of the Consultant, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. The Consultant 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 Consultant's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The Consultant 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 Consultant 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 Consultant'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 Consultant 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. The Consultant 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 City of Santa Ana RFP 265A��0' 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 Consultant becomes involved in, or is threatened with, litigation with a sub -consultant or vendor as a result of such direction by the administering agency, the Consultant 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 consultant of public works violating this Section is subject to all the penalties imposed for a violation of the Chapter. Signed: L. Title: Principal -in -Charge Firm: Nichols Consulting Engineers, Chtd. (NCE) Date: August 6, 2019 City of Santa y Ana RFP 261Y 44 APPENDIX A Staff Resumes 4il,NC E Page IA-1 25D-45 City of Santa Ana Pavement Management Program Update RFP No, 19-070 August 6, 2019 Lisa K. Senn — Project Manager Ms. Lisa K. Senn had a job in music when she agreed to help a friend's company with requests,„:.. .for information. This evolved into preparing inspections for field crews, and after a firm principal saw she had a knack for the work, he taught her about deflection testing and coring. The more Lisa learned, the more she wanted to know, and her career in pavement management and transportation began. Lisa's experience includes managing projects and overseeing field surveys and QC procedures for cities and counties throughout California. A Education natural teacher, Lisa trains engineers, technicians, agencies, and municipalities on various AA Business Administration, aspects of pavement management, software, and field distress. A member of MTC's software 1998, Cuesta College development team, she has helped beta test new StreetSaver® modules and enhancements. Lisa have conducted MicroPAVER training classes for the Orange County Transportation Registrations/Certifications Authority (OCTA) since 2011. Finding satisfaction in knowing that what she does benefits Pavement Management others, Lisa enjoys working with and learning about agencies. She considers historical Training Levels 1 & 2, 2017 knowledge gained on past projects, yet stays up-to-date on developments in the ever -evolving Affiliations area of pavement management. American Public works Representative Projects Association Pavement Management System Update and Integration, City of Santa Monica, CA. Project Years experience Manager. The City selected NICE to update the City's PMS in 2016. NICE assisted the City in 19 yearr s selecting and implementing PMS software that best fit their current and future needs, including the maintenance and inventory of City streets to determine street maintenance priorities. The City's entire pavement network includes 71.4 centerline miles of arterials, 13.5 centerline miles of collectors, and 79.4 centerline miles of residentials/others. Pavement Management Program Professional Services, City of Newport Beach, CA. Project Manager. The City of Newport Beach selected NICE to perform an update of their pavement management plan with current pavement conditions and funding analyses to inform and educate policy makers, as well as to comply with the Orange County Transportation Authority's Measure M2 Program. The City owns and maintains approximately 205.7 centerline miles of pavements. Multiple PMP/PMS Updates and Implementations, Various Cities and Counties, CA. Project Manager and/or QC Manager. For PMP/PMS updates and implementation, Lisa is responsible for the analysis and QC of pavement distress data, updating M&R decision trees and the treatment unit costs, and the developing budget scenarios and summary reports. She has developed cost-effective maintenance treatments and strategies, prepared custom multiple -year detailed street maintenance plans and budget option reports, and linked GIS maps with management sections in the client's PMS database. She is an advanced user of both the PAVER Tv and StreetSaver® PMS software. Her clients include the following California cities and counties: Anaheim A Grover Beach': Buena Park La Habra 41 Pismo Beach : = Burbank Lake Forest 41 Pittsburg R Calabasas 41 Laguna Niguel IV Poway 43 41 Camarillo 41 Lompoc 41 Redondo Beach 1 Chula Vista 41 Los Altos Hills 0 San Carlos r' Commerce 41 Los Gatos e¢ San Clemente e' Corona 41 Manhattan Beach 0 San Diego County 4.4 V Dana Point 41 Milpitas 0 San Gabriel 11 1 Diamond Bar 41 Mission Viejo 41 San Luis Obispo County 41 V El Cajon 41 Napa rg San Mateo 10 El Centro 41 Newport Beach 0 San Ramon 41 40 Fresno COG #t Oakley w Santa Ana s. 1 Fullerton 41 Orange it Santa Barbara 4.1 V Galt it Orange County 0 Santa Barbara County 4 V Garden Grove 1 Oxnard 41 Santa Clarita Santa Maria Santa Monica Seal Beach Sonoma County Stanton St. Helena Temple City Thousand Oaks Torrance Vacaville Ventura County West Covina Whittier Windsor Woodland 11 NC E Page IA-2 25D-46 City of Santa Ana - Pavement Management Program Update RFP No, 19-070 August 6, 2019 Charlene Palmer— Principal -bra -Charge 'Ms. Charlene Palmer's consulting experience includes work in the transportation, civil, rail/transit, infrastructure, water resources, environmental, materials testing and inspection, ':and geotechnical engineering fields. She has served as a principal -in -charge on many projects, including numerous PMS programs. Activities include providing project/program management and team coordination; handling and negotiating contractual elements, leading task teams; developing scopes, project understandings, and approaches; setting budgets and schedules; providing technical oversight and quality control; researching and preparing - technical documents; and writing training and safety manuals and technical reports. Education Representative Projects BS, Civil Engineering, Ohio State University, 1981 South Milliken and North Vineyard Grade Separations Construction Management, Ontario, AAS, Environmental Sciences, CA. As a subconsultant provided railroad coordination and inspection services. MATC, 1975 _ Pavement Management Systems, Various Cities and Counties, Southern CA. Principal -In- - Charge. Responsible for project quality oversight and assisting with coordination and Registrations/Certifications communication with the team and the client for the: Professional Engineer' —Civil, KY #15269 va City of Burbank Pavement Management Program 2016-2019 5° County of Orange 2017/2018 PMP and asset management Affiliations American Public Works a' City of Laguna Niguel 2017 PMP update Association American Railway Engineering 49 City of Orange 2017 PMP update and Maintenance -of -Way 4" City of Manhattan Beach 2018 PMP update Association American Society of Civil 41 City of Diamond Bar 2018 PMP update Engineers 44 City of Corona 2017 PMP update and training National Society of Professional Engineers U City of Carson 2017 PMP update, sidewalk assets, and truck route study Women'sTransportation 11 City of Torrance 2018 pavement and asset management system Seminar 41 City of Diamond Bar 2018 PMP update Railway Club of Southern California, Order of the - 41 City of Huntington Park 2018 PMP update. Engineer 2017 Pavement and Asset Management System, Orange County, CA. Principal -In -Charge. Years of Experience Responsible for project quality oversight and assisting with coordination and communication 38years with the team and the County. 2018 Pavement Management Update, City of Moreno Valley, CA. Principal -In -Charge. Responsible for project quality oversight and assisting with coordination and communication with the team and the city for the pavement management system update and report. 2017 Citywide Pavement Network Report, City of Redondo Beach, CA. Principal -In -Charge. Responsible for project quality oversight and assisting with coordination and communication with the team and the City for the pavement management system update and report. 2018 Pavement and Asset Management System, Sari Diego County, CA. Principal -In -Charge. Responsible for project quality oversight and assisting with coordination and communication with the team and the County. 2018 Pavement and Asset Management System, City of Newport Beach, CA. Principal -In -Charge. Responsible for project quality oversight and assisting with coordination and communication with the team and the City. `°LANCE Page IA-3 25D-47 City of Santa Ana Pavement Management Program Update RFP No. 19-070 August 6,2019 Jaynes Signore, PhD, PE — CAA/QC and Technical Advisor '.Dr. James Signore, PhD, PE, hasbeen in the pavement fieldfor over 20 years. He specializes ,in pavement design and evaluation, rehabilitation and maintenance, materials assessment, and training. He has experience in designing pavements for many local agencies, Caltrans, and for heavy vehicle loading applications for highways, airfields and ports. He has spent years researching pavement. materials, having directed a state-of-the-art AMRL certified and Superpave mix design equipped research laboratory, and is well versed in state and. local pavement practices and specifications. On -Call Pavement Engineering, Caltrans, Statewide, CA. Contract Manager/Task Order Manager. James manages this multi -year on -call contract to provide technical solutions and assist with implementing new strategies and policies that will improve the State's highway network. Key elements include sustainabilkty, forensics, design tools, performance modeling, data analysis, and asphalt/concrete materials. 2016 Pavement Management Update, Sonoma County, CA. QC Manager/Pavement Specialist. James was responsible for review of field activities, including spot checks on the field crews during the pavement condition surveys on over 1000 miles of roads. In addition, he is working with County personnel (maintenance, design, and engineering) to develop guidelines for pavement strategies that are more appropriate for low volume rural roads. This may include different kinds of seals (cape, chip, microsurfacing, etc.) as well as more cost-effective technologies for rehabilitation and reconstruction. Measure M Street Rehabilitation Program, City of Berkeley, CA. Lead Pavement Engineer, James is responsible for the development of pavement design and PS&E for first phase of the project, which consists of 39 rehabilitation/reconstruction street sections and 24 surface seal street sections, replacing/retrofitting nearly 300 curb ramps, replacement of curb/gutter, intersection reconstruction, bike/pedestrian improvements, and traffic control plans. Measure Q Street Rehabilitation and Maintenance, City of Concord, CA. Project Manager/Pavement Engineer. James managed the project and developed the rehabilitation plans for East Olivera Road and Hillsborough Drive in Concord. These streets exhibited a mix of extensive fatigue cracking and transverse thermal cracking. Tasks ranged from design and construction consulting to client interaction to budget control. The recommendations presented were cold -in -place recycling and full depth reclamation. Full depth reclamation was selected for these streets, which were completed in November 2016. These green treatments eliminated the need for significant and costly full depth base repairs. Education PhD, Civil Engineering, University of Illinois — Urbana - Champaign, 1998 MS, Civil Engineering, University of Illinois- Urbana - Champaign, 1994 BS, Electrical Engineering, Clarkson University, 1965 Licenses Professional Engineer -Civil, CA,N62647 Affiliations TRB Committee AFD70, Pavement Rehabilitation TRB Committee AFD70-1, Pavement Interlayer Systems ASCE Airfield Pavement Committee FAA Pavement Technical Working Group American Society of Civil Engineers Years of Experience 21 years Transportation Infrastructure Rehabilitation Program, City of Davis, CA. Pavement Design Manager. James is overseeing staff in the design of pavement rehabilitation treatments for eight streets throughout the City. NCE provided civil design for these pavements. Work included preliminary and final field surveys to locate base repair sections, potential rehabilitation strategies, and assess specific pavement conditions. Strategies being considered include CIR, concrete cracking and seating, reconstruction, and mill and overlay. Multiple PMS Updates and Implementations, Various Cities and Counties, CA. QC Manager. James has been responsible for quality control for PMS updates for many cities and counties in California. He is responsible for the quality control of data and responsible for spot checks on the field crews during the pavement condition surveys. Some of his clients include: i Buena Park Folsom 4$ Monterey County 9 South San Francisco Chula Vista Hayward Airport 41 San Francisco Sonoma County Lemon Grove 40. Lake County #: San Francisco Airport i Thousand Oaks_ = Contra Costa County 41! Lakeport : Santa Clarita ''; Trinity County Elk Grove 41 Madera County 0 Siskiyou County Yuba City *ONCE Page IA-4 25D-48 City of Santa Ana Pavement Management Program Update RFP No, 19-070 August 6, 2019 Narut Leeliacharoenkul, PE — Project Engineer Mr. Narut Leehacharoenkul has always been fascinated with how things are built and how systems operate. Inspired by the design and construction aspect of civil engineering, he enjoys making a positive impact on local communities, while "collaborating with and learning from all the great people within NCE." Valued by clients for his responsiveness, Narut is experienced in pavement condition, CA/QC and multiple software programs for pavement management budget analyses and asset management. In addition, he has been involved with developing transportation asset inventories using digital imagery from Earthmine and populating geodata-: bases with ArcMap and ArcGIS Online. He is heavily involved with pavement management Education projects, as well as with the asset data collection for the Cities of Burbank, Carson, Commerce, Civil Engineering Corona, Diamond Bar, Lake Forest, Redondo Beach, San Gabriel, Santa Monica, Thousand (Tr (Transportation System Engineering), 2012; University Oaks, Torrance, and West Covina, as well as Orange County. of California —Irvine Representative Projects - Licenses/Certifications Pavement Management System Update and Integration, City of Santa Monica, CA. Project Professional Engineer -Civil, Engineer. Narut assisted in QC for the pavement distress data collection and performed the CA, ii87320 PCI calculations for the City's entire pavement network that included 71.4 centerline miles of OCTA Pavement Inspector arterials, 13.5 centerline miles of collectors, and 79.4 centerline miles of residentials/others. Prequalification NCE assisted the City in selecting and implementing PMS software. MTC StreetSaver® Rater Certification Program Pavement Management Program Update, City of Burbank, CA. Project Engineer. Narut assisted in QC for the pavement distress data collection and performed the PCI calculations for Affiliations the City's pavement network. The scope of work included database transition from PAVER'"' American Society of Civil to StreetSaver®, pavement condition surveys, quality control plan, maintenance and Engineers rehabilitation strategies, and budgetary analyses. Pavement Management Program Update and Asset Management, City of Redondo Beach, veers of Experience 5 years CA. Project Engineer. NCE updated the City of Redondo Beach's pavement management plan. The street network consists of approximately 126 centerline miles of paved streets. NCE performed a software evaluation and converted the RoadMatrix database to StreetSaver®; performed distress/condition surveys per the most current version of ASTM D6433; updated the maintenance and rehabilitation history since 2015; performed funding scenarios; quality control; prepared a pavement condition index report and submittals for the Los Angeles County Metropolitan Transportation Authority; and is performing asset data collection,. including conducting a curbramp, sidewalk, and sign inventory. Multiple PMS Updates and Implementations, Various Cities and Counties, CA. Project Engineer. Narut is responsible for updating the analysis and quality control of pavement distress data, updating maintenance and rehabilitation decision trees and the treatment unit costs, and the development of budget scenarios and summary reports. His clients include the following cities and counties: 41 Anaheim 0 Diamond Bar 0. Mission Viejo 41 Santa Barbara County 41 Berkeley 4; El Centro 0 Newport Beach 41 Santa Clarita 41 Buena Park 4' Fresno COG 41 Orange (City) 41 Santa Monica 14 Burbank Highland 44 Orange County Seal Beach 41 Camarillo 0 La Habra 41 San Clemente 40 Stanton 0 Carson 41 Laguna Niguel 0 San Diego County V Thousand Oaks 44 Commerce R Lake Forest 0 San Gabriel 40 Torrance - 41 Corona 41 Manhattan Beach 0 San Marino V West Covina 0 Dana Point °AN Page IA-S 25D-49 City of Santa Ana Pavement Management Program Update Rf-P No. 19-070 August 6, 2019 Franc Escobedo -- Senior Field Technician Mr. Franc Escobedo has over 16 years of experience as a pavement management technician for NCE. He has performed numerous pavement condition surveys throughout California, Idaho, and Washington and has collected distress data forvarious PMS, including StreetSaver®, PAVERx', and Cartegraph systems. He has collected data for the Cities of Agoura Hills, Commerce, Cudahy, San Dimas, Torrance, and West Covina, and the Counties of Orange, Ventura, and San Diego. Franc assists with the training of agency staff. He performs activities relating to pavement data collection using hardcopy forms or tablets. As part of the QC process, he performs cross-checks of data in the PMS database. He regularly performs QC checks of field collected data and pavement maintenance history to ensure that PMS databases are accurate and up-to-date. During this process, he generates detailed reports, which are necessary to perform his cross-checks of the collected data. His field experience and expertise are an added benefit to agencies during field training. Franc has performed condition inspections on over 6,000 centerline miles of roads and streets. = Pavement Management Inspections, Various Locations. Senior Field Technician. Projects included various forms of inspections for pavement distress data collection, such as walking, windshield, and/or semi -automated inspections. Clients included: Ada County, Idaho Agoura Hills Anaheim Antioch Bakersfield Bell Buena Park Burbank Camarillo Chula Vista Commerce Corona Cudahy Dana Point Davis El Centro El Cerrito Elk Grove Encinitas Fairfield Fremont Fullerton Hayward Hillsborough Humboldt County Inyo County La Habra Lake County Lake Forest Lemon Grove Manhattan Beach Marin County Martinez Mendocino County Milpitas Mission Viejo Mono County Mountain View Newark Newport Beach Orange County Palm Springs Poway Redwood City Rogue River National Forest San Clemente San Diego County San Dimas ;! San Gabriel 41 San Ramon 41 Santa Cruz County 41 Santa Maria 4: Santa Monica 41 Seal Beach 0 Siskiyou County 4: South Lake Tahoe 0 Stanislaus County 49 Stanton s: Thousand Oaks 44 Torrance 44 Tulare 41 Tuolumne County 4. Tustin 49 Umpqua National Forest 42 Vallejo 4'n Ventura County Vernon 4! Vista 44 Walnut Creek V West Covina 41 West Sacramento Education Computer operations Program Computer Learning Center, Los Angeles, CA, 1983-84 Network Engineering & Administrative Program Computer Learning Center, Anaheim, CA, 1997 Certified Network Administration Computer Learning Center, Anaheim, CA 1997 Registrations/Certifications OCTA Pavement Inspector Prequalification MTC StreetSaver® Rater Certification Program Years of Experience 16 years t"1wNCE Page IA-6 25D-50 City of Santa Ana Pavement Management Program Update RFP No. 19-070 August 6,2019 Mr. David Bivins has over 15 years of experience as a pavement management technician. His experience extends beyond data collection for pavement distresses. As a senior technician, he is one of NCE's most experienced distress collectors and a primary choice for working with/training our clients in field data collection activities. David assists with the training of agency staff. He performs activities relating to pavement data collection using hardcopy forms or tablets. As part of the QC process, he performs cross-checks of data in the PMS database. He regularly performs QC checks of field collected data and pavement maintenance history to ensure that PMS databases are accurate and up-to-date. During this process, he generates detailed reports, which are necessary to perform his cross-checks of the collected data. His field experience and expertise are an added benefit to agencies during field training. David has performed condition inspections throughout California on over 15,000 centerline miles of roads and streets. Representative Projects Pavement Management Inspections, Various Locations, Senior Field Technician. Projects included various forms of inspections for pavement distress data collection, such as walking, windshield, and/or semi -automated inspections. Clients included: 11 Albany 0 Hayward $.4 Pebble Beach 41 Buena Park 0 Inyo County 0 San Bruno *41 Campbell 4,19 Lafayette 13 San Mateo County 1: Chula Vista V. Lake County ee Santa Barbara County ! Citrus Heights 0 Los Gatos 10 Santa Cruz 41 Danville A WM Mammoth Lakes Santa Cruz County 1= East Bay Regional 3 Marin County 10 Santa Rosa Park District 1+ Mendocino County @+ Stanislaus County 0 Elk Grove 19 Mission Viejo 0 Stanton Fremont 44 Modesto 11 Torrance m! Fullerton 0 Newark Education Civil Engineering Courses, San Francisco State University, 1994 AutoCAD Advanced Course, CAD Masters, Walnut Creek, CA, 1997 Registrations/Certifications OCTA Pavement Inspector Prequalification MTC StreetSaver® Rater Certification Program Years of Experience 15 years ANCE. Page IA-7 25D-51 Collaboration. Commitment. Confidence. www.ncenef.corn 25D-52 EXHIBIT B O 1 N d � a C Q E m d C CL cn o a+ E U u a u m C l9 Qi a 9 0. d V 0 � � x h F e>t y `o c �y u c �N tra a G C O Cf n 3 ? �� �Y* sy F 4u 3 Y� tti C � a eta t f. rhY • � �1 • 1 yQ o s:: g ^fin w N N C Uh U V1 N } N ya i o Q u ao ° ° O v ro d, rn c v w E E a 3 a a r�o C C v f0 v v o O H N O y ti m v m v°2 h m N y m O c aoou3a a 3 O O 3 w c > ? > a mu H N N N 1/i Vf 25D-53 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 1, 2019 TITLE: APPROVE AN AGREEMENT WITH XV SOLUTIONS FOR WATER SYSTEMS SUPERVISORY CONTROL AND DATA ACQUISITION TECHNICAL SUPPORT SERVICES IN AN AMOUNT NOT TO EXCEED $85,000 ANNUALLY (NON -GENERAL FUND) {STRATEGIC PLAN NO. 6, 1) /s/ Kristine Ridge CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 15' Reading ❑ Ordinance on 2i1 Reading ❑ Implementing Resolution ❑ Set Public Hearing For we] 01III01U1ARINIM FILE NUMBER Authorize the City Manager to execute an agreement with XV Solutions to provide technical support services for the City's water Supervisory Control and Data Acquisition systems, for a three-year period beginning October 1, 2019, and expiring September 30, 2022, with provision for a two-year renewal exercisable by the City Manager and City Attorney, in an annual amount not to exceed $85,000, for a total amount not to exceed $425,000, including the optional extension, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION Approval of this recommended action will allow the City to retain professional services for the Supervisory Control and Data Acquisition (SCADA) system used by the Water Resources Division. The SCADA system is the central tool in monitoring, automating, and controlling the City's water production systems, such as groundwater wells, water pump stations, and pressure control facilities. On July 16, 2019, the Public Works Agency released a Request for Proposals (RFP) on the City's online procurement portal, Planetbids, for Water Resources Supervisory Control and Data Acquisition Consultant Support Services. The services to be provided include, but are not limited to, SQL database support, SharePoint server support for data management, SCADA server maintenance, software and file backups, routine information systems maintenance, VMWare support, and Wonderware Historian support. Twenty-four firms viewed the RFP and one proposal was received. The proposal was evaluated by a review committee comprised of personnel from the Public Works Agency. Rating criteria included firm and personnel experience, understanding of need, relevant project experience, references, and schedule. The rating of the firm is as follows: 25E-1 Agreement for Water Resources Supervisory Control and Data Acquisition Consultant Support Services Not -to -Exceed $85,000 Annually October 1, 2019 Page 2 FIRM LOCATION SCORE XV Solutions Lake Forest, CA 93 In accordance with the RFP, staff recommends awarding a contract to XV Solutions, Inc. This firm has demonstrated they have experience and resources needed to respond to a variety of SCADA network needs. 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 assets). ENVIRONMENTAL IMPACTS There is no environmental impact associated with this action. FISCAL IMPACT Funds are budgeted and available in the Fiscal Year 2019-20 Water Administration & Engineering account (No. 06017645-62300), and the budget and expenditures for future years is estimated as follows: Fiscal Year Accounting Unit Fund Accounting Unit, Account Amount — Account # Description Descri tion Contract 3-Year Term Water Administration & FY 19-20 06017645-62300 Water Engineering, Contract Services- $64,000 Oct. - June Professional Water Administration & FY 20-21 06017645-62300 Water Engineering, Contract Services- $85,000 July- June Professional Water Administration & FY 21-22 06017645-62300 Water Engineering, Contract Services- $85,000 July— June Professional Water Administration & FY 22-23 06017645-62300 Water Engineering, Contract Services- $21,000 July— Sept. Professional TOTAL 3-YEAR TERM: $255,000 25E-2 Agreement for Water Resources Supervisory Control and Data Acquisition Consultant Support Services Not -to -Exceed $85,000 Annually October 1, 2019 Page 3 Fiscal Year Accounting Unit Fund Accounting Unit, Account Amount — Account # Description Descri tion Renewal O tion 2-Year Term Water Administration & $64,000 FY 22-23 06017645-62300 Water Engineering, Contract Services - Oct. - June Professional Water Administration & $85,000 FY 23-24 06017645-62300 Water Engineering, Contract Services - Professional Water Administration & $21,000 FY 24-25 06017645-62300 Water Engineering, Contract Services - Professional TOTAL 2-YEAR RENEWAL OPTION: $170,000 TOTAL AGREEMENT: $425,000 Fuad S. Sweiss, PE, PLS Executive Director Public Works Agency FSS/NS/RR Exhibit: 1. Agreement with XV Solutions APPROVED AS TO FUNDS AND ACCOUNTS: Kathryn Downs, CPA Executive Director Finance and Management Services Agency 25E-3 AGREEMENT TO PROVIDE SUPERVISORY CONTROL AND DATA ACQUISITION (SCADA) SUPPORT SERVICES THIS AGREEMENT is made and entered into this 1st day of October, 2019 by and between XV Solutions ("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. On July 16, 2019, the City issued Request for Proposal No. 19-066, by which it sought a consultant to provide maintenance, programming, network support, and SCADA-related information technology services for the Water Resources Division of the Public Works Agency. B. Consultant submitted a responsive proposal that was selected by the City. Consultant represents that it is able and willing to provide the services described in the scope of work that was included in RFP No. 19-066. 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: 1. SCOPE OF SERVICES Consultant shall perform the services that were described in the scope of work that was included in RFP No. 19-066, and as more specifically delineated in Consultant's proposal, which is attached as Exhibit A and incorporated in full. 2. COMPENSATION a. City agrees to pay, and Consultant 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 $85,000. 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. Page 1 of 8 EME 4 3. TERM This Agreement shall commence on the date first written above and terminate on September 30, 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 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. F�1�1_Il I114U, A11K17►` 1iT.T_6J1111 7 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 subconsultants to agree in writing that City is granted a non-exclusive and perpetual license for any Documents & Data the subconsultant 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 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 EMEt5 INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subconsultants, 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, 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. Workers' Compensation Insurance. In accordance with the California Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for workers' 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. (h) 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 Consultant, without thirty (30) days prior written notice to the City. (iv) Consultant shall supply City with a fully executed additional insured endorsement. Page 3 of 8 E2 t6 f. If Consultant 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 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, Consultants, 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 or its subconsultants, 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 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 of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Consultant. 9. INTELLECTUAL PROPERTY INDEMNIFICATION Consultant 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 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 Page 4 of 8 r2fiEt7 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. 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 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 E2 t8 20 Civic Center Plaza (M-21) P.O. Box 1988 Santa Ana, CA 92702 To Consultant: XV Solutions 22013 Lakeland Avenue Lake Forest, CA 92630 Attn: Servando Varela, Owner A party may change its address by giving notice in writing to the other parry. 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 Consultant 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 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 terns 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 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 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. 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 E2 t9 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, 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 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. Consultant 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. Consultant 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. %I1J=IiZ1)4 DMI UWE]JAC610 ►67 3.y 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. Page 7 of 8 26EA 0 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: Daisy Gomez Clerk of the Council APPROVED AS TO FORM SONIA R. CARVALHO City Attorney By: /rv. Vin 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 CONSULTANT Name: je4'Vae " V6t✓"C4 - Title: IPjw t/ Page 8 of 8 M i 5ANT j F O k' 17 Water Resources Supervisory Control And Data Acquisition Consultant Support Services RFP Response, BID For RFP NO.: 19-066 yAww • XV SOLUTIONS COVER LETTER August 5, 2019 Mr. Cesar Ban -era, City of Santa Ana Public Works Agency City Corporation Yard, Bldg. A 220 S. Daisy Avenue Santa Ana, CA 92703 XV SOLUTIONS 22013 Lakeland Avenue Lake Forest, CA 92630 Re: Request for Proposal for Water Resources Supervisory Control and Data Acquisition Consultant Support Services RFP No.: 19-066 Dear. Mr. Barrera, XV Solutions appreciates the opportunity to provide you with a response to address the Water Resources Supervisory Control and Data Acquisition Support Services RFP. XV Solutions has been providing IT services to the City of Santa Ana's Water Division for the past 6 years, and we are confident in our ability to meet your specific needs through superior quality services in: Networking, SCADA, Virtualizadon, Programming, Security, and all of your other IT needs. Attached you will find our proposal, which includes our service offerings and meets all the requirements outlined in Exhibit A of RFP # 19-066. Owner, Servando Varela, will be available to answer any questions or concerns you may have regarding this response, and assist you through the contract period. Servando is the sole point of contact for the City of Santa Ana. You may reach Servando on his mobile phone at (714) 269-8190. Thank you for your time and consideration. We look forward to continue serving your IT needs and establishing a mutually beneficial partnership. Sincerely, "Servando Varela Owner, XV Solutions Table of Contents AgreementStatement........................................................................................... Statement of Qualifications................................................................................... Firm and Team Experience................................................................................ AboutXV Solutions........................................................................................ BriefHistory ............................................................................................... About Servando Varela.................................................................................. Experience & Background.......................................................................... Relevant Project Experience.............................................................................. Understanding Scope of Services.......................................................................... QualificationMatrix ...... ......... :........ ................................................................... Exhibits.................................................................................................................. ExhibitD —References ....................................................................................... Exhibit E — Proposers Statement....................................................................... Exhibit F: Non -Lobbying Certification................................................................ Exhibit G — Certification of Non -Discrimination by Contractor .......................... Exhibit H — Non -Collusion Affidavit.................................................................... ...............................1 ...............................1 ..............................1 .........................I.....1 ...............................1 ...............................1 ............................... 2 ............................... 2 ......................... 5 ......... I .... I ................ 5 ............................... 9 ................I............10 .............................12 .............................14 .............................16 .......I.....................19 Firm and Team Experience Water Resources Supervisory Control And Data Acquisition Consultant Support Services[ RFP No.:19-066 Agreement Statement XV Solutions concurs with all of the provisions as contained in the standard agreement as Attachment 2: Standard Agreement in the Appendix of this RFP. Please refer to Exhibit E: Proposers Statement in this response to the RFP. Statement of Qualifications Firm and Team Experience About XV Solutions XV Solutions is an IT consulting company focused on providing best -in -class service to small and medium size organizations. We strive to provide our clients with customized IT services and solutions, to enable them to run their core work functions and relieve them from the burdens of managing IT. We have strong technical expertise that allows us to deliver innovation -driven solutions, no matter how complex the business problem may be. Our service offerings are spread across: ➢ Networking design, implementation and maintenance ➢ Servers and Applications, including Windows and ReclHat operating systems ➢ SCADA, including DYNAC and Wonderware, with formal training from KAPSCH on DYNAC and from Wonderware on the Wonderware Historian and Reports ➢ Storage, Backup and Data Recovery ➢ Computer Application Design and Programming Brief History XV Solutions was founded in 2010 and has been providing services to the City of Santa Ana's Water Division group for over 6 years. Servando Varela is the owner and sole proprietor, who personally handles all client engagements. ------------ - ------- Page i - XV SOLUTIONS Water Resources Supervisory Control And Data Acquisition Consultant Support Servicesl RFP No.: 19-066 Servando has been working in the IT industry for 19 years. He started his career working for the City of Santa Ana's Water Division as an Engineering Intern, in 1997 and was promoted to Microsystems Tech shortly after. While working for the Water Division, Servando's responsibilities included running daily backups, network support, and custom application programming using MS Visual Basic and MS SQL Server. Experience & Background In the year 2000, Servando went to work for FileNet Corporation as a Software Engineering Intern. He was hired as a permanent employee in early 2002, immediately after he completed his B.S. degree in Computer Science and Engineering from CSULB. While at FileNet, Servando was responsible for programming automated tests using various programming languages and his responsibilities included setting up test environments. Setting up the test environments deepened Servando's expertise with various operating systems (Windows, Unix and Linux), database servers (MSSQL, Oracle, and IBM DB2), application servers (Microsoft Internet Information Services, WebLogic, and IBM WebSphere), and networking equipment (switches, routers, VPNs, and firewalls). In addition to the Computer Science and Engineering degree, Servando also holds a Master's Degree in Business Administration from Pepperdine University. He has formal training in project management, pragmatic marketing, and agile software development. Relevant Project Experience XV Solutions has been working for the City of Santa Ana's Water Division group, servicing an array of IT related issues. • April 2018: Water Resources staff struggles with being able to create, maintain, customize and keep long-term reports on the DYNAC Scada system. I reviewed options and identified the Wonderware Historian as the most reliable, scalable and easy to use SCADA Historian solution in market. As a result, the Water Resources management team decided to move forward with the installation of the Wonder -ware Historian to replace the DYNAC Historian. XV Solutions Installed and configured the Wonderware Historian and Dream Report server on the Water Resources network to historize SCADA and produce ongoing reports required for compliance and operations. Customer: City of Santa Ana, Water Resources Division. • Sept to Dec 2018: Implemented the Walnut Station configuration on the DYNAC SCADA system. This project included reviewing the PCL tag list and building all of the points on the - -...-------- - ------------- - ---- - ---- _.._._.._-.-.-. XV SOLUTIONS > Page 2 Water Resources Supervisory Control And Data Acquisition Consultant Support Servicesl RFP No.: 19-066 DYNAC servers, configuration of the RTUs, points, and necessary scripts to ensure PLC to PLC data transfer from Well 16, Well 33 and the Walnut PLC. The project included performing acceptance testing with another City of Santa Ana consultant, who did the actual PLC programming and working jointly with Water Resources staff to create the graphics on the DYNACA HMI. Customer: City of Santa Ana, Water Resources Division. • March 2016: Implement 2 factor authentication (2FA), for the Water Resources VPN used by staff that is on -call or working on field devices when they need to view SCADA to complete their tasks. Implemented a solution that sends a push notification to the Operators mobile phone, which they need to acknowledge in order for the VPN connection to succeed, this is in addition to their user name and password that needs to be entered into the VPN client. The VPN client works on iPhone, Android and Windows computers as required by the Water Resources Staff. Customer: City of Santa Ana, Water Resources Division • June 2014: Implement a new Microsoft SharePoint environment using a DELL R910 Server and VMWare vSphere. XV Solutions built the environment from the ground up. The solution design included the use of: Windows 2008 R2, Microsoft SOL Server 2012, VMWare vSphere, two RAID 5 configurations to optimize VMWare disk 1/0 performance, and 4 network cards to maximize the network throughput from the vSphere host server plus the virtual servers needed to run the software. Customer: City of Santa Ana, Water Resources Division. • August 2014: Implement a SharePoint bulk loading program to add over 25,000 backflow reports to SharePoint. The import required that custom content types be used in SharePoint with customer data fields. The metadata for the backflow records was collected by the custom bulk loading program, from .csv files that accompanied the backflow reports. Customer: City of Santa Ana, Water Resources Division. • August 2014: Recommend specifications for new Dynac ES SCADA servers, mount new servers into the server rack, and configure networking for the servers. Customer: City of Santa Ana, Water Resources Division. _ _...._.. — ---------- ------------------- Page 3 XV SOLUTIONS s Understanding and Scope of Services Understanding Scope of Services Qualification Matrix Each row represents XV Solutions' response to the RFP requirements outlined in the Appendix, Attachment 1: Scope of Work Req Description Support XV Solutions Response i On -Call Y XV Solutions is based out of Lake Forest, CA and is able to provide Accessibility unlimited 14x7 remote or on -site technical support. XI/Solutions understand the need for technical support, because Water Production supplies Water to City of Santa Ana residents and any interruption in service would impact the quality of life of the citizens of Santa Ana and revenue for the City of Santa Ana. 2 SCADA Y XI/Solutions is experienced with DYNAC ES, which is a SCADA Technical software product that runs on the Red Hat Enterprise Linux (RHEL) Support operating system. DYNAC ES is owned by Kapsch Co., and Servando has formal DYNAC training from Kapsch. XV Solutions has experience monitoring the DYNAC ES servers to ensure they are running in dual mode and respond when the primary server fails and the secondary server takes control. XVSolutions is also experienced with the RedHat operating system in the areas of networking, security, backup and restore. Servando also has experience implementing new RTUs, Digital Devices, analog points, and creating HMI graphics on the DYNAC Server. Servando, the owner and primary consultant, has a B.S. in Computer Science and Engineering and part of his experience includes working with putty, writing Linux bash scripts, programming against the Linux operating system, setting up Linux operating systems from scratch, and applying software security patches. 3 Monthly Technical Support 3—a Firewall Y Firewolls are used to isolate the internal network from external threats, by Maintenance implementing packet filtering and application gateways. Cisco and Netgeor periodically release firmware patches to update hardware/software firewall components needed to maintain security definitions up-to-date. XI/Solutions has experience implementing, maintaining firewalls, VPN and 2-factor- authentication. 3—b Network Y We are experienced in analyzing network efficiency utilizing network Performance & monitoring tools such as netstat and Wireshork, to monitor Security incoming/outgoing network connections, routing tables, and network interfaces. We are also familiar with Dell DRAC, which monitors the health of the servers to identity any failures and provide the administrator with information to isolate components with problems. t Page 5 b ai Water Resources Supervisory Control And Data Acquisition Consultant Support Servicesi RFP No.:19-066 Description Virus Protection 3—d Routine Backups 3—e I Remote Access 3 f Private Network Security IP Address Management Support XV Solutions malicious software attacks. It is critical to maintain anti -virus software up- to-date, given viruses are released into the web daily. We are experienced with Symontec and McAfee anti -virus tools to monitor and prevent virus and malware infections on workstations and servers. Y We are experienced in configuring scheduled -automatic backups to prevent data -loss due to hardware failures, database corruption, and natural disasters. We've configured the Water Division's backup process, to send alerts to system administrators when a failure is detected and/or the backup process fails. XI/Solutions takes an active approach to ensure the data is backed -up safely, by performing periodic restore jobs to validate the backup process is reliable and functional. Y Establishing secure remote access can be done via VPN or Gtrix. VPN provides a secure & encrypted communication tunnel to allow the use of tools such as RDP or VNC These tools allow secure -remote connectivity to servers/computers within the network. XVSolutions is experienced in creating VPN gateways, and training staff on methods to securely connect into internal networks which includes multi factor -authentication. It's important that staff knows what steps to take when they suspect their password, data or devices have been compromised, hence having a documented procedure for how to handle potential breaches is necessary as well as training for the staff. Y Remote connections are validated for access into the private secured network via two different methods (1) the VPN profile for each user has unique feature codes that are only known to the City cifSanta Ana devices. This prevents brute force attacks into the VPN from external threats. (2) The SCADA server configuration for DYNAC ES contains specific end -point devices and their IP addresses that are allowed access to the SCADA portal. XV Solutions is familiar with both access control validation methods for remote XV Solutions has experience managing both Dynamic IP addresses, which are typically used formobile devices and workstations, and static IP addresses, which are usually required for servers. Dynamic IP addresses are managed with a DHCP Server, Windows Server operating systems, such as Windows 2003, Windows 2008, and Windows 2012 come with a built-in DHCP Server service that can be turned on and configured to dynamically assign IP addresses to devices connected to the network. Some appliances, like the Netgear SRX5308 also come with a built- in DHCP server that can be used for this purpose. Critical servers, like SCADA servers, SMTP/Email servers, Microsoft ShorePoint and other application servers require a static IP address. Static IP addresses con be reserved in a DHCP server. 3—h RAID Y RAID (RedundantArrayof Independent Disks) is a method of grouping Configuration multiple hard -drives, so that the OS views multiple drives as one logical Support drive. There are several advantages to RAID configurations, such as increased read/write performance and redundancy. XV Solutions has expertise in creating various types of RAID configurations and has configured RAID-5 for the Water Resources Division. Water Resources Supervisory Control And Data Acquisition Consultant Support Services) RFP No.:19-066 3—j 3—k 3-1 3— m 3—n 3—o 3—p XV Solutions external systems VPN access to internal network Network Y Experience with SCADA Dynoc ES redundant server, where there is a primary Redundancy server and a stand-by server. When the primary server fails, the secondary server takes over and becomes the primary server. Servers use a virtual IP address, so that the primary server is always seen on the virtual IP address. Both servers have their own typical IP address, but users always connect using the virtual IP address which will always connect users to the whichever server is the arimarvserver. Reporting Y Yes, monthly reports can be easily prepared and delivered via email, posted on the SharePoint server, added to a file server, or any other method that is convenient or desired. MDS Radio Y MDS Radios can receive and send transmission to SCADA PLCs. The SCADA Support servers need to be connected to the some Ethernet network where the MDS Radio is dropping network packets; so that the SCADA server can process the packets received and also send out changes to PLCs. XV Solutions is experienced with networking requirements for MDS Radios and verifying that they are working properly for SCADA operations. Server Software Y XV Solutions has experience in managing and applying patches via several Maintenance methods: (1) Command line updates for Unux distributions. (2) Manually deploying Windows Updates via the Desktop. (3) Remote software deployment using tools such as SSCM or Desktop Authority. APCSymmetra Y The APC Symmetra is a modular, redundant, backup batteryfor enterprise servers. it has multiple controller cards, so that if one fails the other takes over and multiple battery modules that allows for redundancy and capacity expansion. We are familiar with monitoring the APCSymmetra type systems, configuring email alerts that report the status and health of the battery and its modules, capacity sizing, and dealing with Schnieder Electric, the APCSymmetra vendor. in 2D13, XVSolutions managed the replacement and upgrade of the APCSymmetra for the City of Santa Ana, Water Production Server Room. The replacement and upgrade was executed on time and without any issues. SharePoint and Y SharePoint con be easily used to manage Backfiow records. Backfiow Backfiow records are typically filed with the City via email or postal mail. These Records records are filled out by hand and need to be scanned into digital PDFs and then inserted into SharePoint. XVSolutions provides document scanning and indexing services that can be used to insert the document into SharePoint and indexed at the some time for easy search and retrieval. VMware Y Yes, XV Solutions has experience deploying VMWare vSphere. The vSphere vSphere platform can be optimized for performance using various methods, Support including: setting up the RAID configuration and swap partitions for the VMWare servers, so that each server using its own LUN; ensuring that the CPU capacity is properly partitioned per VMWare server; allocating enough memory for each virtual server; and following other best practices and techniques for virtualizotion environments. "Solutions has experience setting up complete vSphere environments. Water Resources Supervisory Control And Data Acquisition Consultant Support Servicesl RFP No.: 19-066 3—r 3—s XV Solutions Rating System reports are usually accompanied by a small Microsoft Access Database file Programming that contains the NASSCO ratings for the pipe. "Solutions has completed a Support projectfor the City of Santa Ana, Water Department where we programmatically extract the NASSCO ratings from the Access Database and aggregate them into a Microsoft SQL Server. The SQL Server database is then accessed via a custom-built application that allows Water Department employees to query CCTV reports by NASSCO rating and identify the sewer pipe segments that need the most attention. ICU Ticket y The ICU Tickets system is a client -side software application that received Troubleshooting USA DigAlert notifications. The ICU software is an aging 32-bit Microsoft Windows Application. It allows the printing of the tickets and storing of tickets for future use, reference, and for retention compliance. XV Solutions is familiar with this software. In March 2014, XI/Solutions migrated the ICU Tickets software for the City of Santa Ana from an old Windows XP workstation to a new Windows 732-bit workstation Wonderwore y Wonderware Historian is an efficient SCADA historian built on top of MS SQL Historian, Server. The Wonderware Historian uses a product called Dream Reportfor installation, the reporting software component. Dream Report is resold by Wonderware. configuration XVSolutions is trained and certified on the Wonderwore Historian and and ongoing Dream Report. We have previously installed and configured the maintenance. Wonderware Historian far the Water Resources Division and can confidently meet this requirement Design, Install, y XV Solutions has significant experience installing and managing server Manage new hardware. We have previously speed, recommended and implemented a Servers range of server from the lower end Dell R320 server to the higher end Dell R910 Servers and manage the virtualization of existing server to better maximize the utilization of the higher -end server hardware. Additional Requirements: In addition to the above itemized requirements, XV Solutions, also understands there is a need for weekly maintenance to monitor and service Windows Servers, RedHat Servers, VPN, Firewalls, Uninterruptible Power Supply (UPS) backup, desktops, SQL Servers, SharePoint Servers, and provide ongoing end -user support as needed. The weekly maintenance and hourly fees are discussed in the attached Hourly Fee and Monthly Maintenance Schedule. Exhibits Exhibit D — References ZTilJ_VEI REQUEST FOR PROPOSAL FOR Water Resources Supervisory Control and Data Acquisition Support Services, RFP NO.:19-066 REFERENCES List and describe fully the contracts performed by your firm which demonstrate your ability to provide the supplies, equipment or services included in the scope of the proposal specifications. Attach additional pages if required. The City reserves the right to contact each of the references listed for additional information regarding your firm's qualifications. References Customer Name: City of Santa Ana Contract Individual Brian Ige Address: 220 S. Daisy Ave Santa Ana, CA Phone Number 714-647-3385 Fax Number Contract Amount: 65,000 per Year Year: 2014 - 2019 Description of supplies, goods, or services provided: SCADA network support, backup servers, remote access, firewall/VPN and weekly maintenance for servers and Water Production desktop computers. THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE o � • EXHIBIT E CITY OF SANTA ANA Request for Proposal for Water Resources Supervisory Control and Data Acquisition Consultant Support Services RFP No.:19-066 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, hereinafter 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 hereon the action of approval of the Council, signed by the Executive Director or his 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 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 helshe will furnish City all required bonds and certificate 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 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 nondiscrimination by contractors, and the required insurance certificates are to be incorporated by reference into this agreement and are made specifically as part of this RFP. FIRM: SIGNED AND PRINTED NAME: TITLE: DATE: K /1— 126 THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE ff-,T�54001 Exhibit F: Non -Lobbying Certification Water Resources Supervisory Control And Data Acquisition Consultant Support Services] RFP No.:19-066 CITY OF SANTA ANA RFP NO.: 19-066 WATER RESOURCES SUPERVISORY CONTROL AND DATA ACQUISITION CONSULTANT SUPPORT SERVICES 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 officeror 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 Forth-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 accordin ly. Signed: 2 Title: (2w, /vv�►� Firm: xPV Date: Page I of I CITY OF SANTA ANA RFP NO.: 19-066 WATER RESOURCES SUPERVISORY CONTROL AND DATA ACQUISITION CONSULTANT SUPPORT SERVICES The undersigned consultant or corporate officer, during the performance of this contract, certifies as follows: 1. The Consultant shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Consultant 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 Consultant 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 Consultant shall, in all solicitations or advertisements for employees placed by or on behalf of the Consultant, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. The Consultant 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 Consultant's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The Consultant 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 Consultant 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 Consultant'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 Consultant 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. Page I oft o � Water Resources Supervisory Control And Data Acquisition Consultant Support Servicesl RFP No.: 19.066 CITY OF SANTA ANA RFP NO.: 19-066 WATER RESOURCES SUPERVISORY CONTROL AND DATA ACQUISITION CONSULTANT SUPPORT SERVICES The Consultant 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 Consultant becomes involved in, or is threatened with, litigation with a subconsultant or vendor as a result of such direction by the administering agency, the Consultant may request that the United States enter into such litigation to protect the interests of the United States. S. 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 consultant of public works violating this Section is subject to the ppe''naltie imposed or a vi ation of the Chhaaip�teerr. , T /�e� Signed: Z6'2i� 1 SU'CV"a � vt° 4'4 Title: ,�/i�✓ Firm: ✓ 'V%�� Date: Page 2 of 2 Exhibit H — Non -Collusion Affidavit CITY OF SANTA ANA RFP NO.: 19-066 WATER RESOURCES SUPERVISORY CONTROL AND DATA ACQUISITION CONSULTANT SUPPORT SERVICES 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 Signed State of California County of Df Subscribed and swom to (or affirmed) before me on this 5 day ofA u�u5} , 2QIg, by SerVoindo VA r tI o- , proved to me on the basis of satisfactory evidence to be the person(.@) who appeared before me 6 Li Notary Public Sig re Notary Public Seal 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 vatidity of that dncument. MARISSA SIZEMORE H COMM...2223721 0 m WTAW ORMXiEPOHNIA My Term Exp. Nov. 30. 2021 Page 1 of I EXHIBIT B u� • XV SOLUTIONS August5,2019 XV SOLUTIONS 22013 Lakeland Avenue Lake Forest, CA 92630 City of Santa Ana, Public Works Agency Request for Proposal for Water Resources Supervisory Control And Data Acquisition Consultant Support Services RFP No.:19-066 Hourly Rate Fee and Monthly Maintenance Schedule, To Accompany Exhibit B XV Solutions hourly rates and job classifications Job Classification: Sr. IT Consulting Engineer Classification Description: Sr. IT Consulting Engineers have a considerable breadth and depth of experience in computer systems that include computer programming, networking, storage, data backup, disaster recovery, knowledge of SCADA systems, VPN/Firewall configuration, Windows Server operating systems, Linux/RedHat operating systems, Microsoft SQL Server, and network security. Additionally, Sr. IT Consulting Engineers have a bachelor's degree in Computer Science from an accredited university with an ability to design and implement new computer programs in multiple programming languages including C/C++, Java, Visual Basic, C#, ASP.NET, and Python. Hourly Rate: $150/Hour Monthly Maintenance: We understand, based on the SCOPE OF SERVICES described in this RFP, that the Water Resources SCADA network includes at least 10 physical production servers running Windows Server operating systems and 2 SCADA high availability RedHat production servers, which need to be maintained, backed up and patched on a regular basis. The Citv also has in production a VMWare vSphere environment with a number of virtualized servers that are used in production today, which also require backup and maintenance on a regular basis. Additionally, remote access/VPN, firewalls and a UPS battery backup are in place and require maintenance. We estimate that this work will require 3 hours of work per week for regular maintenance, security monitoring, and backups. Monthly Maintenance Rate: $1,000.00 / Month Sincerely, Servando Varela Owner, RV Solutions REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 1, 2019 TITLE: APPROVE AGREEMENT WITH NILA SPORTS FOR A LIGHTING RETROFIT PROJECT AT JEROME PARK FOR AN AMOUNT NOT TO EXCEED $140,983.10 AND APPROVE AN ON -BILL FINANCING AGREEMENT WITH SOUTHERN CALIFORNIA EDISON FOR AN AMOUNT NOT TO EXCEED $44,998.92 PLUS $6,749.84, IF NEEDED {STRATEGIC PLAN NO. 6, 2A} CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 131 Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO /s/ Kristine Ridge FILE NUMBER CITY MANAGER RECOMMENDED ACTION 1. Authorize the City Manager to execute an agreement with Nila Sports for the lighting retrofit project at Jerome Park for an amount not to exceed $140,983.10, which includes a 15% contingency, for the period October 1, 2019 to September 30, 2020 to be funded by an on -bill financing loan with Southern California Edison, incentive rebates and the Acquisition and Development District 4 fund, subject to non -substantive changes approved by the City Manager and City Attorney. 2. Authorize the City Manager to execute an on -bill financing agreement with Southern California Edison (SCE) to provide a loan in an amount up to $44,998.92 plus an additional $6,749.84, if needed, in no -interest On -Bill Financing (OBF) that will partially fund the lighting retrofit project at Jerome Park, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION As part of the City's ongoing efforts to identify potential cost saving, energy projects across City facilities, the Parks, Recreation and Community Services Agency (PRCSA), commissioned energy audits for Jerome Park. The Energy Network, a non-profit program funded by California utility ratepayers through the California Public Utilities Commission conducted the energy audits at no cost to the City. 25F-1 Award an Agreement for the Lighting Retrofit Project at Jerome Park and Agreement for On -Bill Financing October 1, 2019 Page 2 On May 24, 2019, the City issued a Request for Proposal (RFP) to invite qualified firms to provide a proposal to retrofit the lighting at Jerome Park. There were 85 vendors, including three located in the City of Santa Ana, notified of the project and the City received 10 proposals (none from Santa Ana). Two proposals received were determined to be unresponsive because the vendor did not provide all of the required elements of the RFP. An evaluation committee consisting of representatives from PRCSA reviewed and rated the proposals according to the criteria listed in the RFP, which includes firm/team experience, relevant project experience, manner for performing service and fee. The results of the RFP evaluation were as follows: Vendor Score Nila Sports 248 Electro Construction 236 Alliance Electrical System, Inc. 235 Baker Electric 229 SACTOWN CONTRACTORS 227 SiteLo iQ 219 RenewA a Energy Solutions, Inc. 214 VT Electric, Inc. 199 Based upon the proposals and interview results, the review panel selected Nila Sports for contract award. The City proposes to enter into an agreement from October 1, 2019 to September 30, 2020 for the installation of lights at Jerome Park in an amount not to exceed $140,983.10, which includes a 15% contingency. Proposal Amount Contingency Amount Total Agreement Amount $122,594.00 $18,389.10 $140,983.10 Southern California Edison (SCE) On -Bill Financing Program PRCSA staff applied for and secured partial funding for the project from SCE through their on -bill financing program, which is a no -interest loan program paid back from savings in the utility cost over a period of years. For example, if the utility costs decrease by $100 per month, SCE will receive that amount until the loan payoff. The net result is no change in the utility bill until the loan payoff. Below is the estimated calculation of the amount SCE will finance. Estimated Annual Savings from Use of New Lights Loan Payback period Estimated Amount to be Financed $4,499.89/Year 10 years $44,998.92 25F-2 Award an Agreement for the Lighting Retrofit Project at Jerome Park and Agreement for On -Bill Financing October 1, 2019 Page 3 The City is requesting approval of a loan amount up to $44,998.92 plus $6,749.84, if needed. The calculation for the final financing amount is determined at the end of the project after SCE performs an audit of the actual number of lighting fixtures that are in place at project completion. Incentive Rebates Additionally, as part of the program the City anticipates receiving $10,663.25 in incentive rebates from SCE. SCE pays the contractor directly for the financed amount and incentive amount, thereby reducing the upfront out-of-pocket costs to the City. The Acquisition and Development District 4 fund will cover the balance of the costs. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #6 - Community Health, Livability, Engagement & Sustainability, Objective #2 (Address deferred maintenance on City buildings and equipment), Strategy A (Prepare a Deferred Maintenance Plan that assesses safety, adequacy, and liability implications, and estimates repair costs to be programmed in the responsible agency's future budget). FISCAL IMPACT Aoreement with Nila Sports: SCE estimates to pay $55,662.17 ($44,998.92-loan, $10,663.25- rebate) of the total $140,983.10 agreement directly to the vendor. Funds have been budgeted and are available for the balance of the agreement ($85,320.93) in the following account for the specified year: Fiscal Accounting Fund Accounting Unit, Account Amount Year Unit -Account # Description Description 31413260- Acquisition and Expenditure, Acquisition and FY 19-20 66220 Development Development, Improvements Other $85,320.93 Than Building The final loan amount will be determined at the end of the project and therefore the amount funded by the City may be more or less than $85,320.93, but will not exceed the amount of the agreement to the vendor. 25F-3 Award an Agreement for the Lighting Retrofit Project at Jerome Park and Agreement for On -Bill Financing October 1, 2019 Page 4 On -Bill Financing: The anticipated payback period starts in July 2020. Funds for the loan repayments will be budgeted and made available in the following account: Fiscal Accounting Fund Accounting Unit, Account Year Unit -Account # Description Description Amount FY 20-21 01113250- General PRCSA-Park Facilities $4,499.89/Year to 67003 Fund OBF Payment $44,998.92 Total FY 29-30 APPROVED AS TO FUNDS AND ACCOUNTS: Lisa Rudloff Kathryn Downs, CPA Executive Director Executive Director Parks, Recreation and Community Finance and Management Services Agency Services Agency Exhibits: 1. Agreement with Nila Sports 2. OBF Loan Agreement — Sample Form 25F-4 CONTRACTOR AGREEMENT FOR LED LIGHTING RETROFIT PROJECT AT JEROME PARK THIS AGREEMENT is made and entered into this 1st day of October, 2019 by and between Nila, Inc, a California Corporation dba Nila Sports, (hereinafter "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 (hereinafter "City"). RECITALS A. The City issued a Request for Proposals ("RFP") (RFP No. 19-056) and Addendums 1-3 for furnishing labor and materials to retrofit the lighting at City's Jerome Park by installing LED lighting ("the project'). B. On July 1, 2019, Contractor submitted a proposal, which thereafter ranked the highest in the evaluation process. C. The parties acknowledge that the funding for the project is On Bill Financing ("OBF") proceeds and incentives from Southern California Edison ("Edison"). Edison has approved the project for OBF proceeds. D. The City desires to retain a Contractor having special skill and knowledge in the field of retrofitting lighting fixtures through the installation of LED lighting at City's Jerome Park. E. Contractor represents that Contractor is able and willing to provide such services to the City. F. 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 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 Contractor shall furnish labor and materials to retrofit the lighting at City's Jerome Park in the City of Santa Ana by installing LED lighting as set forth in the General Scope of Services and Requirements of RFP No. 19-056 attached hereto as Exhibit A, all corresponding Addendums issued for the RFP, and Contractor's proposal submitted July 1, 2019, in response to RFP No. 19-056 incorporated by reference as if completely set forth in full in this Agreement. No additions or change in scope for purposes of utilizing the contingency compensation will be made without the written approval of the Executive Director of Parks, Recreation, and Community Services Agency. Contractor will be responsible for any costs incurred outside of the scope of services without written approval. #95440 25F-5 2. COMPENSATION a. City agrees to pay, and Contractor agrees to accept as total payment for its services, the rates and charges identified in Exhibit B. The total sum to be expended under this Agreement shall not exceed $140,983.10, which includes $122,594.00 plus a 15% contingency of $18,389.10 to be used at the City's sole discretion during the term of this Agreement. b. Contractor acknowledges that this project is funded by cash incentives and OBF proceeds from Edison. City will not pay invoices from Contractor until after Contractor receives all Edison allocated OBF proceeds and incentives for the project. Once the project work is completed, City will enter into an On Bill Financing Agreement with Edison and Edison will pay Contractor directly. City makes no guarantees on the timeline for Edison's OBF process. c. City retained an energy consultant, the Energy Network, to assist with this project. Attached hereto as Exhibit "C" is the Energy Network's OBF calculations for the project. In the event that the OBF proceeds and/or Edison cash incentives do not cover the compensation set forth in Section 2a of this Agreement, City will pay the remainder due to Contractor not to exceed the total Agreement compensation agreed upon in Section 2a of this Agreement. e. Certified Payroll Reports are required at project completion and final payment will not be processed until the Certified Payroll Reports are submitted on the forms approved by the California Department of Industrial Relations. 3. TERM This Agreement shall commence on the date first written above and terminate on September 30, 2020, unless terminated earlier in accordance with Section 15, below. 4. 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. 5. 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 �� #95440 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. 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: 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. Contractor shall supply City with a fully executed additional insured endorsement on a form approved by the City Attorney. 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. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the 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. 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. 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. 25F-7 #95440 (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. 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. 7. FINGERPRINTS AND BACKGROUND CHECK Contractor, and any employees, subcontractors or substitutes, shall arrange for and submit their fingerprints for a criminal background check through the Department of Justice through the City's Human Resources Department process. Contractor shall be responsible for all charges associated with fingerprinting. Contractor shall not perform any services pursuant to this Agreement until clearance is received and Contractor is notified by the City's Parks, Recreation and Community Services Department. 8. PREVAILING WAGE 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. 9. COMMUNITY WORKFORCE AGREEMENT On August 15, 2017, the Santa Ana City Council approved a Community Workforce Agreement ("CWA") with the Los Angeles/Orange Counties Building and Construction Trade Council and the Signatory Craft Councils and Unions. The provisions of the agreement would apply to all construction and major rehabilitation work pursuant to "Prime Multi -Trade" construction contracts that exceed $250,000 and all subcontracts from these prime multi -trade contracts. The agreement also applies to all "Prime Specialty" contracts (single trade contracts) that exceed $100,000 and all subcontracts from these prime specialty contracts. Specialty contracts are contracts for project work with a specialty contractor which is either limited to a particular single trade or craft or limited to a singular scope of work. 25F-8 #95440 Contractors working on projects over the above thresholds must, in filling craft job requirements, utilize and be bound by the registration facilities and referral systems established and authorized by the Unions who are signatory to the agreement. This is commonly referred to a Union hiring hall. Contractors retain the right to reject any applicant referred to them through the job referral system, determine competency of all employees, to determine the number of employees required, and the duties of such employees. If any Union's registration and referral system does not fulfill the requirements for specific classifications requested by any Contractor within 48 hours, the Contractor may employ applicants meeting such classifications from any other available source. Contractor will work with the City's Labor Compliance Contractor to ensure compliance with the CWA. 10. INDEMNIFICATION Contractor agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, 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 direct or indirect operations of the Contractor or its contractors, 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 out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Contractor. This Section will survive termination and completion of the Agreement. 11. INTELLECTUAL PROPERTY INDEMNIFICATION Contractor 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 Contractor to the City pursuant to this Agreement. This Section will survive termination and completion of the Agreement. 25F-9 #95440 12. 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 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. This Section will survive termination and completion of the Agreement. 13. 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. 14. CONFLICT OF INTEREST CLAUSE Contractor 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 specified under this Agreement. 15. 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 Fax 714- 647-6956 25F-10 #95440 With courtesy copies to: And To Contractor: Executive Director of Parks, Recreation and Community Services Agency City of Santa Ana 20 Civic Center Plaza (M-75) P.O. Box 1988 Santa Ana, California 92702 Fax 714-571-4221 City Attorney City of Santa Ana 20 Civic Center Plaza (M-29) P.O. Box 1988 Santa Ana, California 92702 Fax 714- 647-6515 Mr. Jim Sanfilippo, President Nila, Inc. 723 West Woodbury Road Altadena. California 91001 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. 16. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Contractor, 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. 25F-11 #95440 17. 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. 18. 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 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. 19. DISCRIMINATION Contractor 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. Contractor affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 20. 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. 21. 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 25F-12 #95440 Agreement 22. MISCELLANEOUS PROVISIONS Each undersigned represents and warrants that its signature hereinbelow 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: DAISY GOMEZ Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: �k +C). k - W,yAmt,, Laura A. Rossini Senior Assistant City Attorney RECOMMENDED FOR APPROVAL: M&IAI§- ;01BJX*WM" Executive Director Parks. Recreation and Community Services Agency 49S440 CITY OF SANTA ANA KRISTINE RIDGE City Manager CONTRACTOR Nila, Inc. e Jim Sanfilippo President 25F-13 SCOPE OF SERVICES 25F-14 #9544v3 EXHIBIT 7 Lighting Contractor ScopeWork I City o Santa Ana .3 Jerome Park The Energy Network Project ID: U.1`10 Provided by: T'RC Energy Services Scope of Work Developed by: John Rossi, PE Sergio Corona N vembes° Srr'' 2018 b EXHIBIT 7 A Project Supported by The Energy Network The Energy Network, administered by Los Angeles County, was authorized by the California Public Utilities Commission to help eligible public agencies in Southern California harness their collective action, save energy, reduce operating costs and protect precious resources. To expand public agency participation in utility energy efficiency programs, The Energy Network is offering a range of free energy efficiency services to assist public agencies with accelerating energy retrofits. The lighting retrofit of the City of Santa Ana — Jerome Park is being supported by The Energy Network. The services provided as Construction Management Support are defined on a separate documented titled Roles and Responsibilities Matrix. Please refer to this document to better understand the relationship and role of The Energy Network Project Manager and assigned Energy Consultant. Participation of The Energy Network is entirely at the discretion of the City of Santa Ana and The Energy Network may modify or terminate its services based on funding availability. As technical consultants TRC Energy Services remains product and vendor neutral. The products presented in this document represent examples of the possible products that could be used for the project. The products were chosen based on their technological feasibility, efficiency and impact on the project economics. 290316 rauMMM nu am msw ain� �� mm w n�wi iwwu � aansw 7 The Energy Network Summary of Scope of Work 1.1 Background The City of Santa Ana is pursuing a number of lighting retrofits at several of their facilities. This document focuses on the proposed lighting fixture and controls scope of work for the Jerome Park's exterior lighting. Jerome Park a city owned and operated public park. The park consists of baseball and softball fields, basketball courts, a community center, and a public pool. Additional supporting documentation including an area by area breakdown of lighting equipment can be found in the following appendices: • Appendix A: Lighting Inventory 1.2 General Requirements The following should be clearly stated in and/or provided with all bids: a) Contractor shall provide copies of a valid California C-10 Electrical license at a minimum. b) Prevailing wage labor costs to be used for project implementation. c) All scheduling of work shall be done through the City's project contact. d) All work performed shall meet or exceed any applicable electrical code requirements. e) Any existing electrical code violations relevant to systems being retrofitted shall be brought to the attention of the City once discovered. f) Clean-up, removal of old equipment, and/or recycling fees are to be included. g) Contractor must meet appropriate insurance and bond requirements outlined by the City. h) Any other cost of business fees/expenses associated with performing City work are to be included in the bid. i) Provide factory start up and training (if necessary) to ensure proper functionality of new lighting equipment and controls. j) All work shall be warranted against defects in material and workmanship for a period of one year from the date of acceptance. Any applicable warranty information beyond this should be stated and provided upfront. k) The contractor is required to provide a detailed and itemized invoice that clearly states the quantity of each fixture installed. Additionally, the invoice shall show a breakdown of material, labor, tax, shipping, and any other applicable project costs. I) It is the Contractor's responsibility to submit a final version of the Lighting Audit Table, Attachment A in parallel with the submittal of the Cost Proposal. Any revisions required to the Scope of Work must be clearly indicated in the final Lighting Audit Table and reflected in the Cost Proposal. The final Lighting Audit Table serves to inform the Agency. ener '12- ,r,;<a, &3!8xp t + Igo <, „25F-1�7 The Energy Network m) As needed, Contractor is responsible for finalizing and revising fixture model numbers. For example, if the specified LED driver is not compatible with the on -site electrical service, the contractor is responsible for updating the model number and specifying the proper driver. Any fixture model updates need to be approved by City, prior to equipment order. n) Contractor will be compensated for work performed and fixtures installed. Any increase on the Base Price due to larger inventory will require written approval by the Agency and will follow procedures set forth for change orders. Any decrease on Base Price due to smaller inventory will result in a lower Base Price to the Contractor. o) The Contractor shall conduct all work during the time window established after the contract is awarded. p) The Contractor shall comply with safety requirements and practices as outlined in accordance with Agency requirements and California Occupational Health and Safety Administration (Cal/OSHA). q) The Contractor shall do all that is necessary to maintain a safe working environment for Contractor's employees, Agency and facility employees and the general public present. r) The Contractor shall work with the Agency facility staff to understand and abide by any site -specific security procedures. s) The Contractor shall clean up any construction dust, dirt and debris from work surfaces or equipment after work is completed each day and prior to occupancy. t) The Contractor shall be very careful to leave the facility with no damage to its structure, contents, existing finishes, and with no evidence of cutting or patching, and with all fixtures and lenses cleaned. u) The Contractor is responsible for securing all necessary permits, including Title 24 energy code documentation and compliance permit, and shall abide by local laws and regulations. v) Prior to ordering of equipment and fixtures, Contractor is to verify fixture quantities, types and installation needs, including specifying equipment that complies with existing electrical service. Final project invoice price will be based upon the quantity of each fixture type installed multiplied by the unit price for that fixture. w) Prior to ordering of lighting fixtures, Contractor is to verify proposed are listed in the Design Lights Consortium (DLC). Contractor is to propose a valid replacement for fixtures that are not DLC certified. x) The chosen contractor will be required to register with Southern California Edison as a Trade Professional (Trade Pro). Directions to register can be found at: https://sceonlineapp.com/CAASupport/Default.aspx. Please note that contractor will NOT be required to produce a Project Feasibility Study or Energy Efficiency Project Influence Job Aid. a R Y !1 �.t v' et or$ .ow on es m 4 A0011 O 3Me must 2W18 The Energy Network Appendix A: Lighting Inventory Title 24 Site Description Existing Lighting System Proposed Lighting System Requirements Location anchor Room Room Solution Ex. Ed. Ex. kWl Bit. Prop' Occupancy ITEM # # Type Code FxL Cotle Flature Description tl[y." Pat.. Proposetl Fixture Description' Fig. Sensors? kW kW City- 1 Jerome Center Exterior Exterior LT-19132 CFl26WP 26WCFLwalipack 5 0,03 - Mane OLWX1 LED13W40KODB 5 N 150OW local Here Sports Lighting- Ephesus 55OW Sports Lighting A6550-X 38 N 2 EW Hold Eeterior LT-85834 W15001"M Ma Pole unt 66 1,61 L840-Bl_ "" 3 Ball Field area Eaenor LT-85834 MH250FLOOD 25OW Metal Holim, Ined future on ball 9 0.30 BAB 78W Mood Light t MS (FXLm]8TN 9 Y poles, 20 it a SMS500) 4 Snack Area Exterior LT-85834 MHIOCM 70W Metal Halide Ceiling Mount Canopy 4 Me - Sow RAB Cars,(VANLED 20 N) 4 N .lire `The Contractor is responsible for finalizing fixture model numbers `*The Contractor is responsible for confirming all fixture counts, pre and post case. —. The Contractoris responsible forconfirming Title 24complianceforall applications, including installation of Occupancy Sensors where applicable. **'*The Contractor is responsible for the setup, calibration, and positioning of the Ephesus Lighting Fixtures tie.` ee " r netVritSrk 12-6 25F-19 AppendN B� ResponsNHty Matrix 29V-20 . ......... . FEE SCHEDULE (OR) RATES AND CHARGES 25F-21 #9544v3 DIGITAL MODEL RENDERING QTY DESCRIPTION PRICE PER TOTAL PRICE UNIT 5 Lithonia OLWX1 LED 13W 40K DDB (DLC standard)* $128 $640 72 Nila Sport Lights FL06-600 (DLC premium)* $1,099 $79,128 9 RAB 78W Flood Light + MS (FXLED78TN + SMS500)* $647 $5,823 4 20W RAB Canopy(VANLED 20 N)* $209 $836 1 Lighting Designs Included Included 1 Installation $ 3 9 999 $ 3 9 999 1 Removal and disposal of existing lights $489 $489 1 Volume Discount on Lights 5% $4 321 1 ....... - - ._ ._.._,. Hazardous Material Disposal ... - ....-... Included Included (recycling of existing system) GRAND TOTAL $122,594 Optional Network Control System (internet accessible) with 1 Daylight Grandmaster and sophisticated time of day $19,822I $19,822! scheduling *All specified lighting fixtures are DLC listed, see pages 33-36 for details Confidentiality notice: Unit price, total price and volume discount are Nila trade secrets and should not be included in the public record. Pricing is valid for 120 days from the date of submission. 24 25F-22 25F-23 995440 *AV NIAIII aI SANTA ANAJEROME PARK OBF CALCULATION Item Amount Source Rate $ 0.07 From OBF Approval Estimated Savings 62,725.00 calculated Annual $ savings $ 4,499.89 calculated Monthly $ savings $ 374.99 calculated Estimated Project cost $ 140,983.10 From Proposal Estimated total Rebate Incentive $ 10,663.25 calculated Loan $ 130,319.85 calculated Actual Loan Term Months 348 calculated Actual Loan Term Years 28.96 calculated Loan Length Limit 120 From OBF Approval Applicable EUL 144 From OBF Approval N(,t Amount for Finan(:inp 44,998,92 cap c,uIaIed Out of locket $ 85,320.94 calculated 25F-24 *:/:I1-1hdPA On -Bill Financing Agreement Local Government/InstitutionaT Customer Projects This On -Bill Financing Agreement ("OBF Agreement") is entered into on 20 (the "Effective Date") by and between the undersigned customer ("Customer") and Southern California Edison Company ("SCE") (each a "Party," collectively the "Parties"). Recitals 1. Customer and SCE entered into the Energy Management Solutions Incentives Application for Business Customers on or about , 20 and if applicable, the Customized Solutions Agreement (individually or collectively referred to as "EMS Agreement"), which is/are attached hereto and incorporated herein by reference. 2. Customer owns, leases or rents the property(s) listed in the EMS Agreement as the Site(s) and maintains a service account(s) with SCE for electric service. Customer has completed installation of eligible energy efficient equipment ("Equipment") at the Site(s) as set forth in the EMS Agreement and has accepted the equipment as being operational and in good working order. 3. In Decision 12-11-015, the California Public Utilities Commission authorized SCE to provide zero -percent interest financing for the installation of certain energy efficient equipment, which is to be repaid over a specified period through the Customer's electric utility bill(s) ("On -Bill Financing"). 4. Customer desires to enter into this OBF Agreement in order to participate in SCE's On -Bill Financing program and Customer agrees to repay SCE the Amount Financed (as defined under "Loan Terms", below) through the Customer's SCE utility bill(s) pursuant to the terms and conditions of this OBF Agreement. NOW, THEREFORE, in consideration of the mutual promises and covenants contained herein, the Parties agree as follows: 1 71"IT�- , IIIII 0 1TIiiL 1i Defined Terms: Except as the context otherwise requires, capitalized terms used in this OBF Agreement without definition shall have the same meanings as are set forth in the EMS Agreement. Amount Financed: Within thirty (30) days after the Effective Date, SCE will provide a payment for the Amount Financed to Customer or to a third -party payee designated by Customer under the Loan Terms, below. Customer's designation of a third -party payee may not be changed or revoked. Loan Terms: Amount Financed $ .00 "Amount Financed" Interest Rate: 0% Fees: 0 Months to Pay: First Month Payment Remaining Monthly $ Payments: Service Account to be Billed': Designated Third- PartPayee if any): Address of Designated Third- PartPayee: 1 If more than one Service Account will be billed, information regarding the Service Account number and monthly payment is included in Schedule A attached. Form 14-914 04/2016 25F-25 *:/:I1-1hdPA Promise to Pay: Customer promises to pay SCE the Amount Financed in equal monthly installments as set forth in the section above and/or Schedule A (Customer's "Loan Obligation"). The first Monthly Payment of Customer's Loan Obligation will appear within sixty (60) days from the Effective Date on Customer's SCE utility bill(s) for the Service Account(s) listed above. The Parties expressly acknowledge and agree that funding for the OBF Loan Obligation repayment shall not be raised by the levy of additional taxes but shall instead be obtained by Customer's savings in energy costs paid for solely by the loan proceeds. The Parties further acknowledge and agree that energy savings from conservation measures are not susceptible to precise calculation and actual savings may vary according to weather and utility rates, among other things. Therefore Customer's energy savings have been determined at the outset of this Agreement and calculated by comparing estimates of energy usage for the facilities in question with and without the conservation measure, as set forth specifically in the EMS Agreement. Customer's actual future energy savings are not guaranteed and the OBF Loan Obligation must be repaid in full irrespective of actual future SCE utility bill(s) amounts. Manner of Payment: Customer's Monthly Payment amount will appear as a line item labeled "EE/OBF Installment Charge" on the monthly SCE utility bill(s) for Customer's Service Account(s). Customer may pay the Loan Obligation in the monthly installments or pre -pay the Loan Obligation in one lump sum without penalty, but pre -payments for less than the remaining balance will not be allowed. Customer's Loan Obligation will appear on Customer's monthly SCE utility bill(s) for the number of months set forth above, or until the Loan Obligation is paid in full by Customer, whichever occurs first. Customer shall make payments to SCE as directed in the SCE utility bill(s). Partial Payments: If Customer is unable to make a full payment of the Loan Obligation in any given month, payment arrangements may be made at SCE's sole discretion. Any partial payments will be applied in equal proportion to the energy charges and the Loan Obligation, and Customer will be considered to be delinquent and in default of both the energy bill and the Loan Obligation. Late Payments: No late payment charges or interest will be assessed for delinquent payments on the Loan Obligation. However, SCE may assess late payment charges for delinquent payments of energy charges pursuant to SCE's Rule 9 which is incorporated herein by reference. Returned Payments: SCE may require payment of a $7.00 Returned Check Charge for any check returned from Customer's financial institution unpaid. The Returned Check Charge will also apply to any forms of payment that are subsequently dishonored. Discontinuance of Service: Amounts due under this OBF Agreement will be amounts deemed due under each SCE utility bill to the Customer's Service Account(s), and a default under this OBF Agreement will be treated as a default under the Customer's Service Account(s). Customer's Loan Obligation is subject to the discontinuance provisions of SCE's Rule 11, Discontinuance and Restoration of Service, Section B, Nonpayment of Bills or Summary Bills which is incorporated herein by reference. Breach and Acceleration: Any breach by Customer under the EMS Agreement or this OBF Agreement shall constitute a breach under all of the above referenced agreements. For purposes herein, SCE may determine the OBF Agreement to be breached and Customer to be in default if Customer: (1) sells, assigns or otherwise transfers ownership, possession or title of the Site(s) or the Equipment unless passed by operation of law to a successor government department or agency that remains a customer of SCE, (2) fails to pay the Monthly Payment amount when due, (3) closes, discontinues or otherwise causes the termination of the Service Account(s), or (4) otherwise breaches this OBF Agreement and/or the EMS Agreement, and the breach is not cured as specified therein. Notwithstanding anything to the contrary in the EMS Agreement, a breach and default as set forth in this section shall not be subject to any additional cure period. To the extent permitted by law, following a breach as set forth in this section, SCE shall have the right to declare the entire unpaid balance of the Loan Obligation immediately due and payable. (D) (D) Form 14-914 04/2016 25F-26 *:/:I1-1hdPA Modification: Any change to this OBF Agreement must be in writing and signed by Customer and SCE, except that during any given month, if Customer is unable to make full payment on the Loan Obligation, payment arrangements may be made at SCE's sole discretion without modifying this OBF Agreement in writing. Any written modification or amendment will not be effective unless and until signed by SCE or such condition is waived by SCE in its sole and absolute discretion. Term and Termination: It is the Parties intent that the term of this OBF Agreement and the EMS Agreement run concurrently. Therefore, the OBF Agreement shall continue in effect until the Loan Obligation is paid in full. Assignment: Notwithstanding anything herein, customer may not assign its rights or delegate its (T) duties under this Agreement without SCE's express written consent. (T) Additional Representations: Each person signing this OBF Agreement represents and warrants that he or she is duly authorized and has the legal capacity to execute and deliver this OBF Agreement on behalf of Customer, and to perform their obligations under this OBF Agreement. Customer further represents and warrants that if it is a legal entity, it is in good standing in its state of formation. Miscellaneous: Except as otherwise specifically provided herein, all terms, provisions, covenants, representations, warranties, agreements and conditions of the EMS Agreement shall remain unchanged and in full force and effect. Should a conflict exist between this OBF Agreement, the EMS Agreement and the documents incorporated by reference, this OBF Agreement shall control. This OBF Agreement shall be construed and interpreted in accordance with, and shall be governed and enforced in all respects according to, the laws of the State of California. This OBF Agreement may be executed in one or more counterparts, each of which shall be deemed an original but all of which shall constitute one and the same instrument. If any one or more of the provisions contained in this OBF Agreement shall for any reason be held to be invalid, illegal or unenforceable in any respect, then this OBF Agreement shall be construed as if such invalid, illegal or unenforceable term or provision had never been contained herein and all other provisions of this OBF Agreement shall be construed to remain fully valid, enforceable and binding on the parties. The Recitals set forth above are hereby incorporated herein by reference. [Remainder of page intentionally left blank] Form 14-914 3 04/2016 25F-27 *:/:I1-1hdPA IN WITNESS WHEREOF, the Parties have executed this OBF Agreement as of the Effective Date. Customer: Authorized Representative: Title: Signature: Date: Business Address: Telephone No. Fax No. E-Mail Address: Form 14-914 04/2016 25F-28 Southern California Edison Company: Authorized Representative: Title: Signature: Date: Business Address: Telephone No. Fax No. E-Mail Address: El *:/ : 11-1 Ill WA SCHEDULEA Customer Name: OBF Loan Number: Site Service Account Number OBF Billing Repayment Service Account Number 1st Monthly OBF Loan Payment Remaining Monthly OBF Loan Payments X-XXX- XXXX-XX X-XXX-XXXX-XX $XX.XX $XXX.XX per month for X months Total Monthly Repayment $XX.XX $XXX.XX per month for X months Form 14-914 5 04/2016 25F-29 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 1, 2019 TITLE: APPROVE AGREEMENT WITH ALLIANCE ELECTRICAL SYSTEMS, INC FOR A LIGHTING RETROFIT PROJECT AT ROSITA PARK FOR AN AMOUNT NOT TO EXCEED $206,406.46 AND APPROVE AN ON -BILL FINANCING AGREEMENT WITH SOUTHERN CALIFORNIA EDISON FOR AN AMOUNT NOT TO EXCEED $178,987.10 PLUS $26,848.07, IF NEEDED {STRATEGIC PLAN NO. 6, 2A} CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 131 Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO /s/ Kristine Ridge FILE NUMBER CITY MANAGER RECOMMENDED ACTION 1. Authorize the City Manager to execute an agreement with Alliance Electrical Systems, Inc. for the lighting retrofit project at Rosita Park for an amount not to exceed $206,406.46, which includes a 15% contingency, for the period October 1, 2019 to September 30, 2020 to be funded by an on -bill financing loan with Southern California Edison, incentive rebates and the Acquisition and Development District 1 fund, subject to non -substantive changes approved by the City Manager and City Attorney. 2. Authorize the City Manager to execute an on -bill financing agreement with Southern California Edison (SCE) to provide a loan in an amount up to $178,987.10 plus an additional $26,848.07, if needed, in no -interest On -Bill Financing (OBF) that will partially fund the lighting retrofit project at Rosita Park, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION As part of the City's ongoing efforts to identify potential cost saving, energy projects across City facilities, the Parks, Recreation and Community Services Agency (PRCSA), commissioned energy audits for Rosita Park. The Energy Network, a non-profit program funded by California utility ratepayers through the California Public Utilities Commission conducted the energy audits at no cost to the City. 25G-1 Award an Agreement for the Lighting Retrofit Project at Rosita Park and Agreement for On -Bill Financing October 1, 2019 Page 2 On May 24, 2019, the City issued a Request for Proposal (RFP) to invite qualified firms to provide a proposal to retrofit the lighting at Rosita Park. There were 83 vendors, including three located in the City of Santa Ana, notified of the project and the City received 10 proposals (none from Santa Ana). Two proposals received were determined to be unresponsive because the vendor did not provide all of the required elements of the RFP. An evaluation committee consisting of representatives from PRCSA reviewed and rated the proposals according to the criteria listed in the RFP, which includes firm/team experience, relevant project experience, manner for performing service and fee. The results of the RFP evaluation were as follows: Vendor Score Alliance Electrical System, Inc. 252 Nila Sports 248 Electro Construction 233 RenewA a Energy Solutions, Inc. 233 SACTOWN CONTRACTORS 227 Baker Electric 222 VT Electric, Inc. 212 SiteLo iQ 206 Based upon the proposals and interview results, the review panel selected Alliance Electrical Systems, Inc. for contract award. The City proposes to enter into an agreement from October 1, 2019 to September 30, 2020 for the installation of lights at Rosita Park in an amount not to exceed $206,406.46, which includes a 15% contingency. Proposal Amount Contingency Amount Total Agreement Amount $179,483.88 $26, 922.58 $206,406.46 Southern California Edison (SCE) On -Bill Financing Program PRCSA staff applied for and secured partial funding for the project from SCE through their on -bill financing program, which is a no -interest loan program paid back from savings in the utility cost over a period of years. For example, if the utility costs decrease by $100 per month, SCE will receive that amount until the loan payoff. The net result is no change in the utility bill until the loan payoff. Below is the estimated calculation of the amount SCE will finance. Estimated Annual Savings from Use of New Lights Loan Payback period Estimated Amount to be Financed $17,898.71/Year 10 years $178,987.10 25G-2 Award an Agreement for the Lighting Retrofit Project at Rosita Park and Agreement for On -Bill Financing October 1, 2019 Page 3 The City is requesting approval of a loan amount up to $178,987.10 plus 26,848.07, if needed. The calculation for the final financing amount is determined at the end of the project after SCE performs an audit of the actual number of lighting fixtures that are in place at project completion. Incentive Rebates Additionally, as part of the program the City anticipates receiving $15,902.48 in incentive rebates from SCE. SCE pays the contractor directly for the financed amount and incentive amount, thereby reducing the upfront out-of-pocket costs to the City. The Acquisition and Development District 1 fund will cover the balance of the costs. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #6 - Community Health, Livability, Engagement & Sustainability, Objective #2 (Address deferred maintenance on City buildings and equipment), Strategy A (Prepare a Deferred Maintenance Plan that assesses safety, adequacy, and liability implications, and estimates repair costs to be programmed in the responsible agency's future budget). FISCAL IMPACT Aareement with Alliance Electrical Systems, Inc.: SCE estimates to pay $194,889.58 ($178,987. 1 0-loan, $15,902.48-rebate) of the total $206,406.46 agreement directly to the vendor. Funds have been budgeted and are available for the balance of the agreement ($11,516.88) in the following account for the specified year: Fiscal Accounting Fund Accounting Unit, Account Amount Year Unit -Account # Description Description 31113260- Acquisition and Expenditure, Acquisition and FY 19-20 66220 Development Development, Improvements Other $11,516.88 Than Building The final loan amount will be determined at the end of the project and therefore the amount funded by the City may be more or less than $11,516.88, but will not exceed the amount of the agreement to the vendor. 25G-3 Award an Agreement for the Lighting Retrofit Project at Rosita Park and Agreement for On -Bill Financing October 1, 2019 Page 4 On -Bill Financing: The anticipated payback period starts in July 2020. Funds for the loan repayments will be budgeted and made available in the following account: Fiscal Accounting Fund Accounting Unit, Account Year Unit -Account # Description Description Amount FY 20-21 01113250- General PRCSA-Park Facilities $17,898.71/year to 67003 Fund OBF Payment $178,987.10 Total FY 29-30 APPROVED AS TO FUNDS AND ACCOUNTS: Lisa Rudloff Kathryn Downs, CPA Executive Director Executive Director Parks, Recreation, and Community Services Finance and Management Services Agency Agency Exhibits: 1. Agreement with Alliance Electrical Systems, Inc. 2. OBF Loan Agreement — Sample Form 25G-4 CONTRACTOR AGREEMENT FOR LED LIGHTING RETROFIT PROJECT AT ROSITA PARK THIS AGREEMENT is made and entered into this 1 st day of October, 2019 by and between Alliance Electrical Systems, Inc, a California Corporation, (hereinafter "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 (hereinafter "City"). RECITALS A. The City issued a Request for Proposals ("RFP") (RFP No. 19-057) and Addendums 1-3 for furnishing labor and materials to retrofit the lighting at City's Rosita Park by installing LED lighting ("the project"). B. On July 1, 2019, Contractor submitted a proposal, which thereafter ranked the highest in the evaluation process. C. The parties acknowledge that the funding for the project is On Bill Financing ("OBF") proceeds and incentives from Southern California Edison ("Edison"). Edison has approved the project for OBF proceeds. D. The City desires to retain a Contractor having special skill and knowledge in the field of retrofitting lighting fixtures through the installation of LED lighting at City's Rosita Park. E. Contractor represents that Contractor is able and willing to provide such services to the City. F. 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 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 Contractor shall furnish labor and materials to retrofit the lighting at City's Rosita Park it the City of Santa Ana by installing LED lighting as set forth in the General Scope of Services and Requirements of RFP No. 19-057 attached hereto as Exhibit A, all corresponding Addendums issued for the RFP, and Contractor's proposal submitted July 1, 2019, in response to RFP No. 19-057 incorporated by reference as if completely set forth in full in this Agreement. No additions or change in scope for purposes of utilizing the contingency compensation will be made without the written approval of the Executive Director of Parks, Recreation, and Community Services Agency. Contractor will be responsible for any costs incurred outside of the scope of services without written approval. #95440 2 5 G -5 2. COMPENSATION City agrees to pay, and Contractor agrees to accept as total payment for its services, the rates and charges identified in Exhibit B. The total sum to be expended under this Agreement shall not exceed $206,406.46, which includes $179,483.88 plus a 15% contingency of $26,922.08 to be used at the City's sole discretion during the term of this Agreement. b. Contractor acknowledges that this project is funded by cash incentives and OBF proceeds from Edison. City will not pay invoices from Contractor until after Contractor receives all Edison allocated OBF proceeds and incentives for the project. Once the project work is completed, City will enter into an On Bill Financing Agreement with Edison and Edison will pay Contractor directly. City makes no guarantees on the timeline for Edison's OBF process. c. City retained an energy consultant, the Energy Network, to assist with this project. Attached hereto as Exhibit "C" is the Energy Network's OBF calculations for the project. d. In the event that the OBF proceeds and/or Edison cash incentives do not cover the compensation set forth in Section 2a of this Agreement, City will pay the remainder due to Contractor not to exceed the total Agreement compensation agreed upon in Section 2a of this Agreement. e. Certified Payroll Reports are required at project completion and final payment will not be processed until the Certified Payroll Reports are submitted on the forms approved by the California Department of Industrial Relations. 3. TERM This Agreement shall commence on the date first written above and terminate on September 30, 2020, unless terminated earlier in accordance with Section 15, below. 4. 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. 5. 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 25G-6 #95440 *AV :11AIII a1 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. 6. 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: 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. Contractor shall supply City with a fully executed additional insured endorsement on a form approved by the City Attorney. 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, 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. 25G-7 #95440 (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. 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. 7. FINGERPRINTS AND BACKGROUND CHECK Contractor, and any employees, subcontractors or substitutes, shall arrange for and submit their fingerprints for a criminal background check through the Department of Justice through the City's Human Resources Department process. Contractor shall be responsible for all charges associated with fingerprinting. Contractor shall not perform any services pursuant to this Agreement until clearance is received and Contractor is notified by the City's Parks, Recreation and Community Services Department. 8. PREVAILING WAGE 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. 9. COMMUNITY WORKFORCE AGREEMENT On August 15, 2017, the Santa Ana City Council approved a Community Workforce Agreement ("CWX) with the Los Angeles/Orange Counties Building and Construction Trade Council and the Signatory Craft Councils and Unions. The provisions of the agreement would apply to all construction and major rehabilitation work pursuant to "Prime Multi -Trade" construction contracts that exceed $250,000 and all subcontracts from these prime multi -trade contracts. The agreement also applies to all 'Prime Specialty" contracts (single trade contracts) that exceed $100,000 and all subcontracts from these prime specialty contracts. Specialty contracts are contracts for project work with a specialty contractor which is either limited to a particular single trade or craft or limited to a singular scope of work. 25G-8 #95440 Contractors working on projects over the above thresholds must, in filling craft job requirements, utilize and be bound by the registration facilities and referral systems established and authorized by the Unions who are signatory to the agreement. This is commonly referred to a Union hiring hall. Contractors retain the right to reject any applicant referred to them through the job referra system, determine competency of all employees, to determine the number of employees required, and the duties of such employees. If any Union's registration and referral system does not fulfill the requirements for specific classifications requested by any Contractor within 48 hours, the Contractor may employ applicants meeting such classifications from any other available source. Contractor will work with the City's Labor Compliance Contractor to ensure compliance with the CWA. 10. INDEMNIFICATION Contractor agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, 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 direct or indirect operations of the Contractor or its contractors, 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 out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Contractor. This Section will survive termination and completion of the Agreement. 11. INTELLECTUAL PROPERTY INDEMNIFICATION Contractor 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 Contractor to the City pursuant to this Agreement. This Section will survive termination and completion of the Agreement. 25G-9 #95440 12. 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 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. This Section will survive termination and completion of the Agreement. 13. 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. 14. CONFLICT OF INTEREST CLAUSE Contractor 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 specified under this Agreement. 15. 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 Fax 714- 647-6956 25G-10 #95440 With courtesy copies to: And To Contractor: Executive Director of Parks, Recreation and Community Services Agency City of Santa Ana 20 Civic Center Plaza (M-75) P.O. Box 1988 Santa Ana, California 92702 Fax 714-571-4221 City Attorney City of Santa Ana 20 Civic Center Plaza (M-29) P.O. Box 1988 Santa Ana, California 92702 Fax 714- 647-6515 Mr. Chris Falls, President Alliance Electrical Systems, Inc. 12520 High Bluff Drive, Unit 312 San Diego, California 92130 Email: chrisf@alliancelectricalsystems.com 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. 16. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Contractor, 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. 25G-11 #95440 17. 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. 18. 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 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. 19. DISCRIMINATION Contractor 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. Contractor affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 20. 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. 21. 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 25G-12 #95440 Agreement. 22. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow 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: DAISY GOMEZ Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney D BY: -ems. A-'- ew'w-uc Laura A.,Rossini Senior Assistant City Attorney RECOMMENDED FOR APPROVAL: LISA RUDLOFF Executive Director Parks. Recreation and Community Services Agency CITY OF SANTA ANA KRISTINE RIDGE City Manager CnNTRACTnR Alliance Electrical Systems, Inc. Christopher Fall President #95440 25G-13 EXHIBIT A SCOPE OF SERVICES 25G-14 #9544v3 IItlMM EXHIBIT I 0 . 'Lighting Contractor Scope of Work City of Santa Ana - Rosita Park 706 N Newhope St, Santa Ana, CA 92703 The Energy Network Project ID: A,38CLT10 Provided by: 1"RC En�,,'3�rgy Stervices Scope of Work Developed by. - John Rossi, FIE Sergici9 Corona No'v'-rnber15*. 2018 " 2 25G-1 5 E illimenaminimim EXHIBIT 7 A Project Supported by The Energy Network The Energy Network, administered by Los Angeles County was authorized by the California Public Utilities Commission to help eligible public agencies in Southern California harness their collective action, save energy, reduce operating costs and protect precious resources. To expand public agency participation in utility energy efficiency programs, The Energy Network is offering a range of free energy efficiency services to assist public agencies with accelerating energy retrofits. The lighting retrofit of the City of Santa Ana — Rosita Park is being supported by The Energy Network. The services provided as Construction Management Support are defined on a separate document titled Roles and Responsibilities Matrix. Please refer to this document to better understand the relationship and role of The Energy Network Project Manager and assigned Energy Consultant. Participation of The Energy Network is entirely at the discretion of the City of Santa Ana and The Energy Network may modify or terminate its services based on funding availability. As technical consultants TRC Energy Services remains product and vendor neutral. The products presented in this document represent examples of the possible products that could be used for the project. The products were chosen based on their technological feasibility, efficiency and impact on the project economics. 2516' 16 nm��ammrwaawwi��w�a�areww.:tu�e�a amu rim anu����uua�rw�rma�r u 7 The Energy Network 1. Summary of Scope of Work 1.1 Background The City of Santa Ana is pursuing a number of lighting retrofits at several of their facilities. This document focuses on the proposed lighting fixture and controls scope of work for the Rosita Park's exterior lighting. Rosita Park is a public park that is city owned and operated. The park consists of a baseball field, a community center, and a public pool. Additional supporting documentation including an area by area breakdown of lighting equipment can be found in the following appendices: • Appendix A: Lighting Inventory • Appendix B: Roles and Responsibilities Matrix 1.2 General Requirements The following should be clearly stated in and/or provided with all bids: a) Contractor shall provide copies of a valid California C-10 Electrical license at a minimum. b) As needed, Contractor is responsible for finalizing and revising fixture model numbers. For example, if the specified LED driver is not compatible with the on -site electrical service, the contractor is responsible for updating the model number and specifying the proper driver. Any fixture model updates need to be approved by City, prior to equipment order. c) Prevailing wage labor costs to be used for project implementation. d) All scheduling of work shall be done through the City's project contact. e) All work performed shall meet or exceed any applicable electrical code requirements. f) Any existing electrical code violations relevant to systems being retrofitted shall be brought to the attention of the City once discovered. g) Clean-up, removal of old equipment, and/or recycling fees are to be included. h) Contractor must meet appropriate insurance and bond requirements outlined by the City. i) Any other cost of business fees/expenses associated with performing City work are to be included in the bid. j) Provide factory start up and training (if necessary) to ensure proper functionality of new lighting equipment and controls. k) All work shall be warranted against defects in material and workmanship for a period of one year from the date of acceptance. Any applicable warranty information beyond this should be stated and provided upfront. 1) The contractor is required to provide a detailed and itemized invoice that clearly states the quantity of each fixture installed. Additionally, the invoice shall show a breakdown of material, labor, tax, shipping, and any other applicable project costs. _ ne l�''net �117 P. GviGc s r.+, a„,�g The Energy Network m) It is the Contractor's responsibility to submit a final version of the Lighting Audit Table, Attachment A in parallel with the submittal of the Cost Proposal. Any revisions required to the Scope of Work must be clearly indicated in the final Lighting Audit Table and reflected in the Cost Proposal. The final Lighting Audit Table serves to inform the Agency. n) Contractor will be compensated for work performed and fixtures installed. Any increase on the Base Price due to larger inventory will require written approval by the Agency and will follow procedures set forth for change orders. Any decrease on Base Price due to smaller inventory will result in a lower Base Price to the Contractor. o) The Contractor shall conduct all work between in the time window established after the contract is awarded. p) The Contractor shall comply with safety requirements and practices as outlined in accordance with Agency requirements and California Occupational Health and Safety Administration (Cal/OSHA). q) The Contractor shall do all that is necessary to maintain a safe working environment for Contractor's employees, Agency and facility employees and the general public present. r) The Contractor shall work with the Agency facility staff to understand and abide by any site -specific security procedures. s) The Contractor shall clean up any construction dust, dirt and debris from work surfaces or equipment after work is completed each day and prior to occupancy. t) The Contractor shall be very careful to leave the facility with no damage to its structure, contents, existing finishes, and with no evidence of cutting or patching, and with all fixtures and lenses cleaned. u) The Contractor is responsible for securing all necessary permits, including Title 24 energy code documentation and compliance permit, and shall abide by local laws and regulations. v) Prior to ordering of equipment and fixtures, Contractor is to verify fixture quantities, types and installation needs, including specifying equipment that complies with existing electrical service. Final project invoice price will be based upon the quantity of each fixture type installed multiplied by the unit price for that fixture. w) Prior to ordering of lighting fixtures, Contractor is to verify proposed are listed in the Design Lights Consortium (DLC). Contractor is to propose a valid replacement for fixtures that are not DLC certified. x) The chosen contractor will be required to register with Southern California Edison as a Trade Professional (Trade Pro). Directions to register can be found at: https //sceonlineapr comICAASupport/Default.aspx. Please note that contractor will NOT be required to produce a Project Feasibility Study or Energy Efficiency Project Influence Job Aid. 256518 The Energy Network Appendix A: Lighting Inventory Site Dewriptlon Exhiir, Light, Sytlam Boosted Lighting System Title 24 Requlmmantat— ITEM k Locatlon antllor Room C Room Type Solutlon Fst Coal Fixture cascdpllon Es. Pst Ex. hWl Ex. Total Propoaed Fixture Description' Pmp Fist Omupenq Bodoni Cade Cly." Fxt kyi Qi Ephesus 551 Spons Lighting 6] N 1 Ball Field Exterior LT-85834 HPS1000PM 1000W HIPS Story Lighting -Pole Mount 67 1.ID _ AD-550-&IB46ELK ""' Eye Lighting saw LEDIOC Retrofit 16 N 2 Pad walkways Eztenor LT-11322 MM250PM 25OW Metal Halide Pole Mount 16 0.30 LE5-50-740-HWIn x UNV- R 1352W Flood Light+MS 23 y 3 Building Extent Exterior LT-19132 MH175WM 175W Metal Halide Wall Mounted Floods 23 0.22 FFLED52N * SMS56O *The Contractor is responsible for finalizing fixture model numbers **The Contractor is responsible for confirming all fixture counts, pre and past case. * **The Contractor is responsible for confirming Title 24 compliance for all applications, including installation of Occupancy Sensors where applicable. --*The Contractor is responsible for the setup, calibration, and positioning of the Ephesus Lighting Fixtures *****The Contractor is responsible for determining which optic to use on the Ephesus Lighting Fixtures "en er"' ne Vhl.:nt ,i 12-6 1 a*5 emsr � ,.t.a�rr.en, 25G-19 Construction .........-- ....__...._. .... -------------- Secures Construction Permit - S .....------...------ P Prepares Construction Schedule R/A P Perform Construction P Submittais/CDs and RFIs - S - ---._.. R/A -------- ------- R P Review & Approve Invoices P Process Invoices P ------------------ - ----- --- ... --- - -- -- Inspection of Work - ..----- --- - P _.._.--------------------- Supplemental Work/Change Orders S P/A S P/A Prepare Meeting Agendas/Minutes P Attend Project Meetings S P S P Develop Punch Lists S P R Correct Punch List Items R/A P O&M Manuals and I raining S R/A S/R P FinaIInspection P/A P Acceptance P/A Lighting/Mechanical As Built S R/A S/R P ------------------- -_---- __. Commissioning - - ------..----- -------- Startup checklists R R/A S/R P Functional Performance Test Procedures R R/A S/R P Startup Documentation R R/A S/R ( P f-undionalPertornsance Tests R R/A S/R P Systems IVlanual R R/A S/R P m m a v u m a ae m 2516' 20 EXHIBIT B FEE SCHEDULE (OR) RATES AND CHARGES 25G-21 #95440 RFP Led Lighting Retrofit Rosita Park July 1, 2019 ALLIANCE Ej PROPOSAL 12521 Hisdl Bluff Dr. sniie 312 Smi Dieeo. CA 97.111 Lic-r-1031056 66US10-8299 To PhmEe Fu Dnfe City of Santa Ana 714-571-4218 Juh 1, 2019 TO Fame L... two Packs. Recreation and Communiti Services AgeucL 20 Cisic Center Plaza P.O. Box 1988 CITY- OF SANTA ANA Sasnta Ana. California 92702 REQUEST FOR PROPOSAL LIGHTING RETROFIT AT ROSITA PARK RFPNO.: 19-057 utention Frank. Annvo Email tarrovoLgsanta-ana.org THIS PROPOSAL IS TO INCLEDE THE FOLLORTNG SCOPE OF Al ORK PER LIGHTING RETROFIT AT ROSITA PARK RFP NO.: 19-05' ADDEADI M NO, 3, AES Lndll prrnide and uwall the fcCRixa package per the Appendix A Lielrine IncenToy. Included in muproposal will be the fcllomn.gitenrs: I. Construction Permits 2, C'otulntction Schedlfle 3, Submittals A. Correction of P uichh t Items F_ O CAQ T{anuals and I7ianins 6. In>pectoac, 7. Aa-Buiira B. Equipment Rental 11. Prerailhle %va e 17. Demolition and Disposal Itemizied list of In per unit item is as folloa'edi 1. Ephesus i50YY All Field Sports LED Fixttu'e $4,523.87 ? Eye Lighting 50W Pole Mount SS613.14 3. RAB 50W Flood Light with Sensor S491.00 Rco0.0aG<2'iL5. ,0 T.*1bA9L1iERL1S.1.'JV �tiCfi-COgci 6ALlU8D.1'L�V.d13E ]dCt2 `. *FI<TPNs. iFid 3FL�4W(Cp S179.483. ONE RE NDRED SEVENTY NINE THOU SAND FOUR HI'NDRED EIGHTY THREE DOLLARS AND EIGH IT EIGHT CENTS. 3.ae-.s...,c.c.rx:.u��zx,--,_+.nv. r�w'Ja ^aur•cE*.'Fwv.acv-sv3.Dc- P.CC �nJ�(vQ{q z ,-,�,.0 P "11:Fli OF B-.LHE.�3C Al - 4iv vttaA90-1tY'IE Vfl.i. �JiT O�b'5?RP's'SA J �.+ C8] J.. V.].:.0 .Jx..-3C: +?xt .3£'Cv._..y.i.�i Fd :.V'.. •..PA:.'� a:r�>aec ift'AI.L tip'r. ]i..k]-ll N�:3E1 i.,Utt 'F:l hlT..;.^: tODays 31v9 l AJrIV�' kF�c Sa F�1LTO.RS 1SD lRr .E'dc&Y rCCEP'[PSI O ..R">LTrICHL2D �3TE021CC2.P-.4NCE ..C.iA.-_ 2;7f)C( t. 25-22 m 25G-23 #9544v3 *AV NIAIII aI SANTA ANA ROSITA PARK OBF CALCULATION Item Amount Source Rate $ 0.19 From OBF Approval Estimated Savings 93,544.00 calculated Annual $ savings $ 17,898.71 calculated Monthly $ savings $ 1,491.56 calculated Estimated Project cost $ 206,406.46 From Proposal Estimated total Rebate Incentive $ 15,902.48 calculated Loan $ 190,503.98 calculated Actual Loan Term Months 128 calculated Actual Loan Term Years 10.64 calculated Loan Length Limit 120 From OBF Approval Applicable EUL 144 From OBF Approval V. lAmo nl Imr i'in"In(ing, 178,')8/ 01) Cal( udaed Ow. of locket 11 516,89 calculWed 25G-24 *:/:I1-1hdPA On -Bill Financing Agreement Local Government/InstitutionaT Customer Projects This On -Bill Financing Agreement ("OBF Agreement") is entered into on 20 (the "Effective Date") by and between the undersigned customer ("Customer") and Southern California Edison Company ("SCE") (each a "Party," collectively the "Parties"). Recitals 1. Customer and SCE entered into the Energy Management Solutions Incentives Application for Business Customers on or about , 20 and if applicable, the Customized Solutions Agreement (individually or collectively referred to as "EMS Agreement"), which is/are attached hereto and incorporated herein by reference. 2. Customer owns, leases or rents the property(s) listed in the EMS Agreement as the Site(s) and maintains a service account(s) with SCE for electric service. Customer has completed installation of eligible energy efficient equipment ("Equipment") at the Site(s) as set forth in the EMS Agreement and has accepted the equipment as being operational and in good working order. 3. In Decision 12-11-015, the California Public Utilities Commission authorized SCE to provide zero -percent interest financing for the installation of certain energy efficient equipment, which is to be repaid over a specified period through the Customer's electric utility bill(s) ("On -Bill Financing"). 4. Customer desires to enter into this OBF Agreement in order to participate in SCE's On -Bill Financing program and Customer agrees to repay SCE the Amount Financed (as defined under "Loan Terms", below) through the Customer's SCE utility bill(s) pursuant to the terms and conditions of this OBF Agreement. NOW, THEREFORE, in consideration of the mutual promises and covenants contained herein, the Parties agree as follows: 1 71"IT�- , IIIII 0 1TIiiL 1i Defined Terms: Except as the context otherwise requires, capitalized terms used in this OBF Agreement without definition shall have the same meanings as are set forth in the EMS Agreement. Amount Financed: Within thirty (30) days after the Effective Date, SCE will provide a payment for the Amount Financed to Customer or to a third -party payee designated by Customer under the Loan Terms, below. Customer's designation of a third -party payee may not be changed or revoked. Loan Terms: Amount Financed $ .00 "Amount Financed" Interest Rate: 0% Fees: 0 Months to Pay: First Month Payment Remaining Monthly $ Payments: Service Account to be Billed': Designated Third- PartPayee if any): Address of Designated Third- PartPayee: 1 If more than one Service Account will be billed, information regarding the Service Account number and monthly payment is included in Schedule A attached. Form 14-914 04/2016 25G-25 *:/:I1-1hdPA Promise to Pay: Customer promises to pay SCE the Amount Financed in equal monthly installments as set forth in the section above and/or Schedule A (Customer's "Loan Obligation"). The first Monthly Payment of Customer's Loan Obligation will appear within sixty (60) days from the Effective Date on Customer's SCE utility bill(s) for the Service Account(s) listed above. The Parties expressly acknowledge and agree that funding for the OBF Loan Obligation repayment shall not be raised by the levy of additional taxes but shall instead be obtained by Customer's savings in energy costs paid for solely by the loan proceeds. The Parties further acknowledge and agree that energy savings from conservation measures are not susceptible to precise calculation and actual savings may vary according to weather and utility rates, among other things. Therefore Customer's energy savings have been determined at the outset of this Agreement and calculated by comparing estimates of energy usage for the facilities in question with and without the conservation measure, as set forth specifically in the EMS Agreement. Customer's actual future energy savings are not guaranteed and the OBF Loan Obligation must be repaid in full irrespective of actual future SCE utility bill(s) amounts. Manner of Payment: Customer's Monthly Payment amount will appear as a line item labeled "EE/OBF Installment Charge" on the monthly SCE utility bill(s) for Customer's Service Account(s). Customer may pay the Loan Obligation in the monthly installments or pre -pay the Loan Obligation in one lump sum without penalty, but pre -payments for less than the remaining balance will not be allowed. Customer's Loan Obligation will appear on Customer's monthly SCE utility bill(s) for the number of months set forth above, or until the Loan Obligation is paid in full by Customer, whichever occurs first. Customer shall make payments to SCE as directed in the SCE utility bill(s). Partial Payments: If Customer is unable to make a full payment of the Loan Obligation in any given month, payment arrangements may be made at SCE's sole discretion. Any partial payments will be applied in equal proportion to the energy charges and the Loan Obligation, and Customer will be considered to be delinquent and in default of both the energy bill and the Loan Obligation. Late Payments: No late payment charges or interest will be assessed for delinquent payments on the Loan Obligation. However, SCE may assess late payment charges for delinquent payments of energy charges pursuant to SCE's Rule 9 which is incorporated herein by reference. Returned Payments: SCE may require payment of a $7.00 Returned Check Charge for any check returned from Customer's financial institution unpaid. The Returned Check Charge will also apply to any forms of payment that are subsequently dishonored. Discontinuance of Service: Amounts due under this OBF Agreement will be amounts deemed due under each SCE utility bill to the Customer's Service Account(s), and a default under this OBF Agreement will be treated as a default under the Customer's Service Account(s). Customer's Loan Obligation is subject to the discontinuance provisions of SCE's Rule 11, Discontinuance and Restoration of Service, Section B, Nonpayment of Bills or Summary Bills which is incorporated herein by reference. Breach and Acceleration: Any breach by Customer under the EMS Agreement or this OBF Agreement shall constitute a breach under all of the above referenced agreements. For purposes herein, SCE may determine the OBF Agreement to be breached and Customer to be in default if Customer: (1) sells, assigns or otherwise transfers ownership, possession or title of the Site(s) or the Equipment unless passed by operation of law to a successor government department or agency that remains a customer of SCE, (2) fails to pay the Monthly Payment amount when due, (3) closes, discontinues or otherwise causes the termination of the Service Account(s), or (4) otherwise breaches this OBF Agreement and/or the EMS Agreement, and the breach is not cured as specified therein. Notwithstanding anything to the contrary in the EMS Agreement, a breach and default as set forth in this section shall not be subject to any additional cure period. To the extent permitted by law, following a breach as set forth in this section, SCE shall have the right to declare the entire unpaid balance of the Loan Obligation immediately due and payable. (D) (D) Form 14-914 04/2016 25G-26 *:/:I1-1hdPA Modification: Any change to this OBF Agreement must be in writing and signed by Customer and SCE, except that during any given month, if Customer is unable to make full payment on the Loan Obligation, payment arrangements may be made at SCE's sole discretion without modifying this OBF Agreement in writing. Any written modification or amendment will not be effective unless and until signed by SCE or such condition is waived by SCE in its sole and absolute discretion. Term and Termination: It is the Parties intent that the term of this OBF Agreement and the EMS Agreement run concurrently. Therefore, the OBF Agreement shall continue in effect until the Loan Obligation is paid in full. Assignment: Notwithstanding anything herein, customer may not assign its rights or delegate its (T) duties under this Agreement without SCE's express written consent. (T) Additional Representations: Each person signing this OBF Agreement represents and warrants that he or she is duly authorized and has the legal capacity to execute and deliver this OBF Agreement on behalf of Customer, and to perform their obligations under this OBF Agreement. Customer further represents and warrants that if it is a legal entity, it is in good standing in its state of formation. Miscellaneous: Except as otherwise specifically provided herein, all terms, provisions, covenants, representations, warranties, agreements and conditions of the EMS Agreement shall remain unchanged and in full force and effect. Should a conflict exist between this OBF Agreement, the EMS Agreement and the documents incorporated by reference, this OBF Agreement shall control. This OBF Agreement shall be construed and interpreted in accordance with, and shall be governed and enforced in all respects according to, the laws of the State of California. This OBF Agreement may be executed in one or more counterparts, each of which shall be deemed an original but all of which shall constitute one and the same instrument. If any one or more of the provisions contained in this OBF Agreement shall for any reason be held to be invalid, illegal or unenforceable in any respect, then this OBF Agreement shall be construed as if such invalid, illegal or unenforceable term or provision had never been contained herein and all other provisions of this OBF Agreement shall be construed to remain fully valid, enforceable and binding on the parties. The Recitals set forth above are hereby incorporated herein by reference. [Remainder of page intentionally left blank] Form 14-914 3 04/2016 25G-27 *:/:I1-1hdPA IN WITNESS WHEREOF, the Parties have executed this OBF Agreement as of the Effective Date. Customer: Authorized Representative: Title: Signature: Date: Business Address: Telephone No. Fax No. E-Mail Address: Form 14-914 04/2016 25G-28 Southern California Edison Company: Authorized Representative: Title: Signature: Date: Business Address: Telephone No. Fax No. E-Mail Address: El *:/ : 11-1 Ill WA SCHEDULEA Customer Name: OBF Loan Number: Site Service Account Number OBF Billing Repayment Service Account Number 1st Monthly OBF Loan Payment Remaining Monthly OBF Loan Payments X-XXX- XXXX-XX X-XXX-XXXX-XX $XX.XX $XXX.XX per month for X months Total Monthly Repayment $XX.XX $XXX.XX per month for X months Form 14-914 5 04/2016 25G-29 REQUEST FOR L COUNCIL ACTION Qt, CITY COUNCIL MEETING DATE: OCTOBER 1, 2019 TITLE: APPROVE SETTLEMENT AGREEMENT WITH THE ORANGE COUNTY CATHOLIC WORKER TO RESOLVE CLAIMS PERTAINING TO HOMELESSNESS IN UNITED STATES DISTRICT COURT CASE NO. SACV 18-0155-DOC (JDE) (STRATEGIC PLAN NO. 5 ) /s/ Kristine Ri CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1sl Reading ❑ Ordinance on 2od Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager to execute a settlement agreement with the Orange County Catholic Worker, an unincorporated association to resolve claims pertaining to homelessness in United States District Court Case No. SACV 18-0155-DOC (JDE), subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION On January 29, 2018, a federal lawsuit was filed by the Orange County Catholic Worker, a charitable group serving poor and homeless individuals, to halt efforts by the County of Orange to remove homeless encampments along the Santa Ana Riverbed, and prevent neighboring cities from citing or arresting those individuals who violated local ordinances prohibiting camping in public areas. The lawsuit named the County of Orange, as well as the cities of Anaheim, Costa Mesa, and Orange, as defendants. The court temporarily stopped these enforcement activities until the parties reached an agreement for a more orderly process of transferring individuals from the Santa Ana Riverbed, including the provision of housing and treatment options for those who desired such services. A similar process was utilized to relocate individuals from the large homeless encampment that was then situated in the Civic Center. Following these two efforts, the parties to the litigation remained under the supervision of the court with respect to their homeless populations, and were encouraged by the court to reach a voluntary settlement for a more effective solution than would be accomplished through prolonged litigation. To influence these settlements more effectively, the City of Santa Ana elected to intervene in the litigation as a defendant. Due to the City's longstanding unilateral efforts to combat homelessness without any financial reimbursement, the City also sought to achieve a more coordinated solution 25H-1 Settlement Agreement with Orange County Catholic Worker October 1, 2019 Page 2 from the County of Orange, and all other cities in the County, by filing a lawsuit of its own against those entities. During the course of the litigation, the federal appeals court for the western United States in the matter of Martin v. City of Boise concluded that municipalities could not enforce anti -camping ordinances against individuals who do not have access to shelter. Judicial guidance from the local federal court further established that cities subject to its jurisdiction would need to maintain shelter beds in order to enforce anti -camping ordinances. With these developments, the defendant cities began reaching settlement agreements with the Orange County Catholic Worker, requiring them to operate a certain number of shelter beds, which would need to be made available to homeless individuals as a condition of enforcing their anti -camping ordinances. Essentially, only if a homeless individual declined shelter placement could such an ordinance be enforced. By becoming a defendant in the litigation and filing a cross -complaint of its own, the City has played a significant role in the resolution of an issue that has long resisted a more global remedy. Not only have the original defendants settled, but several other Orange County cities (including all of the cities in the North Service Planning Area) who were not defendants in the original litigation also agreed to settlements. These settlement agreements afford the type of city -specific and regional solutions long sought by the City and promoted by the court. The City of Santa Ana has now reached its own settlement with the Orange County Catholic Worker. The proposed settlement acknowledges that the City currently operates a 200-bed shelter (known as The Link), and that the City intends to establish another shelter with 200-250 beds. There is anticipated to be some overlap period between the operation of these two shelters such that the total number of beds during this limited period will be up to 450. This will satisfy the City's bed count obligation as established by the court. The chief advantages of the settlement for the City are as follows: • Ability for enhanced enforcement of anti -camping ordinances due to increased beds; • Removes threat of continuing litigation over enforcement and bed counts; • No payment of attorney's fees; • Dismissal of lawsuit against the City; • Release of all claims against the City; • Continuing jurisdiction of the court to resolve any disputes over enforcement; • Greater housing and other opportunities for homeless individuals; and, • Balances the need for public safety with shelter for homeless individuals. The City's separate cross -complaint against the County of Orange is not subject to this settlement agreement and remains pending before the court. In any proposed resolution of that separate lawsuit, the City will endeavor to attain a further type of coordinated and collaborative solution with the County reflected by all settlements to date. 25H-2 Settlement Agreement with Orange County Catholic Worker October 1, 2019 Page 3 Staff recommends approval of the proposed settlement agreement with the Orange County Catholic Worker for the above reasons. Going forward, the settlement clarifies the City's obligations regarding its homeless population, as required by the law, while permitting the City to enforce its anti -camping ordinances with greater confidence. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 — Community Health, Livability, Engagement & Sustainability. FISCAL IMPACT There is no fiscal impact associated with this action. Exhibit: 1. Settlement Agreement 25H-3 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 P-LI1 M (SBN 162700) M-29 0192702 15 Attorneys for Defendant and Cross -Claimant CITY OVF SANTA ANA UNITED STATES DISTRICT COURT FOR THE CENTRAL DISTRICT OF CALIFORNIA SOUTHERN DIVISION ORANGE COUNTY CATHOLIC WORKER, an unincorporated association; Lisa Bell, Shawn Carroll, Melissa Fields, Larry Ford, Cameron Ralston, Kathy Schuler, Gloria Shoemake, as individuals, Plaintiffs, V. ORANGE COUNTY, the City of Anaheim, the City of Costa Mesa, the City of Orange, et al. Defendants. 1 Case No.: SACV 18-0155-DOC (JDE) 25H-4 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 City of Santa Ana, Cross -Claimant, V. County of Orange, City of Aliso Viejo, City of Anaheim, City of Brea, City of Buena Park, City of Costa Mesa, City of Cypress, City of Dana Point, City of Fountain Valley, City of Fullerton, City of Garden Grove, City of Huntington Beach, City of Irvine, City of La Habra, City of La Palma, City of Laguna Beach, City of Laguna Hills, City of Laguna Niguel, City of Laguna Woods, City of Lake Forest, City of Los Alamitos, City of Mission Viejo, City of Newport Beach, City of Orange, City of Placentia, City of Rancho Santa Margarita, City of San Clemente, City of San Juan Capistrano, City of Seal Beach, City of Stanton, City of Tustin, City of Villa Park, City of Westminster and City of Yorba Linda, Cross -Defendants. This Settlement Agreement ("Agreement") is entered into by and between Defendant and Cross -Claimant City of Santa Ana ("City"), and Plaintiff Orange County Catholic Worker ("OCCW"), an unincorporated association acting by and through its designated representatives. The parties to this Agreement are referred to herein individually as a "Party" and collectively as the "Parties." F 25H-5 1 2 3 4 5 6 7, 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 A. WHEREAS, on January 29, 2018, OCCW and certain individual plaintiffs filed an action, entitled Orange County Catholic Worker et al. v. Orange County et al., United States District Court, Central District of California, Case No. 8:18-ev-00155-DOC-KES ("OC Catholic Worker Action"), against the County of Orange ("County"), the City of Anaheim, the City of Costa Mesa, and the City of Orange. B. WHEREAS, on March 17, 2018, the City of Santa Ana intervened in the OC Catholic Worker Action as a defendant. C. WHEREAS, on April 26, 2018, the City of Santa Ana filed a cross - complaint in the OC Catholic Worker Action against the County and all other cities in the County, alleging violations of the: (1) Eighth Amendment (cruel and unusual punishment); (2) Fourteenth Amendment (equal protection); and (3) Fourteenth Amendment (due process) ("Cross -Complaint"). The Cross -Complaint was served on the County, the City of Anaheim, the City of Orange, and the City of Tustin. The Cross -Complaint remains unserved on all other cross -defendants. D. WHEREAS, on July 26, 2018, OCCW filed a First Amended Complaint ("OCCW FAC"), which, among other changes, pleaded a potential class action against the County. At the time of execution of this Agreement, the OCCW FAC is the operative complaint in the OC Catholic Worker Action. E. WHEREAS, on November 13, 2018, OCCW filed a Supplemental Complaint adding the City of Tustin as a defendant. F. WHEREAS, on June 28, 2019, OCCW filed a Supplemental Complaint adding the cities of Brea, Buena Park, Cypress, Fullerton, La Habra, La Palma, Los Alamitos, Placentia, Stanton, Villa Park, and Yorba Linda as defendants ("North SPA Cities"). G. WHEREAS, the OCCW FAC as well as the Supplemental Complaints, alleges that OCCW is an unincorporated association dedicated to the 3 25H-6 1 2 3 4 .51! 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 service and care of the poor in Orange County, and that the individual OCCW plaintiffs are homeless individuals residing in Orange County. The OCCW FAC alleges, inter alia, that defendants, and each of them, have violated the OCCW plaintiffs' rights by enforcing various laws against them, including trespass, loitering, and/or anti -camping ordinances, at times when, according to the OCCW plaintiffs, there were no immediately accessible and appropriate beds available to them in Orange County. The City of Santa Ana disputes the factual allegations and legal contentions made by OCCW in the OCCW FAC. H. WHEREAS, the OCCW FAC includes the following causes of action against the City of Santa Ana as well as other defendants: (1) violation of the Eighth and Fourteenth Amendments to the U.S. Constitution, and Article VII, section 17 of the California Constitution for alleged "cruel and unusual punishment"; (2) violation of the First and Fourth Amendments to the U.S. Constitution; (3) violation of the right to due process of law under the Fourteenth Amendment to the U.S. Constitution; (4) violation of California Civil Code section 52.1; (5) violation of California Government Code section 815.6; and (6) violation of California Government Code section 11135. Defendant City of Santa Ana disputes each and every claim for relief in the OCCW FAC in its entirety and disputes OCCW's underlying legal contentions and theories. I. WHEREAS, the Cities of Anaheim, Costa Mesa, Orange, and Tustin have each entered into separate settlement agreements with OCCW, all of which have been approved by the Court. J. WHEREAS, the North SPA Cities have collectively entered into a settlement agreement with OCCW that has been approved by the Court. K. WHEREAS, the City of Santa Ana has voluntarily dismissed all those parties to the Cross -Complaint that were served such that the County remains the sole cross -defendant that has been served with the Cross -Complaint. rd 25H-7 1 2 3 4 5 6 7 8 9 10 11' 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 L. WHEREAS, without admitting any wrongdoing, liability, or legal violations on the part of the City of Santa Ana, without conceding the validity of any of the OCCW's legal theories or claims, and for the sole purpose of preemptively, economically, and efficiently resolving the OC Catholic Worker Action as to the City of Santa Ana, the Parties now desire to enter into this Agreement on the terms set forth herein. NOW, THEREFORE, for full and valuable consideration, the sufficiency of which is hereby acknowledged, and based upon the foregoing Recitals, and the terms, conditions, covenants, and agreements herein, the Parties agree as follows: 1. Order re Continnin�iction and Effective Date Following the full execution of this Agreement by all Parties, the Parties shall file with the Court in the OC Catholic Worker Action proposed orders regarding settlement and continuing jurisdiction and incorporating the terms of this Agreement. Except for the obligations of the City in Section 3, the obligations of the Parties in the remaining sections of this Agreement, and the releases contained herein, shall become effective and operative on the date(s) on which the respective order is fully executed and entered by the Court ("Effective Date"), and shall be contingent upon the Court's signing and entry of the respective order. The obligations of the City in Section 3 shall become effective and operative only upon the Court's approval of a separate settlement agreement between the City and County as to the City's Cross -Complaint, including but not limited to the subjects of a replacement site for the County -operated shelter known as the "The Courtyard" and the parties' obligations under a related Memorandum of Understanding currently in effect between them. This Agreement shall be in effect for three (3) years following the Effective Date and then shall terminate. E 25H-8 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 2. Incorporation of Recitals The representations in the above -section of this Agreement, entitled "Recitals," are hereby incorporated into and made a material part of the terms and representations of this Agreement. 3. Construction and ®aeration of Shelters 3.1 At the time of this Agreement, the City operates a temporary, low -barrier shelter in the City with a capacity of 200 beds, known as "The Link." 3.2 The City shall fund, obtain funding for, and/or coordinate third - party funding for, the construction and operation of an additional low -barrier homeless shelter at a different location within the boundaries of the City, with capacity of 200 beds, expandable to 250 beds ("Additional Shelter"). The City shall have complete discretion in determining which Additional Shelter to fund and which shelter project may be feasible, subject to any limitations set forth herein. The City's funding commitment for the Additional Shelter shall be for three (3) years, beginning on the Effective Date. 3.3 There will be an overlap period of time during which The Link and the Additional Shelter will operate concurrently such that the total number of beds during this time will be up to 450. Any remaining number of beds that may be necessary to satisfy the City's obligations under Section 3 of this Agreement shall be addressed in the context of a separate settlement agreement between the City and County as to the City's Cross -Complaint. 3.4 The City shall require that the Link and the Additional Shelter be operated on a non -religious basis, but not exclude religious organizations from operating, and in full compliance with all applicable state and federal antidiscrimination laws, including but not limited to, California Government Code section 11135 and the Americans with Disabilities Act, 42 U.S.C. section 12101 et seq. 3 25H-9 1 2 3 4' 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 3.5 Although the above -referenced shelters are not the exclusive means by which the City may satisfy its obligation to meet the needs of homeless individuals in the City, OCCW Plaintiffs acknowledge and agree that the creation and operation of The Link and the Additional Shelter, or a number of placements equal to The Link and the Additional Shelter, shall satisfy the City's obligations under Section 3 of the Agreement, as well as any other requirement by the Court pertaining to the number of available beds for the unsheltered individuals in the City. 4. Enforcement of Anti®Camnin� Ordinances 4.1 The City shall establish the following policies and procedures relating to the enforcement of Santa Ana Municipal Code sections 10-400 to 10- 403 and 10-550-551 ("Anti -Camping Ordinances"), curfews including park hours, or any comparable provisions of state law, or any law concerning "loitering" against homeless individuals within its jurisdictions. This shall apply to the City and its agents including but not limited to private security: 4.1.1 Absent exigent circumstances, any enforcement of the Anti -Camping Ordinances against a homeless individual (including any of the Individual OCCW Plaintiffs) will first be preceded by contacts from outreach and engagement personnel to determine an available and appropriate placement for the individual in question, per the procedures outlined herein. For purposes of this Agreement, "outreach and engagement personnel" may include County Outreach and Engagement Personnel, representatives from CityNet, City employees, the homeless liaison, police officers, and any other organizations with which the City has contracted for such outreach and engagement services (collectively, "O&E Personnel") who are trained in engaging in appropriate clinical assessments of individuals with disabilities to determine an appropriate placement. 4.1.2 In implementation of Section 4.1.1, prior to enforcement of the Anti -Camping Ordinances against any homeless individual, O&E Personnel 7 25H-10 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 will locate and offer an available and appropriate placement in the City for the individual in question. 4.1.3 If the individual declines the offered placement, the City may proceed with enforcement of the Anti -Camping Ordinances in its sole discretion subject to the dispute resolution process detailed herein. 4.1.4 If the alleged violation arises from an individual's presence in a park outside of the established operational hours of the park, and if there is no appropriate and immediately available placement for that person, the City will advise the individual that they must leave the park and move to any public area outside of the park. If the person does not leave the park after receiving this warning, the City may issue a citation to the individual. 4.1.5 The requirements of this Section 4.1 shall only apply until the earlier of: (a) the date on which the case of Martin v. City of Boise, 902 F.3d 1031 (9th Cir. 2018) ("Martin v. Boise") is no longer applicable law within the jurisdiction of the Ninth Circuit or (b) the date on which the Court finds that there are sufficient appropriate and immediately available placements for the unsheltered homeless population in the City. 4.2 Nothing in this Agreement constitutes an admission by the City that its current policies and procedures for enforcement of the Anti -Camping Ordinances are either: (a) different from those set forth above or (b) in any way legally inadequate, or a concession by the OCCW Plaintiffs that they are legally adequate. 4.3 Nothing in this Agreement constitutes a promise, representation, or warranty, on the part of the City, that any number of beds will be available to any particular person(s) at any time. The lack of availability of an appropriate and immediately accessible bed for any person or persons at any time, including any of the individual OCCW plaintiffs, may impact the ability of the City to punish a purported violation of the Anti -Camping Ordinances. 25H-11 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 4.4. Absent exigent circumstances, the City shall not cite or arrest any homeless individual for violation of the law based on an alleged obstruction of public property unless that individual, either individually or in conjunction with his or her property, actually obstructs free passage of any person or vehicle on any public highway, alley, sidewalk, or crosswalk and declines to move the object(s) creating obstruction from the public right of way after being requested to do so, or actually obstructs with access to a public highway, alley, sidewalk, or crosswalk for sanitation, cleaning, or routine maintenance or repair purposes and declines to cease the obstruction after being requested to do so. 4.5 Nothing in this Agreement shall impact the authority of the City to enforce any law not based on an individual's unsheltered status against a person believed to be homeless, including issuing and arresting the person for an alleged violation of law. 5m Dispute -Resolution Process The Court shall retain jurisdiction over the OC Catholic Worker Action for a period of three years from the Effective Date for the purposes of (a) overseeing the implementation of this Agreement, and (b) implementing and presiding over the a dispute -resolution process (the "Dispute -Resolution Process") to be established by the Court and to which Plaintiffs and the City hereby consent and agree: 5.1 Except as expressly identified in this Agreement, or as may be modified by the Court or the Parties, with the Court's consent, during the three-year period of the Court's continued jurisdiction, this Dispute -Resolution Process shall apply to adjudicate any and all disputes between, on the one hand, the City, and, on the other hand, any homeless individual or individuals who consent, at the time of requesting the Dispute -Resolution Process, to be bound by the Dispute -Resolution Process and the provisions of this Agreement applicable to the OCCW Plaintiffs (including but not limited to the individual OCC W plaintiffs), relating to (a) the implementation of this Agreement, and/or (b) the enforcement of the above- M 25H-12 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 identified Municipal Code sections, or other laws applied against any homeless person arising out of that individual's homeless status, including but not limited to disputes regarding the availability or adequacy of any shelter or shelter services offered to the individual pursuant to Section 4.1 of this Agreement and expressly excluding violations of law relating to conduct not arising from the individual's homeless status (examples include but are not limited to possession of illegal substances or weapons, trespass on private property, acts of violence, public intoxication, etc.) (collectively, the "Disputes," and individually, a "Dispute"). 5.2 In the event of any Dispute arising during the pendency of the Court's retained jurisdiction, the parties to that Dispute will first attempt to meet an( confer informally with the other side in an effort to resolve it. In the case of a Dispute raised by one or more homeless individuals against the City, or a Dispute raised by the City against one or more homeless individuals, including any such persons who are known to be, or the City is advised are, represented by counsel of record in the OC Catholic Worker Action, this attempt will at least involve (a) a written communication from the party initiating the Dispute to the other side's counsel describing in detail the Dispute and the requested remedy, and providing any available evidence in relation thereto, and (b) a discussion, either in person or via telephone, seeking to resolve the Dispute. In the event the City receives a complaint from a homeless individual, City employees, as well as the employees of any City shelter facility, shall give any affected individual notice of the Court's Dispute -Resolution Process and the contact information for applicable legal services organizations, including the law center associated with Plaintiffs' counsel, together with a statement that such entities may be available to assist them. 5.3 If the parties to a Dispute are unable to resolve it within two (2) court days after it is first raised informally by one of the parties to the Dispute, any party to the Dispute may request a hearing with the Court under the standards and 10 25H-13 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 processes to be set by the Court, and the Court will have jurisdiction to resolve that Dispute. If the Dispute involves an emergency situation that presents a threat to the immediate health and safety of an individual, the parties may seek expedited review by the Court. 5.4 The fact that a person has initiated the Dispute -Resolution Process shall not impact the City right to enforce any law against that person, including issuing citations to the person, concurrently with the Dispute -Resolution Process. However, the City agrees that no custodial arrest will be made for a violation of the anti -camping, loitering, and similar laws arising from an individual's status as homeless prior to the exhaustion of the Dispute -Resolution Process with the Court pursuant to Section 5.3 of this Agreement. In circumstances involving citation, the Court may issue an order directing the City to stay the filing of formal charges against the homeless individual until the Dispute -Resolution Process has been completed for that Dispute. The City agrees not to contest such a request for a brief stay of the filing of charges. Once the Dispute -Resolution Process has concluded regarding an issue, the City will not be required to await exhaustion of the Dispute -Resolution Process regarding the same issue and the same individual prior to a custodial arrest where the individual does not comply with a warning or leave once a citation has been issued, provided the City complies with the Court's determination of that same issue for that same individual. For purposes of the Section 5.4, "same issue" refers to an issue determined by the Court in the Dispute -Resolution Process where the individual's objections, including any claim of alleged disability, physical limitations and the offered placement are substantially similar for purposes of determining whether the individual's disability or other objection is being reasonably accommodated. 5.5 In resolving any Dispute, the Court may enforce any rights available to a party under this Agreement, subject to sufficient notice, opportunity I 25H-14 2 3 4 5 6 7 8 9 10 11 12 13' 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 be heard, briefing, evidence, and other due process. The Court shall not be empowered to award damages or any other monetary relief to any party as a result of any Dispute submitted to this process. Nothing in this Agreement limits the ability of any Plaintiff to seek damages in other proceedings not subject to this Agreement. 5.6 Should either party disagree with the Court's determination resulting from the Dispute -Resolution Process, nothing in this Agreement shall preclude either party from commencing litigation concerning the subject of said Dispute, and pursuing any remedies available at law; provided that in advance of initiating such action, the parties shall first engage in an in -person meet -and -confer to occur within seven (7) calendar days of a request from the other party. 6. Release and Covenant Not to Sue 6.1 In consideration for the terms of this Agreement, OCCW Plaintiffs, and each of them, and any other individual claiming rights under this Agreement (the "OCCW Releasing Parties"), hereby release and forever discharge the City of Santa Ana, as well as its present and former employees, agents, managers, officers, directors, councilmembers, insurance companies, attorneys, departments, and divisions or affiliated entities, whether previously or hereafter affiliated in any manner (the "City Released Parties"), from and against any and all claims, demands, causes of action, obligations, damages, attorney's fees, costs, and liabilities, arising from or relating to the events detailed in the lawsuit of any nature whatsoever, whether or not now known, suspected, or claimed, which the OCCW Releasing Parties, and/or any of them, have, or ever may claim to have, as against the City Released Parties, or any of them, whether directly or indirectly, relating to, or arising out of the: (a) OC Catholic Worker Action; (b) any claims raised in, or that could been raised in, the OC Catholic Worker Action; (c) the availability of homeless shelters, shelter beds, and/or other homeless accommodations in the City of Santa Ana; (d) the City's alleged obligation to provide or fund such 12 25H-15 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 accommodations; and/or (e) the City's alleged inability to enforce any of the Anti - Camping Ordinances and any law that the OCCW Releasing Parties claim criminalizes a person's homeless status, against any person because of his or her homeless status (collectively, the "OCCW Released Claims"). 6.2 The releases set forth in Section 6.1 are releases of all claims, demands, causes of action, obligations, damages, and liabilities, of any nature whatsoever, and are intended to encompass all known and unknown, foreseen and unforeseen, claims that are possessed by the OCCW Releasing Parties and within the scope of the OCCW Released Claims based solely and only on the events giving rise to the OC Catholic Worker Action. To effectuate the intent of the Parties, the OCCW Releasing Parties expressly agree to waive and relinquish all rights and benefits they may have under California Civil Code Section 1542, which reads as follows: A general release does not extend to claims that the creditor or releasing party does not know or suspect to exist in his or her favor at the time of executing the release and that, if known by him or her, would have materially affected his or her settlement with the debtor or released party. 6.3 The OCCW Releasing Parties warrant that they have made no assignment, and will make no assignment, of any claim, chose in action, right of action, or any right, of any kind whatsoever, within the scope of the OCCW Released Claims, and that no other person or entity of any kind had or has any interest in any of the demands, obligations, actions, causes of action, debts, liabilities, rights, contracts, damages, attorney's fees, costs, expenses, losses, or claims within the scope of the OCCW Released Claims. 7. Dismissal of the OC Catholic Worker Action Upon entry of the Court's Order re Continuing Jurisdiction and Settlement, the OCCW Plaintiffs, as to the City, will take all necessary actions and file all 13 25H-16 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 necessary documents to effectuate dismissal of the OC Catholic Worker Action with prejudice. 8. Settlement Payments and Attorney's Fees All Parties to this Agreement shall bear their own costs, expenses, and attorney's fees in relation to or arising out of. (a) the OC Catholic Worker Action; (b) the resolution, negotiation, and settlement of the OC Catholic Worker Action, including the negotiation of this Agreement; and (c) the implementation of this Agreement. 9. Non -Admission of Liability By entering into this Agreement, the City does not admit any liability, and explicitly denies any liability or wrongdoing of any kind arising out of or relating to any of the claims alleged in the OC Catholic Worker Action. Nothing herein constitutes an admission by the City as to any interpretation of laws, or as to the merits, validity, or accuracy of any of the claims or legal contentions made in the OC Catholic Worker Action. The City has entered into this Agreement solely to avoid the time, expense, and risk of continued litigation. The Parties agree that an express condition of this settlement is that there has been no finding of liability on the merits, and that this settlement and any document related to this settlement, including this Agreement and any related orders, and the negotiations leading up to this settlement, shall be inadmissible in evidence and shall not be used for any purpose in this or any other proceeding, except in an action or proceeding to approve, interpret, or enforce this Agreement. 10. Knowing and Voluntary This Agreement is an important legal document that has been voluntarily and knowingly executed by the Parties. The Parties, and each of them, specifically represent that, prior to signing this Agreement: (a) they have each been provided a reasonable period of time within which to consider whether to accept this Agreement; (b) they have each carefully read and fully understand all of the 14 25H-17 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 provisions of this Agreement; and (c) they are voluntarily, knowingly, and without coercion entering into this Agreement based upon their own judgment. The OCCW Plaintiffs and City further specifically represent that, prior to signing this Agreement, they have conferred with counsel of their choice to the extent desired concerning the legal effect of this Agreement, and that the legal effect of this Agreement has been adequately explained to them. 11. Entire Agreement This Agreement constitutes the entire agreement by and between the OCCW Releasing Parties and the City Released Parties regarding the matters discussed herein, and supersedes any and all other agreements, understandings, negotiations, or discussions, either oral or in writing, express or implied, between the OCCW Releasing Parties and the City Released Parties relating to the subject matter hereof. The OCCW Releasing Parties and the City Released Parties each acknowledge that no representations, inducements, promises, agreements, or warranties, oral or otherwise, have been made by them, or anyone acting on their behalf, which are not embodied in this Agreement, that they have not executed this Agreement in reliance on any such representation, inducement, promise, agreement, or warranty, and that no representation, inducement, promise, agreement, or warranty not contained in this Agreement, including but not limited to, any purported supplements, modifications, waivers, or terminations of this Agreement, shall be valid or binding, unless executed in writing by all of the Parties to this Agreement. Any alteration, change, or modification of or to this Agreement shall be made by written instrument executed by each Party in order to become effective. 12. Warranty of Authority Each individual or entity that executes this Agreement represents and warrants, in his, her or its personal capacity, that he, she, or it is duly authorized 15 25H-18 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 and empowered to enter into this Agreement on behalf of the party it purports to represent. 13. Counterparts This Agreement may be executed in multiple counterparts, each of which shall be considered an original but all of which shall constitute one agreement. 14. No Waiver of Terms of Agreement The failure to insist upon compliance with any term, covenant, or condition contained in this Agreement shall not be deemed a waiver of that term, covenant, or condition, nor shall any waiver or relinquishment of any right or power contained in this Agreement at any one time or more times be deemed a waiver or relinquishment of any right or power at other time or times. 15. Modification of Agreement The enforcement terms of this Agreement may be vacated or modified, at the request of any Party hereto, if: (a) the holding of Martin v. Boise is reversed or modified, or is otherwise no longer good law; (b) the Court determines that the number of available and appropriate shelter placements in the City warrants termination or modification of the Agreement; or (c) upon petition by the City, the Court determines that other terms of the Agreement have been met. IN WITNESS WHEREOF, this Settlement Agreement is hereby entered into and executed by the parties hereto on the dates set forth below. Dated• 2019 OC CATHOLIC WORKER 16 25H-19 I 2 3 4 5 7 8 9 10 11 12 13 14 15 16 17 19 20 21 22 M 24 25 26 27 28 /X. Carol A. S el Attorneys for Plaintiffs coy .____�_ Brooke Weitzman Attorneys for Plaintiffs Dated2019 Assist ant City Attorney Jo Funk ney FATTEST Daisy Gomez Clerk of the Council l BY I fistine Ridge City Manager 17 25H-20 REQUEST COUNCIL FOR ACTION CITY COUNCIL MEETING DATE: OCTOBER 1, 2019 TITLE: APPROVE EQUPMENT PURCHASE ORDER FROM THE NATIONAL FITNESS CAMPAIGN, LLC (NFC) FOR THE PURCHASE OF A NFC FITNESS COURT AT JEROME PARK FOR AN AMOUNT NOT TO EXCEED $103,825 TO BE FUNDED BY THE GENERAL FUND (STRATEGIC PLAN NO. 5,61 /s/ Kristine Rid CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 15' Reading ❑ Ordinance on 2na Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO I9I1IN [NJ UI l01:a Approve equipment purchase order to the National Fitness Campaign, LLC (NFC) for a NFC Fitness Court at Jerome Park for an amount not to exceed $103,825, funded by the General Fund, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION On February 4, 2019, the City of Santa Ana submitted a grant application to the National Fitness Campaign, LLC (NFC) to build five fitness courts at Jerome Park, El Salvador Park, Delhi Park, Rosita Park and Civic Center Plaza of the Flags. On March 15, 2019, the City of Santa Ana received five $30,000 grants from NFC to participate as a Model City in the 2019 National Fitness Campaign. Approval of the multi -site application was based on the City of Santa Ana's commitment to free health and fitness options, development of stakeholder consensus, and the exceptional and active public spaces where we will launch our Fitness Courts and the NFC program. On June 4, 2019, the City Council adopted a resolution accepting the 2019 NFC grant of $30,000 per sight 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 (Civic Center site has been removed from the list and a new location will be selected). The Fitness Court is a 32' x 35' outdoor bodyweight circuit training system that supports 28 simultaneous users on 30 separate pieces of equipment that are grouped into seven stations. The 7 movement, 7 minute system provides a full -body workout to people of all ability levels. The integrated system includes a sports floor to simulate the indoor gym exercise and steel bodyweight training wall provides users with many exercise combinations. 29A-1 Approve Sole Source Purchase Order For Purchase of NFC Fitness Court October 1, 2019 Page 2 The Fitness Court is supported by "National Campaign Resources". This is a digital ecosystem that includes a mobile app, the Campaign's social media support team, promotional materials and programming to assist public agencies in building support for fit living in community spaces. No other vendor, distributor or organization sells this system. The fitness court must be acquired from the National Fitness Campaign, LLC. The first outdoor fitness court installation at Jerome Park (Attachment 1) is scheduled for the end of October and the official launch in mid -November that includes national and local promotion, and a launch party. If successful, the City will continue to proceed with development of the four remaining sites. Funding for the remaining sites is expected to be raised through a combination of sponsorships, donations and city funding. The large steel bodyweight training wall avails itself to many sponsorship opportunities. The expectation is that the success of this initial fitness court will draw interest from corporate sponsors to fund future locations. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Strategic Plan Goal #5 — Community Health, Livability, Engagement & Sustainability, Objective #6 (Focus projects and programs on improving the health and wellness of all residents). FISCAL IMPACT The City's net cost for the Fitness Court with the $30,000 grant included is $103,825 (Attachment 2). Funds are budgeted and available in the following account for the following fiscal year: Fiscal Accounting Fund Accounting Unit, Year Unit -Account # Description Account Description Amount FY 19-20 01113250- General Fund PRCSA-Park Facilities $103,825 66220 Improvements Other Than Building Lisa Rudloff Executive Director Parks, Recreation, and Community Services Agency Exhibits: 1. Site Map 2. Quote APPROVED AS TO FUNDS AND ACCOUNT: Kathryn Downs, CPA Executive Director Finance and Management Services Agency 29A-2 *:� : 11:1 h dPa QUOTE City of Santa Ana 20 Civic Center Plaza Parks, Recreation and Community Services Agency, M23 SANTA ANA CA 92701 USA Description Fitness Court and National Campaign Resources - $30,000 National Sponsor Grant Award Freight, Packing and Insurance for shipment The Fitness Court® Installation Kit Terms Date National Fitness Jul 25, 2019 Campaign LLC Expiry For all questions Aug 26, 2019 regarding this quote, contact: info@nfchq.com Quote Number Q U-0323 Quantity Unit Price Tax Amount USD 1.00 90,000.00 9.25% 90,000.00 1.00 4,300.00 Tax 4,300.00 Exem pt 1.00 1,200.00 Tax 1,200.00 Exem pt Subtotal 95,500.00 TOTAL CALIFORNIA9.25% 8,325.00 TOTAL USD 103,825.00 1.PAYMENTTERMS Purchaser will pay Seller 50% of the Purchase Price at least 14 days prior to the Shipping Date. Purchaser will pay the remaining 50% of the Purchase Price within 30 days of the Delivery Date. These payment terms will apply unless other approved payment terms have been agreed to by both parties. 2. SHIPPING AND DELIVERY Shipping costs are based on final delivery location. FOB Munford, AL. Purchaser is responsible for shipping costs, including packing, insurance and freight. Registered Office: PO Box 2367, San Francisco, CA, 94126, USA. 29A-4 REQUEST FOR COUNCIL ACTION a!_ CITY COUNCIL MEETING DATE: OCTOBER 1, 2019 TITLE: ORDINANCE FIRST READING: ADOPT AND ADD SECTIONS 36-19, 36-20, 36-21, 36-22, 36-23, 36-149, 36-150, 36-151, 36-152, AND 36-153 TO THE SANTA ANA MUNICIPAL CODE RELATED TO THE PARKING OF OVERSIZED AND RECREATIONAL VEHICLES (STRATEGIC PLAN NO. 5,4) CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s' Reading ❑ Ordinance on 2od Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO /s/ Kristine Ridge FILE NUMBER CITY MANAGER RECOMMENDED ACTION Place ordinance on first reading for consideration of adoption. DISCUSSION The California State Legislature, through California Vehicle Code Sections 22507 and 22507.5, has delegated to local governments the authority to regulate vehicular parking within their jurisdictions. In accordance with this authority, the City Council of the City of Santa Ana adopted Article IV (Parking Regulations) of Chapter 36 (Traffic) of the Santa Ana Municipal Code ("Code") to regulate the parking of vehicles in the City of Santa Ana. Pursuant to Section 36-145 of the Code, no person shall park and/or leave standing on any street, or portion thereof, in any residential district located within the City any commercial vehicle with a manufacturer's gross vehicle weight rating of ten thousand (10,000) pounds or more for a period of time longer than two (2) hours. These restrictions do not apply to any commercial vehicle, which is making pickups or deliveries, or for the purpose of delivering materials to be used in the repair, alteration, remodeling, or construction of any building or structure upon the residential street for which a building permit has previously been obtained. Some large, oversized and recreational vehicles (collectively, "Oversized Vehicles") may exceed 22 feet in length or 7 feet in height but not meet the definition of vehicles restricted by SAMC Section 36-145. The proliferation of Oversized Vehicles parked on public streets raises public safety concerns, including the obstruction of access to rights -of -way, reduced site distance, reduced visibility at intersections, all of which have a detrimental effect on the public health, safety, welfare and quality of life in the City of Santa Ana. Restricting the parking of Oversized Vehicles will mitigate the public safety concerns associated with the parking of these vehicles; will increase the availability of parking for City residents and visitors; and, will preserve the character of neighborhoods to benefit the health, safety and welfare of City residents. 50A-1 Ordinance — First Reading: Chapter 36 SAMC October 1, 2019 Page 2 City staff is proposing to restrict Oversized Vehicles on City streets pursuant to the City's police power, as granted broadly under Article XI, Section 7 of the California Constitution. Permits for temporary overnight parking of recreational vehicles will be authorized to accommodate City residents who are expecting guests, or who are preparing for or returning from vacations. The proposed ordinance describes Oversized Vehicles as any vehicle, including any attached trailers, vehicles or loads thereon, that exceeds 22 feet in length or 7 feet in height. Recreational Vehicles are described as any camp trailer, park trailer, camper, trailer coach, or house car, as defined in Vehicle Code and/or California Health and Safety Code, or any boat, dune buggy, and all -terrain vehicle ("ATV") used primarily for recreational purposes. The proposed ordinance would prohibit the parking of Oversized Vehicles between the hours of 2:00 a.m. and 6:00 a.m., and would prohibit parking of Oversized Vehicles within 50 feet of any intersection. The prohibitions would not apply to any Oversized Vehicle parked while a driver is unloading or providing services to or on a property in the block in which such Oversized Vehicle is parked or left standing. The prohibitions also do not apply to government vehicles, school buses, or vehicles displaying a valid permit. Once appropriate signage is posted, a violation of SAMC Section 34-149 shall be a misdemeanor with a Court determined fine of up to $1,000. Alternatively, the violation may be addressed by the officer through the use of an administrative citation. Fines for administrative citations are $120.48 for the first violation, $240.97 for the second violation, and $602.42 for the third violation. Section 36-153 outlines the process for issuing permits to residents who are preparing for or returning from vacation. There will be no charge for permits. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 - Community Health, Livability, Engagement & Sustainability, Objective #4 (Support neighborhood vitality and livability.). FISCAL IMPACT Fines will be deposited in the Police Department's Administrative Citations revenue account (no. 01114002 55600). David Valentin Chief of Police Santa Ana Police Department Exhibit: 1. Ordinance APPROVED AS TO FUNDS AND ACCOUNTS: Kathryn Downs, CPA Executive Director Finance and Management Services Agency 50A-2 Exhibit 1 ORDINANCE NO. NS-XXXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING CHAPTER 36 ARTICLE I (IN GENERAL) DIVISION 1 (DEFINITIONS) TO ADD SECTION 36-19 (OVERSIZED VEHICLE); TO ADD SECTION 36-20 (RECREATIONAL VEHICLE); TO ADD SECTION 36-21 (NON -MOTORIZED VEHICLE); TO ADD SECTION 36-22 (PARK ROAD); TO ADD SECTION 36-23 (PARKING, PARK OR PARKED); AMENDING CHAPTER 36 ARTICLE IV (PARKING REGULATIONS) TO ADD SECTION 36-149 (PROHIBITION OF PARKING OF OVERSIZED VEHICLES, NON -MOTORIZED VEHICLES, AND RECREATIONAL VEHICLES); TO ADD SECTION 36-150 (EXCEPTIONS TO PROHIBTION ON PARKING OF OVERSIZED VEHICLES, NON - MOTORIZED VEHICLES, AND RECREATIONAL VEHICLES); TO ADD SECTION 36-151 (NOTICE); TO ADD SECTION 36-152 (ENFORCEMENT REMEDIES); TO ADD SECTION 36-153 (PERMIT PROCESS FOR TEMPORARY OVERNIGHT PARKING ON PUBLIC STREETS). WHEREAS, in California Vehicle Code Sections 22507 and 22507.5, the Legislature delegated to local governments the authority to regulate vehicular parking within their jurisdictions. In accordance with this authority, the City Council of the City of Santa Ana ("City Council") adopted Article IV (Parking Regulations) of Chapter 36 (Traffic) of the Santa Ana Municipal Code ("Code") to regulate the parking of vehicles in the City of Santa Ana ("City"); and WHEREAS, pursuant to Section 36-145 of the Code, no person shall park and/or leave standing on any street, or portion thereof, in any residential district located within the city any commercial vehicle with a manufacturer's gross vehicle weight rating of ten thousand (10,000) pounds or more for a period of time longer than two (2) hours. Such restriction shall not apply to any commercial vehicle which is making pickups or deliveries of goods, wares, and merchandise from or to any building or structure located on the residential street, or for the purpose of delivering materials to be used in the actual and bona fide repair, alteration, remodeling, or construction of any building or structure upon the residential street for which a building permit has previously been obtained; and WHEREAS, some large, oversized and recreational vehicles (collectively, "Oversized Vehicles") may exceed 22 feet in length or 7 feet in height but not meet the definition of vehicles restricted by SAMC Section 36-145; and 50A-3 1 WHEREAS, the proliferation of Oversized Vehicles parked on public streets raises public safety concerns, including the obstruction of access to rights -of -way, reduced site distance, reduced visibility at intersections, all of which have a detrimental effect on the public health, safety, welfare and quality of life in the City of Santa Ana; and WHEREAS, certain neighborhoods and areas of the City do not have sufficient on or off street space to accommodate the parking of vehicles and the proliferation of Oversized Vehicles parked in the limited supply of spaces reduces parking spaces for other uses, which adversely affects residents; and WHEREAS, Oversize Vehicles have a large storage capacity which provides for an increased opportunity for vehicle thefts and deterioration of safety, tranquility, aesthetics and other similar values in the City; and WHEREAS, restricting the parking of Oversized Vehicles will mitigate the public safety concerns associated with the parking of Oversize Vehicles; will increase the availability of parking for city residents and visitors; and, will preserve the character of neighborhoods to benefit the health, safety and welfare of City residents; and WHEREAS, the City wishes to restrict Oversized Vehicles on City streets pursuant to the City's police power, as granted broadly under Article XI, Section 7 of the California Constitution, and the City Council has the authority to enact and enforce ordinances and regulations for the public peace, morals and welfare of the City of Santa Ana and its residents; and WHEREAS, the City Council determines that this ordinance is a matter of City- wide importance and necessary for the preservation and protection of the public peace, health, safety and/or welfare of the community and is a valid exercise of the local police power and in accord with the public purposes and provisions of applicable State and local laws and requirements; and WHEREAS, the City Council desires to adopt such restrictions citywide; and WHEREAS, permits for temporary overnight parking of recreational vehicles will be authorized to accommodate city residents who are expecting guests, or who are preparing for or returning from vacations; and WHEREAS, pursuant to the California Environmental Quality Act (Public Resources Code Section 21000 et seq.; herein referend to as "CEQA") and the State of California Guidelines for Implementation of the California Environmental Quality Act (commencing with Section 15000 of Title 14 of the California Code of Regulations; herein referred to as the "State CEQA Guidelines"), the City is the "lead agency" for the preparation and consideration of environmental documents for this ordinance; and 50A-4 2 WHEREAS, the City Council finds and determines that his ordinance is not subject to CEQA pursuant to Section 15060(c)(2), 15060(c)(3), and 15061(b)(3) of the State CEQA Guidelines, because it will not result in a direct or reasonably foreseeable indirect physical change in the environment, and because it is not a "project," as that term is defined in Section 15378 of the State CEQA Guidelines; and THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: Section 1. That Chapter 36 (Traffic), Article I (In General), Division 1 (Definitions) of the Santa Ana Municipal Code, is hereby amended to read as follows: A. That the Santa Ana Municipal Code, is hereby amended by adding a section, to be numbered 36-19. which said section reads as follows: Section 36-19 Oversized Vehicle Oversized Vehicle shall mean any vehicle, including any attached trailers, vehicles or loads thereon, that exceeds 22 feet in length or 7 feet in height. To determine the height, width or length of a vehicle defined in this section, any extension to the vehicle caused by mirrors, air conditioners, or similar attachments allowed by sections 35109, 35110 or 35111 of the Vehicle Code, as the same may be amended from time to time, shall not be included. A. That the Santa Ana Municipal Code, is hereby amended by adding a section, to be numbered 36-20, which said section reads as follows: Section 36-20 Recreational Vehicle Recreational Vehicle shall mean: (a) Any camp trailer, park trailer, camper, trailer coach, or house car, as defined in Vehicle Code section 242, 243, 635 or California Health and Safety Code sections 18010 and 18009.3 or successor statute; or (b) Any boat, dune buggy, all -terrain vehicle ("ATV") or other motorized or towed vehicle designed, maintained, or used primarily for recreational purposes. B. That the Santa Ana Municipal Code, is hereby amended by adding a section, to be numbered 36-21. which said section reads as follows: 50A-5 Section 36-21 Non -motorized vehicle Non -motorized vehicle shall mean any trailer or trailer bus, as defined in Vehicle Code sections 630 and 636, as the same may be amended from time to time. C. That the Santa Ana Municipal Code, is hereby amended by adding a section, to be numbered 36-22, which said section reads as follows: Section 36-22 Park road Park road shall mean a right-of-way within a public park that is not a publicly dedicated street. D. That the Santa Ana Municipal Code, is hereby amended by adding a section, to be numbered 36-23, which said section reads as follows: Section 36-23 Parking, park or parked Parking, park or parked means to stand or leave standing any unoccupied vehicle, other than temporarily for the purpose of and while actually engaged in loading or unloading passengers or materials. Section 2. That Chapter 36 (Traffic), Article IV (Parking Regulations) of the Santa Ana Municipal Code, is hereby amended to read as follows: A. That the Santa Ana Municipal Code, is hereby amended by adding a section, to be numbered 36-149. which said section reads as follows: Section 36-149 Prohibition of parking of oversized vehicles, non -motorized vehicles, and recreational vehicles Except as provided in section 36-150 or otherwise expressly provided to the contrary herein, or unless such parking or standing is authorized by the City Manager and appropriate signs permitting such parking or standing are posted: (a) It is unlawful for any person to park or leave standing upon any public street, park road, or parking lot, any oversized vehicle, non -motorized vehicle, or recreational vehicle between the hours of 2:00 a.m. and 6:00 a.m. (b) It is unlawful for any person to park or leave standing within 50 feet of any intersection of public streets, a public street and park road, a public street and alley, or a park road and alley, as measured from the prolongation of the curb lines or the edge of the pavement of the cross street or alley, any oversized vehicle, non -motorized vehicle, or recreational vehicle at any time. 50A-6 4 B. That the Santa Ana Municipal Code, is hereby amended by adding a section, to be numbered 36-150, which said section reads as follows: Section 36-150 Exceptions to prohibition on parking of oversized vehicles, non -motorized vehicles. and recreational vehicles (a) Section 36-149(a) does not apply to any oversized commercial vehicle on a public street while actively engaged in loading or unloading goods, wares, or merchandise from or to any building or structure located on the residential street, or for the purpose of delivering materials to be used in the actual and bona fide repair, alteration, remodeling, or construction of any building or structure upon the residential street for which a building permit has previously been obtained. (b) Section 36-149(a) does not apply to any oversized vehicle on a public street when such oversized vehicle is parked or left standing in connection with, and in aid of, the performance of a service to or on a property in the block in which such oversized vehicle is parked or left standing. (c) Section 36-149(a) does not apply to any vehicle on a public street belonging to federal, state, or local authorities, or a public utility. (d) Section 36-149(a) does not apply to any school bus on a public street involved in the transportation of student, or to any bus on a public street used for the transportation of youths or disabled persons during the course of the activity for which they were transported. (e) Section 36-149(a) does not apply to loading zones. (f) Section 36-149(a) does not apply to any vehicle displaying a valid permit issued pursuant to section 36-153. C. That the Santa Ana Municipal Code, is hereby amended by adding a section, to be numbered 36-151, which said section reads as follows: Section 36-151 Notice (a) The prohibitions and restrictions contained in section 36-149 shall be effective upon the posting of signs providing notice. (b) The City Manager shall post and maintain appropriate signs providing notice of the prohibition contained in section 36-149. 50A-7 5 D. That the Santa Ana Municipal Code, is hereby amended by adding a section, to be numbered 36-152, which said section reads as follows: Section 36-152 Enforcement remedies Every violation of the provisions of this Chapter shall be deemed to be a misdemeanor and, upon conviction thereof, shall be punishable as provided for in section 1-8 of this Code. Each day any violation of any said provision of this Chapter shall continue shall constitute a separate offense. Alternatively, violations may be addressed through the use of an administrative citation as set forth in sections 1-21.1 through 1-21.9. Use of criminal enforcement and/or administrative citations shall not prevent or preclude the City from seeking injunctive relief and civil penalties in court for violations of this Division. E. That the Santa Ana Municipal Code, is hereby amended by adding a section, to be numbered 36-153, which said section reads as follows: Section 36-153 Permit process for temporary overnight parking on public streets (a) The City Manager has the authority to adopt procedural rules and regulations governing the permit process, and to issue a parking permit for the parking of a recreational vehicle on a public street to any resident of the City or a bona fide guest of such resident, if: (1) A written application is made to the City Manager including the address of the resident; and (2) The appropriate fees as described in section 34-153(g) are paid. (b) The permit shall state the address of the resident and the permit shall only be valid within the same block as the resident's address, on either side of the street. (c) The duration of the permit shall not exceed 24 hours. (d) Permits may be issued, but not exceed, three consecutive 24-hour periods. (e) No more than 72 permits shall be issued relating to any one address in any one calendar year period. 50A-8 (f) Proof of residency and proof of recreational vehicle ownership or recreational vehicle use and control shall be demonstrated in a manner determined by the City Manager. (g) The fee for obtaining a permit shall be established by resolution of the Council based upon the recommendation of the City Manager. A copy of the fee schedule shall be filed in the rate book of City fees and charges on file in the Office of the City Clerk. (h) The recreational vehicle shall not be used for overnight camping, lodging or for accommodation purposes while parked on the public street. Section 3. The City Council finds that this ordinance is not subject to the California Environmental Quality Act under California Code of regulations, Title 14, Section 15060, subdivision (c)(2), because the activity will not result in a direct or reasonably foreseeable indirect physical change in the environment nor under subdivision (c)(3) because the activity has no potential for resulting in physical change to the environment, directly or indirectly and so is not a project. Section 4. If any section, subsection, phrase, or clause of this ordinance is for any reason held to be unconstitutional, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council hereby declares that it would have passed this ordinance and each section, subsection, phrase or clause thereof irrespective of the fact that any one or more sections, subsections, phrases or clauses be declared invalid or unconstitutional. Section 5. The Clerk of the Council shall certify to the adoption of this ordinance and cause the same to be published in the manner prescribed by law. ADOPTED this day of 12019. APPROVED AS TO FORM: Sonia R. Carvalho City Attorney y� By:_� A Tamara Bogosian Assistant City Attorney Miguel A. Pulido Mayor 50A-9 AYES: Councilmembers NOES: Councilmembers iR.71I1i 1ii1Tm NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, DAISY GOMEZ, Clerk of the Council, do hereby attest to and certify that the attached Ordinance No. NS-XXX 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: Clerk of the Council City of Santa Ana 50A-10 8 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 1, 2019 TITLE: ADOPT THREE RESOLUTIONS FOR MEMORIAL COMMUNITY CENTER (PHASE 1), STANDARD/MCFADDEN AND RAITT/MYRTLE PARK PROJECTS FOR THE SUBMITTAL OF THE STATEWIDE PARK DEVELOPMENT AND COMMUNITY REVITALIZATION PROGRAM GRANT {STRATEGIC PLAN NO. 6, 11 /s/ Kristine Ridge CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 13t Reading ❑ Ordinance on 2" d Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO 9I111111111UIFAI 101V Adopt three Resolutions approving and authorizing submittal of the Statewide Park Development and Community Revitalization Program grant to the State of California for projects at Memorial Community Center (Phase 1), Standard/McFadden Park and Raitt/Myrtle Park. DISCUSSION The State of California Statewide Park Program has made $254,942,000 available to Cities, Counties, Districts and Joint Powers Authorities for projects that will create, expand or renovate parks. The City of Santa Ana has prepared three grant applications, which were submitted by the application due date of August 5, 2019. The proposed projects included the following: 1. Memorial Community Center— Grant Request $8.5 Million The proposed project has two phases. The application is for phase one that includes the demo of the existing community center structure, construct a 26,000 square foot Community Center with a multi -purpose room, community room, recreational room, kitchen, additional activity rooms, staff offices, and restrooms. In addition, outdoor walkways, patio, new landscaping, and security lighting around the outside of facility are included. Also included is a parking lot on the north side of the park and additional restrooms next to the existing pool area. The total project cost is $15,884,500. There is currently $5,700,000 of funding identified for this project. Successful grant applications for CDBG Funding of $1,684,500 and $8,500,000 from the Statewide Park Program will allow the project to move forward. 55A-1 Approve and Authorize the Submittal of the Statewide Park Development and Community Revitalization Program Grant Resolution October 1, 2019 Page 2 2. Standard & McFadden New Park — Grant Request $3,600,000 The proposed project develops the existing vacant, unused parcel of land into a new park, which would include a skate area, exercise area, playground area, walking loop, open space and basketball court. The project would also include drought tolerant landscaping, river -rock bioswale, and a picnic area. For security and safety, a complete lighting system will be included as well as fencing to act as a barrier between the park and street. The total project cost is $4,000,000. There is $400,000 of funding identified for this project and a successful grant award of $3,600,000 will allow the project to move forward. 3. Raitt/Myrtle New Park— Grant Request $1,640,928 The proposed project develops the existing vacant, unused parcel of land into a new park, which would include a skate area, exercise area, tot lot and butterfly interpretive garden, walking loop, open space, tot lot and restroom. The project would also include drought tolerant landscaping, river -rock bioswale, and a picnic area. The total project cost is $4,000,000. There is $2,359,072 of funding identified for this project from another grant (North OC Watershed Management) and a successful grant award of $1,640,928 will allow the project to move forward. Development of the grant applications involved community input. City staff held a series of community meetings for each proposed projects. City staff incorporated requests from the community into the scope of the project. As a requirement of the application process, the City must submit resolutions (Attachment 1) approving the filing of three applications for the proposed projects no later than the end of October. Concept plans for each of the projects are provided in Attachment 2. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #6 — Community Facilities & Infrastructure, Objective #1 (Establish and maintain a Community Investment Plan for all City assets). FISCAL IMPACT There is no direct fiscal impact with this action, but if awarded the grant, upon successful completion of the project, the City will incur additional costs to maintain the sites. Lisa Rudloff Executive Director Parks, Recreation, and Community Services Agency Exhibits: 1. Resolution (Memorial Community Center Phase 1) 2. Resolution (Standard/McFadden Park 3. Resolution (Raitt/Myrtle Park) 4 Concept Plans (Memorial Community Center Phase 1 and 2, Standard/McFadden P st9ki4yrtle Park) RESOLUTION NO. 2019 —XXX RESOLUTION OF THE CITY COUNCIL FOR THE CITY OF SANTA ANA APPROVING THE APPLICATION FOR STATEWIDE PARK DEVELOPMENT AND COMMUNITY REVITALIZATION PROGRAM GRANT FUNDS FOR THE MEMORIAL PARK COMMUNITY CENTER AND GYM (PHASE 1-COMMUNITY CENTER) PROJECT WHEREAS, the State Department of Parks and Recreation has been delegated the responsibility by the Legislature of the State of California for the administration of the Statewide Park Development and Community Revitalization Grant Program, setting up necessary procedures governing the application; and WHEREAS, said procedures established by the State Department of Parks and Recreation require the Applicant to certify by Resolution the approval of the application before submission of said application to the State; and WHEREAS, successful Applicants will enter into a contract with the State of California to complete the Grant Scope project; 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. That the Santa Ana City Council approves the filing of an application for the Memorial Park Community Center and Gym (Phase 1-Community Center) Project for $8,500,000 through the Statewide Park Development and Community Revitalization Program ('Project'). The proposed Project has two phases. The application is for phase one of the Project to demolish the existing community center structure and construct a 26,000 square foot Community Center with a multi -purpose room, community room, recreational room, kitchen, additional activity rooms, staff offices, and restrooms. The Project will also include outdoor walkways, patio, new landscaping, security lighting around the outside of facility, a parking lot on the north side of the park, and additional restrooms next to the existing pool area. B. That the Santa Ana City Council certifies that if the project is awarded, the City has or will have available prior to the commencement of any work on the project sufficient funds to operate and maintain the project. #9099v3 Resolution No. 2019-XXX 55A-3 Page 1 of 3 C. That the City of Santa Ana certifies that it has reviewed, understands, and agrees to the General Provisions contained in the contract shown in the Grant Administration Guide; and D. That the Santa Ana City Council delegates to the City Manager or the Executive Director of the Parks, Recreation and Community Services Agency, or his/her designee, the authority to conduct all negotiations, sign and submit all documents, including, but not limited to applications, agreements, amendments, and payment requests, which may be necessary for the Grant Scope; and E. That the City of Santa Ana will comply with all applicable federal, state and local laws, ordinances, rules, regulation and guidelines. F. That the City of Santa Ana will consider promoting inclusion per Public Resources Code §80001(b)(8 A-G). Section 2. 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 1 st day of October, 2019. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By:_C , v . Laura A. Rossini Senior Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers #9099v3 Resolution No. 2019-XXX 55A-4 Page 2 of 3 *AV NI:3Ill iI CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Daisy Gomez, Clerk of the Council, do hereby certify the attached Resolution No. 2019- XXX to be the original Resolution adopted by the City Council of the City of Santa Ana on October 1, 2019. Date: Clerk of the Council City of Santa Ana 49099v3 Resolution No. 2019-XXX 55A-5 Page 3 of 3 *AV :I1:3111WA RESOLUTION NO. 2019—XXX RESOLUTION OF THE CITY OF SANTA ANA APPROVING THE APPLICATION FOR STATEWIDE PARK DEVELOPMENT AND COMMUNITY REVITALIZATION PROGRAM GRANT FUNDS FOR THE STANDARD AND MCFADDEN NEW PARK WHEREAS, the State Department of Parks and Recreation has been delegated the responsibility by the Legislature of the State of California for the administration of the Statewide Park Development and Community Revitalization Grant Program, setting up necessary procedures governing the application; and WHEREAS, said procedures established by the State Department of Parks and Recreation require the Applicant to certify by resolution the approval of the application before submission of said application to the State; and WHEREAS, successful Applicants will enter into a contract with the State of California to complete the Grant Scope project; 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 hereby approves the filing of an application for the Standard and McFadden New Park project for $3,600,000 through the Statewide Park Development and Community Revitalization Program ('Project'). The proposed Project would develop the existing vacant, unused parcel of land into a new park and include a skate area, exercise area, playground area, walking loop, open space and basketball court. The Project would also include drought tolerant landscaping, river -rock bioswale, a picnic area, and a complete lighting system and fencing to act as a barrier between the park and street. B. The Santa Ana City Council certifies that the City has or will have available prior to the commencement of any work on the Project included in this application, the sufficient funds to complete the project; and . C. The Santa Ana City Council certifies that the City has reviewed, understands, and agrees to the General Provisions contained in the contract shown in the Grant Administration Guide; and #9104v4 Resolution No. 2019-XXX 55A-6 Page 1 of 3 *:� : 11:1 h WA D. The Santa Ana City Council delegates the authority to the City Manager or the Executive Director of the Parks, Recreation and Community Services Agency, or his/her designee, to conduct all negotiations, sign and submit all documents, including, but not limited to applications, agreements, amendments, and payment requests, which may be necessary for the completion of the Grant Scope. E. The City of Santa Ana agrees to comply with all applicable federal, state and local laws, ordinances, rules, regulation and guidelines. F. The City will consider promoting inclusion per Public Resources Code §80001(b)(8 A-G). Section 2. 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 1 st day of October, 2019. APPROVED AS TO FORM: Sonia R. Carvalho City Attorney Laura A. Rossini Senior Assistant City Attorney AYES: NOES: ABSTAIN: NOT PRESENT Councilmembers Councilmembers Councilmembers Councilmembers Miguel A. Pulido Mayor #9104v4 Resolution No. 2019-XXX 55A-7 Page 2 of 3 *AV :I1:3111WA CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Daisy Gomez, Clerk of the Council, do hereby certify the attached Resolution No. 2019- XXX to be the original Resolution adopted by the City Council of the City of Santa Ana on October 1. 2019. Date: Clerk of the Council City of Santa Ana #9104A Resolution No. 2019-XXX 55A-8 Page 3 of 3 *A : 11.1111 %3 RESOLUTION NO. 2019—XXX RESOLUTION OF THE CITY OF SANTA ANA APPROVING THE APPLICATION FOR STATEWIDE PARK DEVELOPMENT AND COMMUNITY REVITALIZATION PROGRAM GRANT FUNDS FOR THE RAITT AND MYRTLE NEW PARK WHEREAS, the State Department of Parks and Recreation has been delegated the responsibility by the Legislature of the State of California for the administration of the Statewide Park Development and Community Revitalization Grant Program, setting up necessary procedures governing the application; and WHEREAS, said procedures established by the State Department of Parks and Recreation require the Applicant to certify by resolution the approval of the application before submission of said application to the State; and WHEREAS, successful Applicants will enter into a contract with the State of California to complete the Grant Scope project; 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 hereby approves the filing of an application for $1,640,928 for the Raitt and Myrtle New Park project through the Statewide Park Development and Community Revitalization Program (`Project'). The proposed Project would develop the existing vacant, unused parcel of land into a new park, which would include a skate area, exercise area, tot lot and butterfly interpretive garden, walking loop, open space, and restroom. The Project would also include drought tolerant landscaping, river - rock bioswale, and a picnic area. B. The Santa Ana City Council certifies that if the project is awarded, the City has or will have available prior to the commencement of any work on the Project included in this application, the sufficient funds to complete the project; and C. The Santa Ana City Council certifies that the City has reviewed, understands, and agrees to the General Provisions contained in the contract shown in the Grant Administration Guide; and #9098v4 Resolution No. 2019-XXX 55A-9 Page 1 of 3 D. The Santa Ana City Council delegates the authority to the City Manager or the Executive Director of the Parks, Recreation and Community Services Agency, or his/her designee, to conduct all negotiations, sign and submit all documents, including, but not limited to applications, agreements, amendments, and payment requests, which may be necessary for the completion of the Grant Scope; and. E. The City of Santa Ana agrees to comply with all applicable federal, state and local laws, ordinances, rules, regulation and guidelines. F. The City of Santa Ana will consider promoting inclusion per Public Resources Code §80001(b)(8 A-G). Section 2. 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 1 st day of October, 2019. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By: d.a f fit, Laura A. Rossini Senior Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers #9098v4 Resolution No. 2019-XXX 55A-1 0 Page 2 of 3 *:� : 11:1 1, d11;3 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Daisy Gomez, Clerk of the Council, do hereby certify the attached Resolution No. 2019- XXX to be the original resolution adopted by the City Council of the City of Santa Ana on October 1. 2019. Date: Clerk of the Council City of Santa Ana #9098v4 Resolution No. 2019-XXX 55A-1 1 Page 3 of 3 I I V Nd O a z LLI 0 0 LQL V C z Q C OC a c z 55A-13 4E�1114 3�Y7SON 4_ bNuslx�l3 NNE Iliad 1N;WJIod'd 3d91mids -ZV141 im wo-Mj5d11 ss)avl DINad I"" 9m13Njol1ml 4)�daJlnd *lao'g )Y1�j SN1191x-q 9)Y � Nlgl Nnm# 3NtYNld4 vaa�Had iii�i3�,� 3M13AV 4VtlH'JNLL.LOL� kjjN3 Ill S Ai WIN .5111� 4 u 3*dliQ LU r _9Jaan-vim Hlad Q _ '-Nnf)YM '7'a n Q 3_ 55A-14 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 1, 2019 TITLE: ADOPT A RESOLUTION ACCEPTING THE DONATION OF A POLICE THERAPEUTIC CANINE FROM VOLUNTEER JOHANNA SCILLIERI FOR THE SANTA ANA POLICE DEPARTMENT {STRATEGIC PLAN GOAL NO. 1, C} /S/ Kristine CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on ls' Reading ❑ Ordinance on god Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution accepting the donation of a Police Therapeutic Canine from Johanna Scillieri for the Santa Ana Police Department. DISCUSSION The Santa Ana Police Department has become the first municipal law enforcement agency in Orange County to have apprehension canines, a Blood Hound, and a full-time Therapeutic Canine. Recently, Police Volunteer Johanna Scillieri donated a Therapeutic Canine ("Shadow") to the Police Department as an additional resource for the Santa Ana community and Police Department personnel. Shadow is a two-year old female Labrador Retriever born November 27, 2016. Shadow comes to the Santa Ana Police Department from Guide Dogs of the Desert, an organization that breeds, raises and trains dogs to serve as guides and companions to the blind/visually impaired. Through Guide Dogs of the Desert, Shadow has already received many hours of foundational obedience training, which will benefit her as a Therapeutic Canine. With her extensive training, Shadow will serve the Santa Ana Police Department and the community as a therapy dog. Shadow's primary function will be to provide comfort and emotional support to the community and SAPID personnel during life's difficult moments and experiences. The acquisition of Shadow was made possible through a generous private donation from Ms. Scillieri who has continuously supported the Police Department for many years. The total value to purchase Shadow is approximately $1,000. Shadow will live at the Police Department full-time. Currently, the Santa Ana Police Department Canine Unit has six apprehension canines and one Bloodhound. This resolution would enable the Department to expand the size of the Canine Unit to include one Therapeutic Canine. 55B-1 Therapeutic Canine Resolution October 1, 2019 Page 2 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #1 Community Safety - Objective #1 (Modernize the Community Policing philosophy to improve customer service, crime prevention and traffic/pedestrian/bicycle safety), Strategy C (Deliver crime prevention/community policing programs based on the community policing plan). FISCAL IMPACT There is no fiscal impact associated with this action. David Valentin Chief of Police Santa Ana Police Department Exhibit: 1. Resolution 55B-2 19-9111IW4i7LO7 RESOLUTION NO. 2019-xxx A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ACCEPTING THE DONATION OF A THERAPEUTIC CANINE FOR THE SANTA ANA POLICE DEPARTMENT FROM JOHANNA SCILLIERI 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 ("City") hereby finds, determines and declares as follows: A. WHEREAS, the Santa Ana Police Department researched becoming the first law enforcement agency in Orange County to have a full-time Therapeutic Canine in its program; and B. WHEREAS, Guide Dogs of the Desert trains canines to serve as guide animals for the blind; and C. WHEREAS, a two-year old female, black Labrador named, Shadow, was unable to complete the training but has received foundational obedience training that does not preclude Shadow from being a Therapeutic Canine; and D. WHEREAS, community members donate various items to enhance the K-9 program, including canines; and E. WHEREAS, Police Volunteer Johanna Scillieri, who has a passion for animals and Santa Ana Police Department's K-9 program, in particular, and has previously donated to the City two (2) Police K-9's to the Santa Ana Police Department; and F. WHEREAS, Ms. Scilleri has acquired Shadow and now desires to donate Shadow to the SAPID; and G. WHEREAS, the total value to purchase Shadow is approximately $1,000. Section 2. The City hereby accepts the donation of Shadow, to its ranks, for her services to the Department as a Therapeutic Canine. Section 3. If any surcharge or fee, section, subsection, sentence, clause, phrase or word of this Resolution is for any reason held to be invalid by a court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this Resolution. The City Council hereby declares that it would have passed and adopted #9938v1 Resolution No. 2019-xx 55B-3 Page 1 of 2 TB 10.1.2019 this Resolution, and each and all provisions hereof, irrespective of the fact that one or more provisions may be declared invalid. 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 October, 2019. Miguel A. Pulido Mayor APPROVED AS TO FORM: So a .Carvalho, City Attorney By; I'�� Al ...Mm.__._ Tamara Bogosia Assistant City Attorney AYES: NOES: NOT PRESENT: Councilmembe Council Council Council CERTIFICATE OF ATTESTATION AND ORIGINALITY I, DAISY GOMEZ, 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 Clerk of the Council City of Santa Ana #9938v1 Resolution No. 2019-xx 55B-4 Page 2 of 2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 1, 2019 TITLE ADOPT A RESOLUTION OPPOSING THE TRUMP ADMINISTRATION'S AND THE DEPARTMENT OF HOMELAND SECURITY'S CHANGE TO THE PUBLIC CHARGE RULE AS APPLIED TO LEGAL PERMANENT RESIDENCY APPLICATIONS {STRATEGIC PLAN NO. 5 ) /S/ Kristine CITY MANAGER 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 Adopt a resolution opposing the Trump Administration's and the Department of Homeland Security's change to the public charge rule as applied to legal permanent residency applications. DISCUSSION On August 14, 2019, the Trump Administration and the U.S. Department of Homeland Security (DHS) published a change to the "public charge" rule, proposing that when considering an immigrant's application for legal permanent residency, DHS may consider an applicant's use, or likely use at any time in the future, of anti -poverty safety net programs that improve access to health care, nutrition, and housing security, as a factor for denying legal status to an immigrant. An individual is considered a public charge if they are primarily dependent on the government for subsistence. Since 1999, this has been defined as receiving federal, state, or local cash assistance for income maintenance or to be institutionalized for long-term care at the expense of the government. This federal policy serves as a possible basis for inadmissibility that could bar an individual's admission to the United States on a visa or adjustment of status to that of a lawful permanent resident. Under the proposed rule change, benefits that could be considered in a public charge determination would include medical assistance, food stamps (SNAP), federally subsidized public housing or housing vouchers, and Medicare Part D subsidies. The Center on Budget and Policy Priorities estimates that, under the proposed public charge test, more than 100 million people - about one-third of the total U.S. population - would fail the public - charge determination if they were required to take it today. The proposed rule change in the process of consideration for visa or legal permanent residency status would severely discriminate against those with disabilities or chronic health conditions, impacting entire families based on the medical needs of a single family member. 55C-1 Adopt Resolution to Oppose the Trump Administration's and the Department of Homeland Security's Change to the Public Charge Rule October 1, 2019 Page 2 Following direction received at the September 17, 2019 City Council meeting, the City Manager is recommending that the City Council adopt a resolution (Exhibit 1) to oppose the Trump Administration's and the Department of Homeland Security's change to the public charge rule as applied to legal permanent residency applications. The City of Santa Ana opposes this change because of the negative impact the proposed rule would have on our immigrant communities' access to vital services and cost -saving initiatives that keep families healthy and on the path towards economic self-sufficiency and success. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 — Community Health, Livability, Engagement & Sustainability. ENVIRONMENTAL IMPACT There are no environmental impacts associated with this action. FISCAL IMPACT There is no fiscal impact at this time. Exhibit: 1. Resolution 55C-2 RESOLUTION NO. 2019 —XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA OPPOSING THE TRUMP ADMINISTRATION'S AND THE DEPARTMENT OF HOMELAND SECURITY'S CHANGE TO THE PUBLIC CHARGE RULE AS APPLIED TO LEGAL PERMANENT RESIDENCY APPLICATIONS WHEREAS, on August 14, 2019, the Trump Administration and the U.S. Department of Homeland Security (DHS) published a change to the "public charge" rule, which takes effect on October 15, 2019, proposing that when considering an immigrant's application for legal permanent residency, DHS may consider an applicant's use, or likely use at any time in the future, of anti -poverty safety net programs that improve access to health care, nutrition, and housing security, as a factor for denying legal status to an immigrant; and WHEREAS, U.S. Citizenship and Immigration Services ("USCIS") evaluates whether potential immigrants are likely to be a "public charge" when considering green card applications or those seeking to re-enter the country on certain Visas; and WHERAS, under the current policy, a "public charge" has been interpreted to mean a person who is "primarily dependent on the Government for subsistence, as demonstrated by either the receipt of public cash assistance for income maintenance or institutionalization for long-term care at Government expense and reliance on or receipt of non -cash benefits such as the Supplemental Nutrition Assistance Program (SNAP), or food stamps; Medicaid; and housing vouchers and other housing subsidies are not currently considered by DHS in determining whether an alien is deemed likely at any time to become a public charge; and WHEREAS, under the proposed rule change, benefits that could be considered in a public charge determination would include medical assistance, food stamps (SNAP), federally subsidized public housing or housing vouchers, and Medicare Part D subsidies; and WHEREAS, the Center on Budget and Policy Priorities estimates, based on one year of program participation, show that 28 percent, or nearly 3 in 10, of U.S.-born citizens receive one of the main benefits included in the proposed definition and those persons would fail the public -charge determination if they were required to take it today; and WHEREAS, the proposed rule change in the process of consideration for visa or legal permanent residency status would severely discriminate against those with disabilities or chronic health conditions, impacting entire families based on the medical needs of a single family member; and 910339v2 Resolution No. 2019-XXX 55C-3 Page 1 of 3 WHEREAS, the DHS recognizes the significant negative economic impact threatened by its proposed rule, explicitly stating that it "may have downstream and upstream impacts on state and local economies, large and small businesses, and individuals," and describing the risk to a wide range of economic activity from healthcare providers and pharmacies, manufacturers, landlords, grocery retailers, and agricultural producers; and WHEREAS, the City of Santa Ana was established by immigrants 150 years ago, and our history is one of welcoming those seeking the opportunity for a better life and we continue to draw strength from that diversity; and WHEREAS, the City of Santa Ana has a population of over 360,000 people, where nearly forty percent of all Santa Ana residents are immigrants or children of immigrants; and WHEREAS, fostering a welcoming environment and treating all individuals with compassion and respect, regardless of race, ethnicity, place of origin, or citizenship status enhances Santa Ana's cultural fabric, economic growth, global competitiveness and overall prosperity for current and future generations; and WHEREAS, the City of Santa Ana is committed to its residents and will provide important information and resources to our immigrant communities; and WHEREAS, Santa Ana must stand against national policies and rules that target the health and safety of our immigrant neighbors and communities, regardless of status. 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 of Santa Ana opposes the Trump Administration's and the Department of Homeland Security's proposed change to the public charge rule as applied to legal permanent residency applications because of the negative impact the proposed rule would have on our immigrant communities' access to vital services and cost -saving initiatives that keep families healthy and on the path towards economic self-sufficiency and success. Section 2. 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. #10339v2 Resolution No. 2019-XXX 55C-4 Page 2 of 3 ADOPTED this day of APPROVED AS TO FORM: By. J 'Jf Sonia R. Carvalho City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers 2019. Miguel A. Pulido Mayor CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Daisy Gomez, Clerk of the Council, do hereby certify the attached Resolution No. 2019- to be the original resolution adopted by the City Council of the City of Santa Ana on . 2019. Date: Clerk of the Council City of Santa Ana #10339v2 Resolution No. 2019-XXX 55C-5 Page 3 of 3 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 1, 2019 TITLE: APPROVE AN APPROPRIATION ADJUSTMENT IN THE AMOUNT OF $277,320; ADOPT A RESOLUTION AMENDING RESOLUTION NO. 2015-026 TO EFFECT CERTAIN CHANGES TO THE CITY'S BASIC CLASSIFICATION AND COMPENSATION PLAN; AND APPROVE A MEMORANDUM OF UNDERSTANDING WITH THE SANTA ANA MANAGEMENT ASSOCIATION (SAMA) {STRATEGIC PLAN NO. 7, 4, at 61 /s/ Kristine Ri CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on ls' Reading ❑ Ordinance on 2od Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER 1. Approve an Appropriation Adjustment transferring $277,320 from General Fund Non - Departmental into the appropriate General Fund Accounting Units (Exhibit 1). 2. Adopt a Resolution Amending Resolution No. 2015-026 to effect certain changes to the City's Basic Classification and Compensation Plan (Exhibit 2). 3. Authorize the City Manager to execute a Memorandum of Understanding with the Santa Ana Management Association (SAMA) for the period January 1, 2019 through June 30, 2022, regarding wages and other terms of conditions of employment (Exhibit 3). DISCUSSION The current Santa Ana Management Association (SAMA) Memorandum of Understanding (MOU) expired on December 31, 2018. Per the terms and conditions of that MOU, negotiations with SAMA for a successor MOU commenced and resulted in a new three and one-half year agreement that has been ratified by the membership of SAMA. The major provisions of this agreement include: 55D-1 Agreement with SAMA 2019-2022 October 1, 2019 Page 2 1. Term: Effective January 1, 2019 through June 30, 2022. 2. Salary: The agreement provides a cost of living adjustment of 3.5% effective July 1, 2019; 2020; 2021. 3. Medical: Effective January 1, 2020, the City shall contribute an additional $50.00 allowance per month towards employee health insurance premiums. Effective January 1, 2021, the City shall contribute an additional $50.00 allowance per month towards employee health insurance premiums. Effective January 1, 2022, the City shall contribute an additional $50.00 allowance per month towards employee health insurance premiums. 4. Dental: Effective January 1, 2020, the City shall contribute an allowance of $120 per month per employee. Effective January 1, 2021, the City shall contribute an allowance of $125 per month per employee. Effective January 1, 2022, the City shall contribute an allowance of $130 per month per employee. 5. Long Term Disability (LTD): Effective January 1, 2020, the City shall increase the maximum plan coverage benefit from $5,000 to $10,000. 6. Holiday Closure: The City and SAMA have agreed to a mandatory City-wide winter holiday closure each year during the term of this MOU and shall sunset on June 30, 2022. 7. Management Vacation: Effective January 1, 2020, the City shall increase Management Vacation (Management Leave) from 50 hours to 65 hours per calendar year. 8. Technology Stipend: Upon adoption of the MOU, City shall increase the technology stipend from $75 per month to $100 per month. 9. Wellness and Fitness Reimbursement: Effective January 1, 2020, the City shall provide employees reimbursement up to $300 per fiscal year for qualified wellness and fitness programs. 10. Retiree Health Savings (RHS): Upon adoption of the MOU, City will contribute 1 % of base pay to employee's ICMA-RC (RHS) account upon adoption of the MOU. 11. Credit of Unused Sick Leave: Upon adoption of the MOU, employees with at least ten (10) years of full-time City service that retire from the City within one -hundred -twenty (120) days of separation from employment can convert up to two thousand (2000) hours of accrued un- used sick leave towards CalPERS service credit. 12.Amend Resolution 2015-026 of the City's Basic Classification and Compensation Plan to move the following five (5) full-time classifications from the Confidential Association of Santa Ana to the Santa Ana Management Association's Administrative Management unit at the monthly five -step salary rate ranges (prior to salary increase effective 7/1/19, item #2 above) 55D-2 Agreement with SAMA 2019-2022 October 1, 2019 Page 3 as noted in Exhibit 2: Secretary to the City Manager, Senior Budget Analyst, Senior Financial Analyst, Senior Human Resources Analyst, and Senior Management Analyst. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's effort to meet Goal #7 — Team Santa Ana, Objective #4, Establish employee compensation that attracts and retains a highly qualified workforce, objective #5, Create a culture of innovation and efficiency within the organization, objective #6, Provide a positive workplace environment that supports the health of its employees and celebrates its success, and objective #7 Develop a culture of motivated and innovative leaders in the organization. FISCAL IMPACT The non -departmental division of the General Fund budget is adequate to provide for the FY 2019- 20 compensation increase. The recommended appropriation adjustment would simply move the existing budget from non -departmental to the appropriate departments budgets. It is estimated that this agreement will result in a net cost to the City of $435,354 for FY 19-20, $890,801 for FY 20-21 and $1,235,112 for FY 21-22 for a total of $ 2,561,267 during the term of this agreement APPROVED AS TO FUNDS AND ACCOUNTS: Steven V. Pham Kathryn Downs, CPA Executive Director Executive Director Human Resources Department Finance and Management Services Agency Exhibits: 1. SAMA EXHIBIT 1: FY 2019-20 2. Resolution to amend City's Basic Classification and Compensation Plan 3. SAMA MOU January 1, 2019 through June 30, 2022 55D-3 O N e-I O N } u. ;4 Mr W 2 X CW G t a M LD N W eh v-I M M N r, `i ^ O M m M O ON I- m M M M N -1 m lD M O N lD lD mM O M M M W 00 M c-I m I, cl Dl in al N N i..q N H C} u 1 l0 W 00' e^-I n n n n W t,I� NLo � N n lD c-i I� n MN Il v CO () C N C G ? C Ca C .+ 0¢¢¢ V QV O m - C E O m - C E U O A C Y ,�+ U VI 7 0 cc. c `0 2 QOi. 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C N M M M M M V r-I O r, p p a+ O O O r-I ri ri ri cF tD tO w C 13 7 u Q ■ Q U V U U U U U T C C C C C C C T C Q Q Q Q Q Q tO Q a to N Q Q 0! 0/ 0) Ol 0l OJ G1 dam aaaaaaa y i O O O O O O O ML O O CO > > > > > > > C )o 0000000 m C Y Y Y Y Y Y _ E E E E E E E a E E E E E E E u U u U U V U 55D-6 EXHIBIT 2 RESOLUTION NO. 2019-XX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA TO AMEND RESOLUTION NO. 2015-026 TO EFFECT CERTAIN CHANGES TO THE CITY'S BASIC CLASSIFICATION AND COMPENSATION PLAN. BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1: The City Council hereby finds, determines and declares as follows: A. Section 1004, Article X of the City Charter of the City of Santa Ana requires the City Manager to prepare, install and maintain a position classification and pay plan subject to civil service rules and regulations and the approval of the City Council, B. On June 16, 2015, the City Council adopted Resolution No. 2015-026 amending and re-establishing the Basic Classification and Compensation Plan for all Full -Time and Part -Time Classifications of Officers and Employees of the City of Santa Ana. C. It is the City's practice to assign job titles that reflect the duties and responsibilities of the classification and are consistent with other classifications within the City's organizational structure as well as comparable job titles in the labor market, while maintaining internal pay equity relationships and attracting and retaining qualified candidates. D. The Human Resources Department has completed a review of the various departmental requests to make changes to the City's organizational structure, classification titles, and staffing which revealed the need to effect certain changes to the City's basic classification and compensation plans. E. The City Council has amended and reestablished the Basic Classification and Compensation Plan on numerous occasions since its adoption. F. It is now desired to amend Council Resolution No. 2015-026, as amended, in order to effect these changes, as shown below: #5358v3 Resolution 2019-xxx Page 1 of 4 55D-7 Section 2: The Santa Ana City Council amends Resolution No. 2015-026, Exhibit "B" as follows: A. Changing the following full-time classification titles at the monthly six -step salary rate range indicated: FROM: Classification Title Secretary to the City Manager (UC) Senior Budget Analyst (UC) Senior Financial Analyst (UC) Senior Human Resources Analyst (UC) Senior Management Analyst (UC) 6-Steo Salary Rate Ranae Effective 09/01/17 Monthly Salary SSR Minimum -Maximum 666 $5840 - $7453 697 $6791 - $8668 707 $7133 - $9102 707 $7133 - $9102 697 $6791 - $8668 Section 3: The Santa Ana City Council amends Resolution No. 2015-026, Exhibit "E" as follows: A. Changing the classification titles listed above in Section 2. A. to the following full-time classification titles at the monthly five -step salary rate range indicated: TO: Classification Title Secretary to the City Manager (AM) Senior Budget Analyst (AM) Senior Financial Analyst (AM) Senior Human Resources Analyst (AM) Senior Management Analyst (AM) 5-Step Salary Rate Ranae Effective 09/01/17 Monthly Salary SSR Minimum -Maximum AM-682 $6313 - $7674 AM-707 $7133 - $8668 AM-717 $7490 - $9102 AM-722 $7674 - $9330 AM-707 $7133 - $8668 B. Changing the following full-time classification title at the monthly five -step salary rate range indicated below to the full-time classification title at the monthly seventeen -step salary rate range indicated in Section 4.A.: VZOI 5-Step Salary Rate Range Effective 09/01/17 Monthly Salary Classification Title SSR Minimum -Maximum Benefits and Compensation Manager AM-750 $8798 - $10696 Section 4: The Santa Ana City Council amends Resolution No. 2015-026, Exhibit "A" as follows: Resolution 2019-XXX Page 2 of 4 55D-8 A. Changing the following full-time classification title at the monthly seventeen - step salary rate indicated: TO: 17-Step Salary Rate Range Effective 09/01/17 Monthly Salary Classification Title SSR Minimum -Maximum Benefits and Compensation Mgr (MM) MM-18 $8061 - $11964 Section 5: All salary rate range classifications are set forth in the City's "Salary Schedule" as periodically updated. Section 6: That except as amended by this Resolution, all other provisions of Resolution No. 2015-026 as amended shall remain in full force and effect Section 7: This Resolution is operative from and after the date upon which it is adopted. ADOPTED this 1 st day of October, 2019. Miguel A. Pulido Mayor APPROVED AS TO FORM: f Sonia R. Carvalho City Attorney AYES: NOES: ABSTAIN: NOT PRESENT #5358v3 Councilmembers Councilmembers Councilmembers Councilmembers Resolution 2019-xxx Page 3 of 4 55D-9 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Daisy Gomez, Clerk of the Council, do hereby attestto and certify the attached Resolution No. 2019- to be the original Resolution adopted by the City Council of the City of Santa Ana on October 1, 2019 Date: Clerk of the Council City of Santa Ana Resolution 2019-XXX Page 4 of 4 55D-10 EXHIBIT 3 UNDERSTANDING BETWEEN CITY OF SANTA ANA D SANTA ANA MANAGEMENT ASSOCIATION January 1, 2019 - June 30, 2022 SANTA ANA MANAGEMENT ASSOCIATION (SAZSU-41F... m MEMORANDUM OF UNDERSTANDING BETWEEN THE. CITY OF SANTA ANA AND THE SANTA ANA MANAGEMENT ASSOCIATION FOR FISCAL YEARS 2019-2022 TABLE OF CONTENTS ARTICLE I RECOGNITION 3 ARTICLE II PURPOSE AND INTENT 4 ARTICLE III IMPLEMENTATION 5 ARTICLE IV ATTENDANCE, WORKDAY, WORKWEEK & WORK SCHEDULE 6 ARTICLE V SALARIES 9 ARTICLE VI ADDITIONAL COMPENSATION 17 ARTICLE VII OVERTIME PAY 18 ARTICLE VIII HOLIDAYS 19 ARTICLE IX VACATION 23 ARTICLE X OTHER LEAVES OF ABSENCE 27 ARTICLE XI EMPLOYEE INSURANCE 37 ARTICLE XII WELLNESS & FITNESS REIMBURSEMENT 41 ARTICLE XIII RETIREMENT 42 ARTICLE XIV TRAINING & EDUCATION ASSIST. PROGRAM 45 ARTICLE XV ELECTRONIC DEVICE STIPEND 48 ARTICLE XVI STRIKES AND WORK STOPPAGES 49 ARTICLE XVII SOLE AND ENTIRE MOU 50 ARTICLE XVIII SEPARABILITY PROVISION 51 ARTICLE XIX GRIEVANCE REVIEW PROCEDURE 52 ARTICLE XX WAIVER OF BARGAINING DURING THE TERM OF THIS MOU 54 ARTICLE XXI EMERGENCY WAIVER PROVISION 55 ARTICLE XXII TERM 56 ARTICLE XXIII NON-DISCRIMINATION 57 ARTICLE XXIV RATIFICATION AND EXECUTION 58 EXHIBIT A ADMINISTRATIVE MANAGEMENT JOB TITLES 60 EXHIBIT B MIDDLE MANAGEMENT JOB TITLES 61 SANTA ANA MANAGEMENT ASSOCIATION (SAlv55j A12022 ARTICLE I 1.0 RECOGNITION 1.1 Pursuant to the Employee Relations Resolution of the City of Santa Ana (Resolution Number 81-075) and applicable State law, the City of Santa Ana (hereinafter called "the City") certified the Santa Ana Management Association (herein after called "SAMA") on September 25, 2002, as the majority of the Middle Management and Administrative Management Representation Unit (hereinafter called the "Unit") previously found appropriate by the Employee Relations Officer. The City hereby recognizes SAMA as the certified majority representative of the full time employees in said Unit. The term "employee" or "employees" as used herein shall refer only to full-time employees employed by the City in said Unit in the employee classifications comprising said Unit as listed in the attachments shown as listed "Exhibit A & B," as well as such classifications as may be added hereafter by the employee designated as the employee relations officer pursuant to Resolution No. 81-75. SAMA ANA MANAGEMENT ASSOCIATION (SANIMIZ 2 �022 ARTICLE II 2.0 PURPOSE AND INTENT 2.1 It is the purpose of this Memorandum of Understanding MOU (hereinafter referred to as MOU) to promote and provide for 'harmonious relations, cooperation and understanding between the City and employees covered by this MOU. It sets forth the full and entire understanding reached in good faith negotiations regarding the wages, hours, terms and conditions of employment of employees covered by this MOU. 2.2 Notwithstanding the following provisions of this MOU, the parties agree that they have intended nothing herein to entitle, alter, or award Civil Service rights or privileges to any employee represented by SAMA who is in the Excepted Service of the City. SANTA ANA MANAGEMENTASSOCIATION (SAM55.D 21 4022 ARTICLE III 3.0 IMPLEMENTATION 3.1 This MOU constitutes a recommendation jointly submitted to the City Council of the City of Santa Ana. The parties agree that this MOU shall not be binding upon the parties until said City Council: A. Acts, by majority vote, formally to approve said MOU and, B. Acts to appropriate the necessary funds required to implement the provisions of this MOU that require funding. 3.2 Implementation shall be effective as of the date the MOU is both approved by the City Council and the funding has been appropriated pursuant to Section 3.1 above. If the parties fail to agree to implement provisions of this Memorandum not requiring City Council approval, then negotiations shall resume upon the request of either party. SANTA ANA MANAGEMENT ASSOCIATION (SAW17N-2M1s022 ARTICLE IV 4.0 ATTENDANCE, WORKDAY, WORKWEEK, & WORK SCHEDULE 4.1 Attendance. All full time SAMA employees covered by this MOU shall be in attendance at their assigned worksite during hours prescribed by the City Manager or Executive Director they report to, or designee(s) and shall not absent themselves during prescribed hours without authorization. SAMA employees shall not be required to submit Leave of Absence Requests for absences of two (2) hours or less. 4.2 Hours of Work. Eight (8) hours of work shall constitute a normal day and forty (40) hours of work shall constitute a minimum workweek, except for employees for whom special regulations have been approved by the City Manager. A. 4/10 Work Schedule. The Executive Director, with the approval of the City Manager, may assign SAMA employees to a workweek consisting of four (4) ten (1.0) hour day with an additional one-half (1/2) or one (1) hour for unpaid lunch periods. The regular workweek shall consist of forty (40) hours. A regular day off shall consist of ten (10) hours. B. 9/80 Work Schedule. All SAMA employees shall be permitted to work a 9/80 work schedule when authorized by the Executive Director and approved by the City Manager. A SAMA employee will not be permitted to work this schedule if in the discretion of the Executive Director and City Manager, the 9/80 work schedule may reduce service to the public. 1. 9/80 Work Schedule Defined. The 9/80 work schedule shall be defined as working eighty hours over nine days in a two -week period. An employee shall work eight days for nine hours per day and one day for eight hours, excluding a one -hour lunch break during each work shift, totaling forty (40) working hours in each work week. a. The Work Week Period. The forty (40) hour work week period shall be defined as the work period starting from Friday at mid -shift to Friday at mid -shift. No employee working the 9/80 work schedule will be able to flex their Friday start time nor the time they take their lunch break, which will occur in the middle of the day on Fridays. b. The 9/80 Work Period. The 9/80 two -week work period for employees starts Friday mid -shift and continues for fourteen (14) days until Friday mid -shift. During this period, each week is made SANTA ANA MANAGEMENT ASSOCIATION (SAN@1XDS1: 2411'l�t`022 up of four nine -hour work days (thirty-six hours) and one four-hour Friday and those hours equal forty work hours in each work week (e.g., the Friday is split into four hours for the first shift, which is charged to work week one and four hours for the second shift, which is charged to work week two). C. SAMA employees cannot change schedules without prior approval of their Executive Director. The purpose of this authorization is to review the impact on supervision, staffing and workload. Employees may change schedules at the beginning of any work period with approval of their Executive Director. d. Modifications of the 9/80 work week period are not permitted unless authorized by the Executive Director of Human Resources and the City Manager. e. Emergencies: All SAMA employees on the 9/80 work schedule are subject to be called to work any time to meet any and all emergencies or unusual conditions that, in the opinion of the City Manager, Executive Director or designee, may require such service from any of said employees. 2. Leave Benefits. When a SAMA employee is off on a scheduled workday under the 9/80 work schedule, then nine (9) hours of eligible leave per workday shall be charged against the employee's leave balance or eight (8) hours shall be charged if the day off is a Friday. All leaves shall continue under the current accrual, eligibility, request and approval requirements. 3. Holidays. Provisions for holiday leave are found in Article VIII of this MOU. 4. Jury Duty Leave. The provisions of the MOU shall continue to apply; however, if an employee is called to serve on jury duty during a normal Friday off, Saturday, or Sunday, or on a City holiday, then the jury duty shall be considered the same as having occurred during employee's day off work. SANTA ANA MANAGEMENT ASSOCIATION (SAN50-4l7022 4.3 It is intent of the parties that no additional paid time off shall be gained or lost as a result of implementing any alternate work schedules. The City and SAMA agree to meet and confer to discuss abandoning any work schedule and implementing an alternate work schedule if the current schedule has not achieved the desired results. M SANTA ANA MANAGEMENT ASSOCIATION (SA iISU-2N 9... ARTICLE V 5.0 SALARIES 5.1 Basic Compensation Plan. There is hereby established a basic compensation plan for all full-time personnel who are now employed or will in the future be employed in any of the designated classifications of employment represented by SAMA as listed in this MOU and its attachments. 5.2 Schedule of Salaries. A. Two separate schedules of salary rate ranges, one for classifications of employment designated as SAMA Middle Management (MM) assigned to 17-step monthly salary rate ranges, and one for classifications of employment designated as SAMA Administrative Management (AM) assigned to 5-step monthly salary rate ranges, are attached hereto in matrix format as though set forth herein. The assignment of classifications to salary rate ranges for SAMA Middle Management (MM) and SAMA Administrative Management (AM) is listed in the City's salary schedule, as periodically updated and published by the City. B. The basic salary schedule for SAMA Middle Management classifications contains numerous salary rate ranges, each range comprised of seventeen (17) separate rates of pay shown in monthly amounts. The respective rate ranges are identified by a two -digit number preceded by the capital letters "MM." The separate rates of pay or steps within each salary rate range are identified by the numbers "1" through "17" inclusive, with Step "1" being the lowest or minimum rate of the range, Step "9" the middle or midpoint rate of the range, and Step "17" being the highest or maximum rate. The purpose of each step and criteria for advancement are set forth in Subsection 5.8(A) below. C. The basic salary schedule for SAMA Administrative Management contains salary rate ranges comprised of five (5) steps or rates of pay shown in monthly amounts, identified by the letters "A" through "E" inclusive, with Step "A" being the lowest step in the range. The purpose of each step and criteria for advancement to the next higher step within a particular salary rate range are set forth in Subsection 5.8(B) below. SAN1"A ANA MANAGEMENT ASSOCIATION (SANU�1®'�tI1�022 5.3 Salaries A. Effective July 1, 2019, the base salaries of classifications represented by this MOU shall be increased by three and one-half percent (3.5%). B. Effective July 1, 2020, the base salaries of classifications represented by this MOU shall be increased by three and one-half percent (3.5%). C. Effective July 1, 2021, the base salaries of classifications represented by this MOU shall be increased by three and one-half percent (3.5%). 5.4 Application of Basic Compensation Plan. The salary rate ranges contained in Subsection 5.2 are monthly salary rate ranges. All employees working in classifications of employment covered by this MOU shall be compensated at a monthly rate. 5.5 Probation. Except for employees in the Excepted Service as defined by the City Charter and employees re-employed from re-employment eligible lists, the probationary period shall be one (1) year from the date of appointment from an open eligible list (new hire) or a reappointment eligible list (rehire) or appointment from a promotional eligible list. 5.6 Beginning Rates. A. SAMA Middle Management Classifications. An employee appointed to a Middle Management classification shall be compensated at any rate within the lower third of the 17 step salary rate range (Steps "1" through "6") for their job classification as authorized by the Appointing Authority. When economic conditions, unusual employment conditions, or exceptional qualifications of a candidate for employment indicate a higher rate would be in the City's best interest, the City Manager may authorize hiring at a higher rate in the salary rate range but this higher rate generally shall not be above the midpoint. B. SAMA Administrative Management Classifications. An employee appointed to an Administrative Management classification may be placed by the Appointing Authority at any step within the applicable five (5) step salary rate range (Steps "A" through "E") in the schedule to which the classification has been assigned through adoption of this MOU, provided that such employee shall be assigned such salary step upon the commencement of his or her service in said classification and such assignment having once been made shall remain in effect until the said employee shall be entitled to advance to the next salary step in accordance with the further provisions of this Article as set forth below. SANTA ANA MANAGEMENT ASSOCIATION (SAmWD-20022 5.7 Service. The word "service" as used in this MOU shall be deemed to mean continuous, full-time service in the classification in which the employee is being considered for salary advancement, service in the higher classification or service in a classification allocated to the same salary rate range and having generally similar duties and requirements. Notwithstanding the above, employees in classifications represented by SAMA who are hired after the first (15`) working day of the month shall not be credited with time in service for that month when determining the length of service for salary advancement. A lapse of service by an employee for a period of time longer than ten (10) calendar days, by reason of resignation, quit, or discharge, shall serve to eliminate the accumulated length of service time of such employee for the purpose of this MOU, and any such employee reentering the service of the City shall be considered as a new employee, except that he or she may be reappointed as provided in Santa Ana Municipal Code (SAMC) Chapter 9-114 and may be placed in the same salary step in the appropriate salary rate range as he or she was at the time of termination of employment. 5.8 Advancement Within Ranges. A. SAMA Middle Management Classes: The following provisions shall govern salary advancement within rate ranges for employees employed in SAMA Middle Management classes: 1. Steps "I" through "15" Advancement: For any employee in a SAMA Middle Management classification covered by this MOU who has been initially appointed to a step lower than Step "15", advancement in the SAMA Middle Management schedule of salary rate ranges may be granted only for continued meritorious and efficient service by said employee in the effective performance of the duties of his or her position. Such advancement shall be in two-step increments, each step being equivalent to 2.5%, for a total increase of 5%per year, until Step "15" is achieved. For example, an employee covered by this MOU shall advance from Step 1 to Step 3, Step 3 to Step 5, Step 5 to Step 7, Step 7 to Step 9, Step 9 to Step 11, Stop I 1 to Step 13, or Step 13 to Step 15. The effective date of such merit step increase, if granted, shall be the first (Is`) day of the month following the completion of one (1) year of service at the step from which said employee is being advanced. SANTA ANA MANAGEMENT ASSOCIATION (SA15IM n 12022 m 2. Advancement to Steps "16" and "17": Any employee in a SAMA Middle Management classification covered by this MOU, who has reached Step "15" or Step "16" in the SAMA Middle Management schedule of salary rate ranges, may advance to the next higher step in the SAMA Middle Management schedule of salary rate ranges only for continued meritorious and efficient service by said employee in the effective performance of the duties of his or her position. Such advancement shall be in one-step increments, each step being equivalent to 2.5% per year until Step "17" is achieved. For example, an employee covered by this MOU shall advance from Step "15" to Step "16", and Step "16" to Step "17", respectively. 3. Any current SAMA Middle Management employee who previously advanced through the steps of each salary rate range using his or her initial date of hire into a middle management class shall retain that date as the anniversary date for purposes of advancing through the steps of each salary rate range while in his or her current class and for any subsequent promotions to a SAMA Middle Management class. The effective date of such merit step increase, if granted, shall be the first (lit) day of the month following the anniversary date. Such merit advancement shall require the following: a. There shall be on file in the office of the Executive Director of Human Resources a copy of each periodic performance appraisal required to be made on the employee by the Civil Service Rules and Regulations and/or the City Manager during the period of service time of such employee subsequent to his or her last salary advancement. b. The Appointing Authority, at least twenty (20) calendar days prior to the anticipated completion of such employee's required length of service, shall file with the City Manager a statement recommending the granting or denial of the merit increase and supporting such a recommendation with specific reasons therefore. The employee shall be notified by the Appointing Authority as to such recommendations and shall be informed of the reasons. C. No advancement in salary shall become effective until approved by the City Manager, except when placement on a salary step above: SANTA ANA MANAGEMENT ASSOCIATION (SA'SISD-2 2022 Step "I" results from promotion under the provisions of Section 5.9 (A) of this MOU. d. Notwithstanding the foregoing provisions of this subsection to the contrary, a merit step advance shall be automatically granted ninety (90) days after the due date if no performance appraisal is completed. The effective date of such merit step advance shall be retroactive to the first (Is`) day of the month following the completion of the required length of service. 4. When an employee in a SAMA Middle Management classification has not been approved for advancement to the next higher salary step, he or she may be reconsidered for such advancement after the completion of three (3) months of additional continued service in the classification and shall be reconsidered for advancement to the next higher step above his or her then current step after the completion of six (6) months of additional continued service in the classification. 5. An employee in a SAMA Middle Management classification who is being paid at any salary step above Step "1" may be reduced to the next lower step in the appropriate salary rate range upon the recommendation of the Appointing Authority and the approval of the City Manager. Procedure for such reduction shall follow the same procedure for merit advancement in Subsection 5.8 Paragraph (A) (4) above, and such officer or employee may be considered for readvancement under the same provisions as contained in Subsection 5.8 Paragraph (A) (4) above. B. SAMA Administrative Management Classifications: The following conditions shall govern salary advancement within 5-step rate ranges for employees employed in SAMA Administrative Management classifications: 1. For any employee in an Administrative Management classification covered by this MOU who has been initially appointed to a step lower than Step "E," advancement to the next higher step (Step "B" from Step "A" or Step "C" from Step `B," etc.) may be granted only for continued meritorious and efficient service by said employee in the effective performance of the duties of his or her position. The effective date of such merit step increase, if granted, shall be the first day of the month following the completion of one year of service at the step from which said employee is being advanced. SANTA ANA MANAGEMENT ASSOCIATION (SAN SE)43022 Such merit advancement shall require the following: a. There shall be on file in the Office of the Executive Director of Human Resources a copy of each periodic performance appraisal required to be made on the employee by the Civil Service Rules and Regulations and/or the City Manager during the period of service time of such employee subsequent to his or her last salary advancement. b. The Appointing Authority, at least twenty (20) calendar days prior to the anticipated completion of such employee's required length of service, shall file with the City Manager a statement recommending the granting or denial of the merit increase and supporting such a recommendation with specific reasons therefore. The employee shall be notified by the Appointing Authority as to such recommendations and shall be informed of the reasons. C. No advancement in salary shall become effective until approved by the City Manager, except when placement on a salary step above Step "A" results from promotion under the provisions of Section 5.9(B) of this MOU. d. Notwithstanding the foregoing provisions of this subsection to the contrary, a merit step increase shall be automatically granted ninety (90) days after the due date if no performance appraisal is completed. The effective date of such merit step increase shall be retroactive to the first (1st) day of the month following the completion of the required length of service. 2. When any such employee in a classification designated as Administrative Management (AM) has not been approved for advancement to the next higher salary step, he or she may be reconsidered for such advancement after the completion of three (3) months of additional service and shall be reconsidered for advancement to the next higher step above his or her then current step after the completion of six (6) months of additional service. This reconsideration shall follow the same steps and shall be subject to the same actions as provided in Subsection 5.8(B)(1) above. SANTA ANA MANAGEMENT ASSOCIATION (SA 115D-20)4021 3. Any employee in an Administrative Management classification who is being paid at any salary step above "A" may be reduced to the next lower step in the appropriate salary rate range upon the recommendation of the Executive Director and the approval of the City Manager. Procedure for such reduction shall follow the same procedure for merit advancement provided in Subsection 5.8(B)(1) above, and such employee may be considered for re -advancement under the same provisions as contained in Subsection 5.8(B)(2) above. 5.9 Promotional Salary Advancement. A. SAMA Middle Management Classifications: When an employee in a non- management classification of the City service is promoted to a SAMA Middle Management classification, they shall be placed at a salary rate in the appropriate salary rate range that will provide at least a five percent (5%) pay increase. B. SAMA Administrative Management Classifications: Promotion from a Non -Management Classification. An employee who is promoted to a SAMA Administrative Management classification from a non -management classification of the City service shall be placed at a salary rate in the appropriate Administrative Management monthly salary rate range that provides a pay increase of at least five percent (5%). 2. Promotional Salary Advancement. When an employee in a classification designated as Administrative Management (AM) is promoted to a higher classification from a position in a lower classification in the same occupational career ladder, he or she shall be reassigned to the beginning step in the appropriate monthly salary range for the higher classification; provided, however, that if the base salary currently being paid such employee is already equal to or higher than such beginning step, he or she shall be placed in the lowest step in the appropriate monthly salary rate range as will grant the employee a pay increase of at least five percent (5%) over his or her current base salary step exclusive of pay premiums such as bilingual pay, special skills or the like. SANTA ANA MANAGEMENTASSOCIATION (SANR5;0p®--ne,022 5.10 Demotion. A. SAMA Middle Management Classifications: When an employee in a Middle Management classification is demoted to a position in a lower classification, he or she shall be placed at a rate in the lower salary rate range which provides at least a five percent (5%) reduction in pay. B. SAMA Administrative Management Classifications: When an employee in a SAMA Administrative Management Classification is demoted to a position in a lower classification, his or her salary rate shall be fixed in the appropriate salary rate range for the lower classification accordance with the following provisions: 1. The salary rate shall be reduced by five percent (5%). 2. The new salary rate must be within the appropriate salary rate range. 3. The new salary rate shall not be higher than the salary step to which the employee would have been entitled had his or her service time in the higher classification been spent in the lower classification. 5.11 Probationary Rejection. A promotional employee who is rejected during the probationary period from a SAMA classification shall be returned to the classification in which he or she holds regular status and at his or her former salary step, unless the reasons for failure to complete probation would also be cause for dismissal from City service. 5.12 Reallocation of Salary Rate Ranges. An employee who is employed in a classification covered by this MOU which is reallocated to a different salary rate range from that previously assigned shall be retained in the same salary step in the new salary rate range as he or she had previously held in the prior rate range and shall retain credit for length of service in such step towards advancement to the next higher step. 5.13 Acting Pay. An employee in a classification covered by this MOU may be appointed by the Executive Director to serve in an acting capacity during an unplanned absence from work of thirty (30) calendar days or more of another employee represented by SAMA. Represented SAMA employees who are granted "acting pay" shall receive a five percent (5%) increase or the minimum rate of the higher salary range while serving in an "acting' capacity. SMS m SANTA ANA MANAGEMENT ASSOCiA'r10N (SA 022 ARTICLE VI 6.0 ADDITIONAL COMPENSATION 6.1 Bilingual Pay. An employee whom the Executive Director or his designee assigns to a position requiring bilingual capability in both English and either Samoan, Spanish, Vietnamese or other languages designated by the City Manager, will be paid a monthly premium in accordance with the criteria and amounts set forth below: A. Certification by the Executive Director of Human Resources as having satisfactorily demonstrated conversational fluency in both languages for any position requiring bilingual capability. B. Positions for which the Executive Director has determined that bilingual proficiency is essential to carry out duties and responsibilities of a critical and/or emergency nature without ready access to backup assistance, or positions where bilingual public contact is a major and essential element of the work being performed, will be designated as Primary Bilingual Assignments. A qualified incumbent of such position will be paid a monthly premium of one hundred seventy-five dollars ($175) above his or her then current base monthly salary step. C. Positions where it has been determined by the Executive Director that regular and frequent bilingual usage is necessary to the performance of duties, but not a major, essential or integral element of the work, will be designated as Secondary Bilingual Assignments. A qualified incumbent of such position will be paid a monthly differential of forty dollars ($40.00) above his or her monthly salary step for each of such assignment. D. The number of such Primary and/or Secondary Bilingual Assignment shall be no larger than the requirements of the department as determined by the Executive Director and the City Manager. E. There may be annual re -certification of such bilingual capability. 6.2 All assignments to positions providing for bilingual pay as set forth in this Article shall be made or revoked at the sole discretion of the Executive Director. SANTA ANA MANAGEMENT ASSOCIATION (SA115D- J�771022 17 ARTICLE VII 7.0 OVERTIME PAY 7.1 Compensation for Overtime. Employees in any of the designated classifications of employment listed in this MOU are designated as exempt from the provisions of the Fair Labor Standards Act (FLSA) provided by Section 13(a)(1) of the FLSA as defined by Regulations, 29 CFR Part 541, are not eligible for monetary compensation for overtime work or for compensatory time off with pay for overtime work, unless so required by the FLSA, or any other State or Federal laws. SANTA ANA MANAGEMENT ASSOCIATION (SAI68DL282022 ARTICLE VIII 8.0 HOLIDAYS 8.1 Employees covered by this MOU who work a regular forty (40) hour workweek schedule shall be entitled to receive the following days off during the calendar year as paid holidays: • January 1st - New Year's Day • Third (3rd) Monday in January - In observance of Martin Luther King's Birthday • Third (3rd) Monday in February - In memory of George Washington's Birthday • Last Monday in May - In commemoration of Memorial Day • July 4th - In observance of Independence Day • First (1st) Monday in September - In observance of Labor Day • November 1 Ith - In observance of Veteran's Day • Fourth (4th) Thursday in November - In observance of Thanksgiving Day • The Friday immediately following Thanksgiving Day • Last working day before Christmas Day, unless Christmas Day falls on a Thursday, in which instance, the day following Christmas Day shall be observed in lieu thereof • December 25th - In observance of Christmas Day • One (1) 9-hour Floating Holiday. Any workday selected by the employee with prior permission of the employee's supervisor • Every day proclaimed by the Mayor of the City as a holiday for City employees • Any holiday which falls on a Sunday will be observed on the following Monday. Any holiday which falls on a Saturday will be observed on the Friday preceding the holiday. 8.2 Holidays — Employees on Alternate Work Schedules. A. Full-time employees whose regular scheduled days off are other than Saturday and Sunday shall be entitled to receive twelve (12) working days off during the year in lieu of the holiday benefits specified in Section 8.1 above. Holidays will be credited based on the employee's working schedule. If the holiday falls on a regular 9-hour day, then 9 holiday hours will be credited. If the holiday falls on the 8 hour working Friday then 8-hours of holiday pay will be credited, with the exception of floating holidays that will be granted at nine (9) hours regardless of work schedule. SANTA ANA MANAGEMENT ASSOCIATION (SAtvjQ�D-2�}(�022 m B. Said substitute holidays may be scheduled by the Executive Director or his or her designee, normally during the same month that the holiday is observed by other City employees. An employee entitled to time off in lieu of holidays shall receive that time off in proportions to his or her service at full pay in such capacity during the year. 8.3 Employees must actually work at least one (1) day preceding the day a holiday listed in Section 8.1, supra, actually occurs in order to receive credit for such holidays during the month in which it occurs. An employee separating from the service of the City must actually work at least one (1) day following the day a holiday listed in Section 8.1, supra, actually occurs in order to receive compensation for the holiday. A newly appointed employee must complete six (6) months of continuous full-time service in order to receive credit for the one (1) Floating Holiday listed in Section 8.1 above. 8.4 Holiday time off may be taken in increments of eight (8) hours by employees who work 8 hour days. Employees assigned to the 4/10 must use their holiday in ten (10) hour increments. Effective with the date of approval of this MOU by the City Council, employees assigned to a 9/80 work schedule must use their holidays in nine (9) hour increments. 8.5 If a holiday falls on an employee's Friday off, the employee must then take their holiday off before or after the regular holiday as their holiday off with supervisor and/ or Executive Director approval. If the SAMA employee cannot take their holiday off before or after the regular scheduled holiday off the employee will bank eight hours of holiday leave to be used at a later date with the supervisor's approval. 8.6 Holiday benefits may not be carried over from one (1) calendar year to the next. 8.7 Mandatory Holiday Closure. A. Effective upon adoption of this MOU, City Hall and all other City departments (with the exception of the Police Department, Santa Ana Zoo, and select employees in Fleet Services Division) shall be closed for a mandatory winter holiday closure each year during the term of this MOU. B. Sunset Clause for Mandatory Holiday Closure SANTA ANA MANAGEMENT ASSOCIATION (SAr 55D-;30022 This provision shall expire on June 30, 2022 and no additional mandatory winter holiday closures may be implemented after the 2021 winter holiday closure, unless mutually agreed to otherwise by the parties. C. Dates of Closures 1. 2019: The closure shall nm from Tuesday, December 24, 2019 through Wednesday, January 1, 2020. The City shall re -open and employees report back to work as scheduled on Thursday, January 2, 2020. Employees shall observe the three (3) City paid holidays provided in Section 8.1 on: • Tuesday, December 24, 2019 (Last workday before Christmas Day) • Wednesday, December 25, 2019 (Christmas Day) • Wednesday, January 1, 2020 (New Year's Day) On each of the holiday closure days for 2019; December 26, 30 and 31, 2019 as well as December 27, 2019 for those employees who, but for the holiday closure, would be scheduled to work that day as their working Friday. Employees may use any of the following accrued leaves (if employees have such leaves): vacation, management vacation, or holiday leave. Employees may also choose to be off on any or all of these days on a leave without pay. 2. 2020: The closure shall run from Thursday, December 24, 2020 through Friday, January 1, 2021. The City shall re -open and employees report back to work as scheduled on Monday, January 4, 2021. Employees shall observe the three (3) City paid holidays provided in Section 8.1 on: • Thursday, December 24, 2020 (Last workday before Christmas Day) Friday, December 25, 2020 (Christmas Day). For employees whose alternating regular day off is on December 18, 2020 who would otherwise be scheduled to work on December 25, 2020, the Christmas Holiday is on December 25, 2020. For employees whose alternating regular day on will be on December 18 who would otherwise be scheduled off on Friday December 25, they will receive nine (9) floating holiday hours for Christmas Day 2020, and Friday, January 1, 2021 (New Year's Day). For employees whose alternating regular day on is on December 18, 2020 who would otherwise be scheduled to work on January 1, 2021, the New Year's Holiday is on January 1, 2021. For employees whose SANTA ANA MANAGEMENTASSOCI ATfON (SAN516 ' 12022 alternating regular day off will be on December 18, 2020 who would otherwise be scheduled off on Friday January 1, 2021, they will receive nine (9) floating holiday hours for New Year's Day 2020. • On each of the holiday closure days for 2020, (December 28, 29, 30 and 31, 2020) employees may use any of the following accrued leaves (if employees have such leaves): vacation, management vacation, or holiday leave. Employees may also choose to be off on any or all of these days on a leave without pay. 3. 2021: The closure shall run from Friday, December 24, 2021 through Friday, December 31, 2021. The City shall re -open and employees report back to work as scheduled on Monday, January 3, 2022. Employees shall observe the three (3) City paid holidays provided in Section 8.1 on: • Friday, December 24, 2021 (Last work day before Christmas Day). For employees whose alternating regular day off is on December 17, 2021, who would otherwise be scheduled to work on December 24, 2021, the Christmas Eve Holiday is on December 24, 2021. For employees whose alternating regular day on will be on December 17 who would otherwise be scheduled off on Friday December 24, they will receive nine (9) floating holiday hours for Christmas Eve 2021. • Monday, December 27, 2021 (Christmas Day) • Thursday, December 31, 2021(New Year's Day) For employees whose alternating regular day on is on December 17, 2020 who would otherwise be scheduled to work on December 31, 2021, the New Year's Holiday is on December 31, 2021. For employees whose alternating regular day off will be on December 17, 2020 who would otherwise be scheduled off on Friday December 31, 2021, they will receive nine (9) floating holiday hours for New Year's Day 2022. • On each of the holiday closure days (December 28, 29, and 30 (employees may use any of the following accrued leaves (if employees have such leaves): vacation, management vacation, or holiday leave. Employees may also choose to be off on any or all of these days on a leave without pay. SANTA ANA MANAGEMENT ASSOCIATION (SAN55D-32,022 ARTICLE IX 9.0 VACATION 9.1 Purpose. It is the policy of the City to grant employees vacation leave in order to provide them with a break in their regular work schedule and this purpose will be used as a guide in the administration of the provisions of this Article. 9.2 Vacation. A. Effective January 1, 2016, the regular and longevity vacation accruals of bargaining unit members shall be combined into one single vacation bank. The accrual rates will remain the same. However, after January 1, 2016 there will no longer be a reference to longevity vacation. Longevity vacation earned but not advanced in 2015 will be credited to the employee's vacation bank effective January 1, 2016. Thereafter, members shall accrue the combined vacation with pay on a monthly basis as set forth in the following table. Beginning Years Annual Vacation Hours Accrued Monthly Accrual Rate 1 120 10.00 2 120 10.00 3 120 10.00 4 120 10.00 5 120 10.00 6 124 10.33 7 128 10.67 8 132 11.00 9 136 11.33 10 140 11.67 11 144 12.00 12 148 12.33 13 152 12.67 14 156 13.00 15 160 13.33 16 168 14.00 17 176 14.67 18 184 15.33 19 192 16.00 20 or more 200 16.67 55D-33 SANTA ANA MANAGEMENT ASSOC(AT(ON (SAMA) MOU: 20I9-2022 B. No employee shall be entitled to, or receive payment for, any vacation until he or she has completed six (6) months of continuous service. C. On or after the first (1") day of the month following completion of six (6) months of continuous full-time service, an employee may be allowed to take all or a proportionate fraction of his or her carried vacation, subject to scheduling approval of the employee's supervisor. D. Vacation time off may be taken in increments as small as one-half (1/2) hour, with fractional usage rounded upward to the next higher multiple of one-half (1/2). E. The time at which an employee shall take his or her vacation shall be determined by the Department Head, with due regard for the wishes of the employee and particular regard for the needs of the City. F. Computation of Vacation. 1. In computing vacation, each municipal holiday that occurs during the vacation, and that falls on a day which the employee would have worked had he or she not been on vacation, shall be deducted from the computation so that one (1) additional day of vacation shall be allowed to the employee unless departmental practice provides some other manner of compensating for municipal holidays. Should an employee be confined to a hospital for sickness or injury while on authorized vacation, each full day of such confinement, when confirmed by a physician's statement and approved by the Executive Director, may be deducted from the computation of vacation expended and charged against the employee's accumulated sick leave. 2. A period of earlier service does not apply toward the calculation of the completed years of service factor for vacation accrual when an employee has had a break in continuous service, unless the break in service is concluded by reappointment, as provided in Section 9-114 of the Civil Service Rules and Regulations, or by reemployment from layoff within one (1) year. Leave of absence without pay, as provided in Article X, Subsection 10.1 (E) (Sick Leave - Extended), Article X, Subsection 10.7 (Authorized Absence Without Pay - Long Tenn) and Article X, Subsection 10.11 (Catastrophic Leave) herein, does not constitute a break in continuous service as used in this section; however, the leave of absence period shall not be applied toward the accumulation of vacation. Absence on military SANTA ANA MANAGEMENT ASSOCIATION (SAMA) MOU: 2019-2022 24 55D-34 leave followed by reinstatement, as provided in Chapter 9-143 of the Civil Service Rules and Regulations, does not constitute a break in service, and the period of absence on such military leave shall be applied toward the accumulation of vacation. Vacation Buy -Back. Employees covered by this MOU are eligible to require the city to buy back up to eighty (80) hours of their banked vacation per fiscal year. 9.3 Vacation Carry ver A. No employee may carry over from one (1) calendar year to the next, more than the maximum vacation carryover as set forth in the following table. Any vacation not used beyond the maximum carryover amount from year to year is forfeited, meaning that no pay shall be received for such unused vacation at any time. With respect to any vacation forfeited in this manner, this provision constitutes a waiver of any rights to vested vacation benefits under California Labor Code section 227.3. Completed Years Maximum Hours of Vacation Carry Over 1 120 2 240 3 360 4 360 5 360 6 364 7 372 8 384 9 396 10 408 11 420 12 432 13 444 14 456 15 468 16 484 17 504 18 528 19 552 20 576 21 592 22 600 23 600 SANTA ANA MANAGEMENT ASSOCIATION (SAMA) MOU: 2019-2022 25 55D-35 24 600 25 or more 600 9.4 Effect of Extended Sick Leave on Vacation Accrual. Absence on sick leave for a period in excess of fifteen (15) consecutive calendar days, in any one (1) calendar month, shall not be considered as service time for vacation accrual purposes. 9.5 Management Vacation Benefit. A. SAMA employees covered by this MOU will be granted fifty (50) hours per calendar year of Management Vacation. Effective January 1, 2020, employees will be granted sixty-five (65) hours per calendar year of Management Vacation. In addition to the vacation accrual table in Section 9.2.A. above subject to a maximum accrual of thirty (30) days (240 hours) of such additional Management Vacation. 9.6 Management Vacation Pay Option. A. SAMA employees shall be given once each calendar year the option to receive cash compensation, computed on a straight time basis, in lieu of up to five (5) 8-hour working days of earned, unused Management Vacation benefits. SANTA ANA MANAGEMENT ASSOCIATION (SAMA) MOU: 2019-2022 55D-36 10.0 OTHER LEAVES OF ABSENCE 10.1 Sick Leave. A. Definition. Except as otherwise provided below, sick leave shall be deemed to mean absence from duty of an employee because of illness, injury, medical, or dental appointment that prevents the employee from performing the duties of his or her position, and shall be deemed to include time in quarantine resulting from exposure to a contagious disease. B. Accrual. Each employee shall be entitled to, and shall earn, one (1), eight (8) hour working day of sick leave for each full calendar month of service in which he is employed by the City with full pay; provided, however, any absence on sick leave for a period of time greater than fifteen (15) consecutive calendar days in any one (1) calendar month shall not be considered to be service entitling an employee to earn sick leave as aforesaid. Subject to the other provisions in this Article, sick leave shall accrue to the credit of each employee to the extent that it is not used. C. Authorized Only When Necessary. Use of sick leave by City employees shall be authorized as follows: I . Sick leave is not a right which an employee may use at his or her discretion, but shall be allowed only in cases of necessity and actual sickness or disability, or as authorized in Subsection J below. 2. When an accepted industrial illness or injury has caused an employee's absence, for which benefits are required under the State Workers' Compensation Insurance and Safety Act, paid sick leave will be allowed such employee during the first three (3) days of the statutory waiting period. If the workers' compensation related illness or injury continues past the initial three (3) consecutive days, the employee will have the three (3) used sick days recredited to his or her account, if the employee remains off work longer than 14 days. Paid sick leave will continue until the fourth (41h) day when the City pays the employee workers' compensation benefits for such illness or injury. If the employee does not have sufficient accumulated sick leave at the commencement of such industrial illness or injury, they will be advanced sick leave for this purpose. Subsequently, the City will deduct an SANTA ANA MANAGEMENT ASSOCIATION (SAMA) MOU: 2019-2022 55D-37 equal amount previously advanced from any sick leave accrued by the employee until the total amount is recovered. If the employee terminates before recovery of all advanced sick leave, the City will deduct the unrecovered cost of sick leave from such terminated employee's final paycheck, to the extent possible. Commencing with Council approval of this MOU, the City may authorize employees to use sick leave or vacation time for approved workers' compensation medical appointments as specified herein. The City may authorize use of such leave for City approved medical appointments whenever such appointments cannot be secured outside the employee's regular workday, and salary continuation or workers' compensation benefits are not available. D. Limit. 1. The maximum total accumulation of sick leave with pay shall be two hundred fifty (250) eight (8) hour working days equal to two thousand (2000) hours. Sick leave usage of less than a full day shall be charged in minimum increments of one-half (1/2) hour, with fractional usage rounded upward to the next higher multiple of one-half (1/2) hour. 2. The total amount of accumulated sick leave permitted to be compensated or converted to employee's Retirement Health Savings Account as specified herein under Subsection 10.1 (K) of this Article at the time of non - disciplinary termination shall not exceed one thousand two hundred (1200) hours. E. Extended. The City Manager may grant leave up to six (6) months without pay to an employee who has exhausted all of his or her accrued sick leave if a licensed physician designated by the City Manager indicates that the employee will be sufficiently recovered to return to his or her employment within a six (6) month period. Prior to the expiration of the additional time, the employee may return to his or her position provided that the employee has a certificate from the designated physician stating that the employee is able to perform all the duties of his or her position without qualification. In addition to the above, the City Manager may grant a further extension not to exceed a total of one (1) year without pay. F. Extension by Use of Vacation. After an employee's sick leave has been exhausted, SANTA ANA MANAGEMENT ASSOCIATION (SAMA) MOU: 2019-2022 55D-38 he or she may be granted permission to take any unused vacation leave benefits he or she may have accrued. G. Notice. The employee taking sick leave shall notify his or her immediate supervisor either prior to or within four (4) hours after the time he or she is scheduled to report for duty, or as otherwise established by departmental regulations. When the absence is more than three (3) consecutive working days, the employee must present to his or her Executive Director a physician's certificate stating the cause of illness and that, in the physician's opinion, the employee could not report to work because of such illness or injury and that the employee is sufficiently recovered to safely return to work. Such certificate shall be transmitted to the Executive Director of Human Resources with the report of the employee's return to work. A physician's certificate or other satisfactory written evidence of actual illness or injury may be required after an absence of any duration less than three (3) days. H. Denial. No employee shall be entitled to sick leave with pay while absent from duty because of sickness or injury purposely self-inflicted or caused by willful misconduct; or, sickness or disability sustained while engaged in employment other than employment by the City, for monetary gain or other compensation, or by reason of engaging in business or activity for monetary gain or other compensation. I. Excess Usage. If sick, leave is used in excess of that due and available an employee, such excess sick leave will, first, be deducted from any available vacation leave benefit; second, from the next scheduled salary payment. J. Necessity Leave. Each employee shall be afforded the opportunity to use up to 48 hours of sick leave per calendar year, on a non -cumulative basis, as personal necessity leave. All of this personal necessity leave may be used to attend to an illness of a child, parent, or spouse of the employee or as further specified below. As used in this section, "child" means a biological, foster, or adopted child, a stepchild, a legal ward, or a child of a person standing in loco parentis; "parent" means a biological, foster, adoptive parent, a stepparent, or a legal guardian; and "immediate family" means any member of the employee's household related by blood or marriage; a parent, parent -in-law, spouse, child, brother, sister, grandparent, or grandchild of the employee, regardless of residence; any other relative of the employee by blood or marriage, where it can be established by the employee that the employee's presence is required to handle emergency arrangements and/or other matters. SAN`rA ANA MANAGEMENT ASSOCIATION (SAMA) MOi1: 2019-2022 55D-39 Up to 48 hours of this personal necessity leave may be used: a) to attend to a serious accident to members of the employee's immediate family; b) childbirth; c) to cope with imminent danger to the employee's family, home, or other valuable property; d) when the existence of external circumstances beyond the employee's control make it impossible for him or her to report for duty; or e) attend to medical or dental appointments for members of the employee's household. For the purposes of this section only, a "day" shall be defined as the number of hours of work that an employee is required to work according to his or her specific workday schedule. K. Payment for Unused Sick Leave (updated upon adoption of this MOU) 1. Except in cases of disability retirement, upon non -disciplinary termination of employment: 2. Payment After Ten Years. After ten (10) years but less than fifteen (15) years of cumulative full-time service with the City, each qualified employee shall be entitled to payment for one-third (1/3) of the total accrued sick leave benefit credited into his or her individual Retirement Health Savings (RHS) account upon the effective date of such termination, not to exceed a maximum limit of four hundred and twenty-seven (427) hours, at the base rate of pay effective on the date of such termination. 3. Payment After Fifteen Years. After fifteen (15) years but less than twenty-five (25) years of cumulative full-time service with the City, each qualified employee shall be entitled to payment for two-thirds (2/3) of the total accrued sick leave benefit credited into his or her individual RHS account not to exceed a maximum limit of eight hundred hours (800) hours, at the base rate of pay effective on the date of such termination. 4. Payment After Twenty -Five Years. After twenty-five (25) years but less than thirty (30) years of cumulative full-time service with the City, each qualified employee shall be entitled to payment for two-thirds (2/3) of the total accrued sick leave benefit credited into his or her individual RHS account, not to exceed a maximum limit of one thousand sixty-six (1066) hours, at the base rate of pay effective on the date of such termination. SANTA ANA MANAGEMENT ASSOCIATION (SAMA) MOU: 2019-2022 55D-40 5. Payment After Thirty Years. After thirty (30) years or more of cumulative full-time service with the City, each qualified employee shall be entitled to payment for three-quarters (3/4) of the total accrued sick leave benefit credited into his or her individual RPIS account, not to exceed a maximum limit of one thousand two - hundred (1200) hours, at the rate of base pay effective on the date of such termination. 6. SAMA members who notify the City, in writing, of their intent to retire within 12 calendar months shall be allowed to cash out any eligible sick leave bank balances (10.1K) upon request. Employees shall receive payment as soon as practical, and no longer than 30 days after the request has been made. If said employee cashes out his/her eligible sick leave bank balances prior to retirement and subsequently does not retire from City, all future sick leave accrual for said employee shall be subject to the same cash out provision elected and will be processed on the final paycheck. All combined cash outs cannot exceed what the said employee would have been entitled to if the cash out was processed on the final paycheck only. 7. Effective upon adoption of this MOU, employees with at least ten (10) years of full- time city service that retire from the City of Santa Ana within 120 days of separation shall be eligible to convert up to two -thousand (2000) hours of accumulated unused sick leave to CalPERS Service Credit as defined in Section 13.3. 8. The City Manager is authorized to grant a newly appointed incumbent of a SAMA classification sick leave credit up to an amount equal to any earned but unused sick leave credit available to such appointee at the time of his or her separation from his or her most recent previous employer. 9. A lump sum payment shall be made to the beneficiaries of any eligible employee whose death occurs while such employee is an active employee of the City, such payment to be in the amount of one-third (1 /3) of the total sick leave benefit credited to the employee's account at the time of his or her death, and at the rate of pay effective on the date of death. 10.2 Bereavement Leave. A. An employee shall be granted up to three (3) days leave without loss of pay in case SANTA ANA MANAGEMENT ASSOCIATION (SAMA) MOU: 2019-2022 55D-41 of death of a member of the employee's immediate family. Such leave is designated as bereavement leave. "Immediate family" as used in this section is limited to: 1. Any member of the employee's household related by blood or marriage; 2. A parent, parent -in-law, spouse, child, brother, sister, grandparent or grandchild of the employee, regardless of residence; 3. Any other relative of the employee by blood or by marriage where it can be established by the employee that as a result of such relative's death, the employee's presence is required to handle funeral arrangements and/or matters of estate. B. Whenever an employee is required to travel one way more than 500 miles to attend to the death of a member of the employee's immediate family, an employee may use up to sixteen (16) hours of additional leave charged to their Personal Necessity Leave balance when authorized by the Executive Director. 10.3 MilitarLeave. A. Proof of Orders and Reinstatements. An employee shall be granted military leave if he or she furnishes the Executive Director of Human Resources satisfactory proof of his or her order to report for duty. Upon return and upon showing of proof of actual service pursuant to such orders, he or she will be reinstated as provided in Chapter 9-143 of the Civil Service Rules and Regulations of the City of Santa Ana. B. Temporary. Members of the reserve forces of the United States, or the National Guard, granted temporary leave when ordered to duty, in accordance with the Military and Veterans Code, will be granted leave with pay not to exceed thirty (30) calendar days in each calendar year after one (1) years' service with the City upon presenting satisfactory proof of orders to and from such temporary active duties. 10.4 Jury and Witness Leave. When an on -duty employee is called to serve as a juror or non- party witness in any court action, he or she shall be allowed to leave for the time actually required for such service without loss of pay. Each on -duty employee called for such service shall present to his or her Executive Director for examination the subpoena calling him or her to such service and shall pay into the City Treasury the fees collected for such service, with the exception of reimbursement for transportation expenses, if any. SANTA ANA MANAGEMENT ASSOCIATION (SAMA) MOU: 2019-2022 _ 22 55D-42 10.5 Unauthorized Absence. Unauthorized absence from duty for any duration of time may be considered cause for dismissal. Absence from duty without leave for five (5) consecutive working days shall be deemed a resignation from the service; provided, however, if upon return to duty the person so absenting himself or herself makes an explanation satisfactory to the Executive Director regarding the cause of his or her absence,, the Executive Director may restore him or her to his or her position, with the City Manager's approval. 10.6 Authorized Absence Without Pay - Short Term. Absence without pay not to exceed five (5) consecutive working days, may be authorized by the Executive Director. Absence without pay not to exceed fifteen (15) calendar days may be authorized by the Executive Director with the approval of the City Manager. Such an absence may be authorized only if in the judgment of the Executive Director it serves the best interest of the City. 10.7 Authorized Absence Without Pang Tenn. Upon receipt of a written request from an employee having permanent status, plus action by the Executive Director recommending approval of the request, the City Manager may grant a leave of absence without pay for up to six (6) months. An employee returning to duty with the City shall inform the Executive Director and the Executive Director of Human Resources of his or her intention at least thirty (30) calendar days prior to the expiration of the six (6) month period, or shorter period if the full six (6) months is not taken. Upon receipt of such notice, the Executive Director will take steps necessary to restore the employee to his or her former position. In addition to the above, the City Manager may grant a further extension not to exceed a total of one (1) year leave of absence without pay. 10.8 Industrial Leave. Any period of time during which an employee is required to be absent from his or her position by reason of an industrial injury or industrial illness for which he or she is entitled to receive compensation shall not be considered a break in continuous service for the purpose of his or her right to salary adjustments or to the accrual of vacation and seniority. 10.9 Pregnancy Disability Leave. A pregnant employee is entitled to a reasonable leave of absence without pay for any temporary disability resulting from pregnancy, miscarriage, childbirth or recovery therefrom. Such reasonable leave of absence shall not exceed four (4) months. However, an employee may be granted up to an additional two (2) months of leave, at the discretion of the City Manager, for a total of up to six ('6) months in which to recover from the disability if substantiated by a physician's certificate. SANTA ANA MANAGEMENTASSOCIATION (SAMA) MOU: 2019-2022 55D-43 Employees may take an unpaid leave of absence during pregnancy disability consistent with the law. As with all other temporary disabilities, a physician's certificate is required to verify the extent and duration of the temporary disability. An employee who plans to take a pregnancy leave must give a reasonable notice (not less than four (4) weeks before the date she will take the leave and the estimated duration of the leave. Health and welfare insurance coverage will be continued only if the employee pays a cash premium to continue coverage while on a leave of absence without pay or is covered under the Family Medical Leave Act (FMLA) or California Family Rights Act (CFRA) provisions. 10.10 Administrative Leave. The City Manager is authorized to grant, at his or her discretion, paid or unpaid leave for full time SAMA employees. 10.11 Catastrophic Leave. In order to assist employees otherwise granted leave of absence without pay by the City Manager because of a catastrophic, non -industrial medical condition or injury, the City and SAMA agree to implement a Catastrophic Leave Donation Program. Nothing herein shall be construed to alter City policies and procedures as provided in the Charter or ordinance of the City of Santa Ana or other provisions of this MOU with regard to granting unpaid leaves of absence. The Catastrophic Leave benefit will be provided for non -industrial injury or sickness only. The leave shall cover the uncompensated time prior to the employee's becoming eligible for the Long Term Disability benefits. A. Guidelines. It shall be understood that all donations under this procedure are voluntary and subject to taxation for the recipient. 1. Employees may donate vacation time or one in lieu holiday to the eligible employee. In no event shall sick leave be donated. 2. Employees shall be provided a two -week period to submit donations. Donations received after this two -week period shall not be processed. The two -week period for each case shall be designed by the Executive Director SAN1'A ANA MANAGEMENT ASSOCIATION (SAMA) MOU: 20I9-2022 55D-44 or his or her designee as provided herein below. 3. All donations must be made in two (2) hour increments and a maximum of eight (8) hours per donor, except in lieu holidays must be for eight (8) hours. 4. Any authorization of donations not made in accordance with the procedures outlined in Subsection 10.11(C)(2) below, will not be processed. 5. All donations shall be irrevocable. 6. In event the recipient returns to work before leave donations have been exhausted, any balance on the books shall be accrued by the recipient and designated as sick leave and way be used pursuant to Subsection 10.1 (A) through 10.1(K). 7. Donations shall be limited to employees of this bargaining unit or any other unrepresented unit. B. Eli igbility. SAMA employees shall be eligible for Catastrophic Leave Donations if the following criteria are met: 1. When it is reasonably foreseeable that all accrued time on the books, such as sick leave and vacation, will be exhausted and the employee's illness will continue past the time when the employee will be on paid status. 2. The employee's Executive Director, or his or her designee, has approved a written request for donation accompanied by a medical statement from the employee's attending physician. The attending physician's statement must verify the employee's need for an extended medical leave and an estimate of the time the employee will be unable to work. C. Procedure. 1. Upon receipt of a valid request for donations from an eligible employee, the Executive Director or his or her designee shall post a notice of the eligible employee's need for donation on bulletin boards accessible to employees. No confidential medical information shall be included in the posted notice. 2. Employee wishing to donate time to an eligible employee must sign his or SAN'PA ANA MANAGEMENT ASSOCIATION (SAMA) MOU: 2019-2022 55D-45 her authorization of the transfer of such donated time and provide: a. His or her name, department name, and employee number. b. The number of hours of vacation time of the donation within the limitation of Subsection 10.11(A)(3) above; C. The name, department and employee number of the recipient; d. A statement indicating that the donor understands such donation of time is irrevocable. 3. At the close of the donation period, the department shall verify that each donating employee has accrued vacation time balances sufficient to cover the designated donation. 4. The department shall submit all approved donation authorizations for an eligible employee at one time for processing. No donation authorizations for the eligible employee will be processed after this period. However, employees who receive donations under this procedure and who exhaust all donated hours may request an additional donation period subject to the provisions of Subsection 10.11(A) herein. 5. The City shall add the donated time to the recipient's sick leave account. SANTA ANA MANAGEMENI'ASSOCIATION (SAMA) MOU: 2019-2022 55D-46 ARTICLE XI 11.0 EMPLOYEE INSURANCE 11.1 Health Insurance. 1. Effective January 1, 2018, the City shall contribute the following to insurance coverage: Employee Only Employee + 1 Employee + 2 or more $654.00 per month $1,307.00 per month $1,700.00 per month 2. Beginning Jan 1, 2020: The City shall contribute an allowance towards the employee's Cafeteria Benefit plan for health insurance premiums for eligible employees and their qualified dependents under The Public Employees' Medical & Hospital Care Act (PEMHCA) which governs the California Public Employees' Retirement System (CalPERS) Health Insurance Programs pursuant to the provisions below: A. Effective January 1, 2020, the City will provide a monthly contribution to health insurance premiums at the following rates: • Employee Only $704.00 • Employee+l $1,357.00 • Employee+Family $1,750.00 B. Effective January 1, 2021, the City will provide a monthly contribution to health insurance premiums at the following rates: • Employee Only $754.00 • Employee+l $1,407.00 • Employee+Family $1,800.00 C. Effective January 1, 2022, the City will provide a monthly contribution to health insurance premiums at the following rates: • Employee Only $804.00 • Employee+l $1,457.00 • Employee + Family $1,850.00 D. Any contribution necessary to maintain benefits under any health insurance program SANTA ANA MANAGEMENT ASSOCIATION (SAMA) MOU: 2019-2022 55D-47 provided by the City for its employees and their eligible dependents in excess of the amount of the City contribution to the Cafeteria Benefit Plan specified above shall be borne entirely by the employee. E. Cafeteria Benefit Plan. Effective January 1, 2020, the City provides a Cafeteria Benefit Plan adopted in accordance with the provisions of Internal Revenue Code § 125 for employees covered by this MOU. Employees will be eligible to receive through the Cafeteria Benefit Plan, the cash difference (subject to taxation as wages) if the monthly City allowance exceeds the monthly cost of the Medical and Dental monthly plan premium cost. For each such employee who is covered under a spouse's non -City sponsored health plan, the City will pay the employee a cash -in -lieu payment (subject to taxation as wages) each month in an amount equal to one hundred percent (100%) of the monthly premium amount for the City's lowest "employee -only" coverage, if said employee waives, in writing, City -paid coverage, said employee shall provide proof of medical insurance coverage in a non -City -sponsored health plan. Said waiver shall include a provision warning such employee that re-entry into any of the City -sponsored plans is allowed only at open enrollment, unless there is a qualifying event, and will require proof of insurability for such employee and/or eligible dependents. 11.2 Dental Insurance. A. The City shall continue to contribute the current maximum amount of $90 per month per SAMA employee for employee dental insurance premiums. Effective January 1, 2016, the City contribution amount will be increased to a maximum of one hundred ten dollars ($110) per month per employee. B. Any contribution necessary to maintain benefits under said dental plans in excess of the amount set forth above shall be borne entirely by the employee. 2. Effective January 1, 2020, the City agrees to contribute towards the Cafeteria Benefit plan the payment of premiums for dental insurance plans provided by the City for employees covered by this MOU and their eligible dependents on the following basis: A. Effective January '1, 2020, the City shall contribute an allowance towards the employee's Cafeteria Benefit plan for dental insurance premiums for eligible employees and their qualified dependents in the amount of one hundred twenty dollars ($120) per month per employee. B. Effective January 1, 2021, the City shall contribute an allowance towards the SANTA ANA MANAGEMENT ASSOCIATION (SAMA) MOU: 2019-2022 55D-48 employee's Cafeteria Benefit plan for dental insurance premiums for eligible employees and their qualified dependents in the amount of one hundred twenty-five dollars ($125) per month per employee. C. Effective January 1, 2022, the City shall contribute an allowance towards the employee's Cafeteria Benefit plan for dental insurance premiums for eligible employees and their qualified dependents in the amount of one hundred thirty dollars ($130) per month per employee. D. Any contribution necessary to maintain benefits under said dental plans in excess of the amount of the City contribution to the cafeteria plan specified above shall be borne entirely by the employee. E. For each such employee who is covered under a spouse's non -City sponsored dental plan, the City will pay the employee a cash -in -lieu payment (subject to taxation as wages) each month in an amount equal to one -hundred percent (100%) of the City's contribution, if the employee waives, in writing, City -paid coverage. Such waiver shall include a provision warning such employee that reentry into any City -sponsored plan is allowed only at open enrollment, unless there is a qualifying event, and may require proof of insurability for such employee and/or eligible dependents. 11.3 Long -Term Disability (L.T.D.) Insurance. 1. The City shall continue to pay one hundred percent (100%) of the premium cost for a 60- day elimination period long term disability insurance plan for employee covered by this MOU. 2. Effective January 1, 2020, for employees covered by this MOU, the City shall continue to pay one hundred percent (100%) of the premium cost for a 60-day elimination period long term disability insurance plan with a maximum benefit of $'10,000 per month for employee only coverage. 11.4 Life Insurance. The City shall continue to pay one hundred percent (100%) of the premium cost for teen life insurance coverage under the policy it maintains on behalf of employees in order to provide employees covered by this MOU with life insurance coverage in an amount equal to two times (2x) employee's annual rate of salary to a maximum of three hundred thousand ($300,000) provided said employees can provide evidence of SANTA ANA MANAGEMENT ASSOCIATION (SAMA) MOU: 2019-2022 55D-49 insurability of coverage, if so required by the terns and conditions of said tern life insurance policy. In the event any such employee is determined to be ineligible for said insurance coverage, the City will attempt to provide as much coverage as may be obtained at reasonable cost not to exceed the actual monthly premium amount allotted for said coverage without having to provide evidence of insurability. 11.5 The City shall retain the right to change health, dental and life insurance carriers, administer the insurance benefits provided thereunder, and select and/or change any excess or supplemental insurance carriers as a part of any self-insurance plan during the term of this MOU, provided that employees covered by this MOU continue to receive equivalent benefits and provided that the parties have met and conferred before the benefits changes are made. 11.6 Retirement Health Savings (RHS) Plan. A. Effective October 1, 2014, employees covered under this MOU began participating in the "Vantage Care" Retirement Health Savings Plan (RHS), as earlier implemented by the City, which designated ICMA-RC as the administrator of the plan. At that time, employees covered under this MOU received a one-time increase of 1.25% in their base pay, which amount was deposited into their individual RHS account each pay period going forward. B. Effective upon adoption of this MOU, the City will contribute one percent (1%) of employee's base pay deposited into their individual RHS account each pay period going forward. 11.7 Vision Plan. The City shall maintain in effect a vision care plan for employees covered by this MOU. This plan is voluntary on behalf of the employee and shall be fully funded by the participating employee. SANTA ANA MANAGEMENT ASSOCIATION (SAMA) MOU: 2019-2022 55D-50 ARTICLE XII 12.0 WELLNESS AND FITNESS REIMBURSEMENT PROGRAM 12.1 Effective January 1, 2020, the City agrees to provide to employees represented by this bargaining unit up to a three -hundred dollars ($300) per fiscal year reimbursement for qualified wellness programs and fitness memberships as defined below: 1. Membership in a health/fitness club. 2. Participation in a weight loss/smoking cessation/wellness/fitness program Employees must complete a wellness and fitness reimbursement program form and provide proof of enrollment, and receipt of purchase during the current fiscal year in order to receive reimbursement. Forms with required back up documentation will be turned into Human Resources for the Executive Director of Human Resources or his designee's approval. A copy will be kept in Human Resources and the original will be returned to the employee. If approved for reimbursement, the department will complete a Direct Payment Voucher (DPV) along with form and back-up documentation to the Finance Department for processing. Reimbursement requests will not be processed if the request is turned later than 30 days from the end of the fiscal year in which enrollment and purchase was made. The city will not reimburse employees for any of the above listed activities for family/dependent health related expenses. The Wellness -Fitness reimbursement is defined as "wages" in section 61(a)(1) of the Internal Revenue Code and § 1.61-21(a)(3) of the Income Tax Regulations provide that except as otherwise provided in subtitle A, gross income includes compensation for services, including fees, commissions, fringe benefits, and similar items. As such, the reimbursement is considered wages subject to employment taxes under sections 312(a), 3306(b), and 3401(a). The wellness -fitness reimbursement defined in this section is not intended to be defined as compensation earnable under Public Employees Retirement Law (PERL), Government Code (G.C.) section 20636. SANTA ANA MANAGEMENT ASSOCIATION (SAMA) MOU: 2019-2022 55D-51 ARTICLE X111 13.0 RETIREMENT 13.1 General. The terns of the existing contract between the City and California Public Employees' Retirement System (CaIPERS) governing the City retirement benefits for affected employees are incorporated by reference herein. The City shall continue to make contributions to Ca1PERS in accordance with its contract with CaIPERS for SAMA employees covered by said contract as amended. 13.2 Deferred Retirement. The City will continue to make payment to CaIPERS on behalf of each SAMA employee, in an amount necessary to pay one hundred percent (100%) of his or her individual retirement contribution which is currently equal to eight percent (8%) of base salary, effective January 1, 2009. Such payments shall be credited to the individual employee's CaIPERS account as Employer Paid Member Contribution (EPMC). Such payments are not increases in base salary and no salary rate range applicable to any of the employees covered by this MOU shall be changed or deemed to have been changed by reason thereof. As a result, the City will not treat these payments as ordinary income and, thus will not withhold Federal or State income tax from said payments. The City has received an opinion or ruling from the Internal Revenue Service confirming that these payments are deferred compensation, and not ordinary income. In the event that the City receives a ruling from the Internal Revenue Service that such payments are ordinary income of the employees instead of deferred compensation, the City's obligation to make such payments shall discontinue and in place thereof the base salary of each said employee shall forthwith be increased by eight percent (8%) after January 1, 2009. For the purpose of reporting an employee's compensation to CalPERS, the City shall include these payments as if they were a part of the employee's base salary. 13.3 Credit for Unused Sick Leave. A. An employee covered by this MOU with less than ten (10) years of full-time City service, can have up to a maximum of 1600 hours of unused accumulated sick leave at the time of retirement converted to additional service credit at the rate of 0.004 years of service credit for each day of unused sick leave (i.e., 200 days of sick leave equals .80 additional years of service credit). The City must report only those days of unused sick leave that were accrued by the employee during the normal course of employment. SAN1'A ANA MANAGEMENTASSOCIATION (SAMA) MOU: 2019-2022 55D-52 This section applies to members whose effective date of retirement is within 120 days or four (4) months of separation from employment. B. Effective upon adoption of this MOU, employees with at least 10 years of full-time City service that retire from the City of Santa Ana within 120 days of separation from employment can convert up to 2000 hours of accrued un-used sick leave towards Ca1PERS Service Credit. The City must report only those days of unused sick leave that were accrued by the employee during the normal course of employment. 13.4 Military Service Credit as Public Service. An employee covered by this MOU may elect to purchase up to four (4) years of service credit for any continuous active military or merchant marine service prior to employment. The employee must contribute an amount equal to the contribution for current and prior service that the employee and the employer would have made with respect to that period of service. 13.5 2.7% at 55 Service Retirement Benefit for Classic Miscellaneous Members. The City agrees to provide Miscellaneous employees covered by this MOU with the 2.7% at 55 Service Retirement benefit. pursuant to Ca1PERS regulations. This formula will apply to each year of eligible service credited with the City of Santa Ana. Employee Contribution for Retirement Benefit. The employee's contribution rate will be 8%. All employee contributions for retirement benefits are paid to the employer cost (i.e., employer contribution) in accordance with Government Code section 20516(f). The parties acknowledge that this provision has been mutually negotiated and incorporated as an essential element of the parties' MOU. In the event that either party wishes to modify this provision in a successor MOU, the parties intend for this provision to remain unchanged until a successor MOU is ratified or impasse procedures have been concluded. Pre -Taxable Benefit. To the extent permitted by Ca1PERS and Internal Revenue Service regulations, the City shall make the above employee deductions pre-tax contributions. 13.6 For "New Members" within the meaning of the California Public Employees' Pension Reform Act (PEPRA) of 2013 The PEPRA went into effect on January 1, 2013. The parties agree that if there is any other clean up or other retirement legislation which goes into effect during this MOU and if there are provisions of that legislation which, by law, automatically goes into effect, either party may request to negotiate over the legislation, including over the impact. Retirement Formula: Per Government Code Section 7522.20(a), the 2% @ 62 retirement formula for non -sworn. SANTA ANA MANAGEMENT ASSOCIA'I'fON (SAMA) MOU: 2019-2022 55D-53 Final compensation will be based on the highest annual average compensation earnable during the 36 consecutive months immediately preceding the effective date of his or her retirement, or some other 36 consecutive month period designated by the member. Employees shall pay one half of the normal cost rate, as established by CalPERS. SANTA ANA MANAGEMENT ASSOCIATION (SAMA) MOU: 2019-2022 44 55D-54 ARTICLE XIV 14.0 TRAINING & EDUCATIONAL ASSISTANCE PROGRAM 14.1 SAMA employees shall continue to be eligible to participate in the existing Training and Education Assistance Program provided for all regular, full-time employees of the City; except, however, reimbursement for eligible employees shall be one hundred percent (100%) of tuition and registration costs up to a maximum of three thousand dollars ($3,000), per fiscal year in accordance with the provisions of the program defined in this section, updated upon adoption of this MOU. 14.2 Purpose. A. To encourage the employees of the City of Santa Ana to take college courses and special training courses which will better enable them to perform their present duties and prepare them for increased responsibilities. B. To provide financial assistance to eligible employees for education and training. C. To establish eligibility requirements, conditions and procedures whereby such assistance may be provided. 14.3 Eli 'bgr ility. A. Applications for tuition reimbursement shall be considered only from full-time permanent City employees who have completed their probationary period. B. Reimbursement is not authorized for courses for which the employee is receiving financial assistance from other sources such as G.I. Bill, scholarships, grants, etc. C. Applications shall be approved only for courses directly related to the employee's job or directly related to a promotional position in the employee's occupational specialty. D. Courses not ostensibly related to the employee's job, but which are required to qualify for a degree that is directly related to his or her job will be reirnbursable so long that it meets the requirements in 14.3 E. E. Prior to receiving tuition reimbursement, employees must submit documentary proof of SANTA ANA MANAGEMENT ASSOCIATION (SAMA) MOU: 2019-2022 55D-55 having received a grade of not less than "C" for the course. If objective ratings are not rendered for a specific course, then a certificate of successful completion must be submitted. F. Approval shall be limited to courses given by accredited colleges and universities, city colleges or adult education courses under the sponsorship of a Board of Education. Workshops, seminars, conferences and similar activities not identifiable as a formal course of instruction within the curriculum of a recognized educational institution, do not fall within the purview of this program but may be authorized and funded by the interested department without coordination with the Human Resources Department. G. When an employee is required by his or her Department Head to attend a particular course or seminar, the expense shall be bone entirely by the department. 14.4 Reimbursement. A. Reimbursement shall be based on the cost of tuition, required enrollment/registration fees, miscellaneous fees (health, parking, student union fees, etc.) and all required texts, eBooks and related material for each course. Additional expenses such as meals are not reimbursable. B. Costs for required texts are eligible for one hundred percent (100%) reimbursement subject to the following conditions: A duplicate of the required text(s) and eBooks was unavailable for loan from the departmental libraries prior to the commencement of course work; or 2. Any textbook(s) purchased by the City shall be submitted to the employee's respective departmental library in order that such text(s) may be made available to all employees. C. Maximum tuition reimbursement is three thousand dollars ($3,000) per fiscal year, which the employee may claim either as costs are incurred during the year or as one lump sum. 14.5 Procedures. A. An employee who desires to seek tuition reimbursement under the provisions of this Article must complete, in duplicate, an Application for Training and Educational Assistance form along with a copy of the course plan and schedule, and submit it to his or her Department Head prior to the commencement of class(es) or the payment of fees .� SANTA ANA MANAGEMENTASSOCIATION (SAMA) MOCJ:2019-2022 55D-56 for registration/tuition. B. The Department Head shall recommend approval or disapproval based on established criteria and budgetary constraints, and then shall forward the application to the Executive Director of Human Resources. C. The Executive Director of Human Resources or his or her designee shall approve or disapprove the application for the City Manager. One copy shall be returned to the employee and the duplicate shall be retained by the Human Resources Department. It is advisable that the applicant accomplish the procedure so far described in order to ascertain the eligibility of the intended course of instruction for reimbursement under the provisions of this policy prior to the inception of the course or disbursement of personal funds. D. The employee shall submit his or her copy of the approved application to the Human Resources Department within three (3) months after he or she has completed the course and received his or her final grade. Such employee must include official verification of his or her final grade with appropriate receipts for tuition and textbook costs. Applications not submitted to the Human Resources Department within three (3) months following completion of the course become void. E. Upon receipt of the application and required documentation, the Human Resources Department shall determine whether the completed course of instruction is compatible with the provisions of this Article and shall compute the amount of reimbursement, authenticate the application and forward it to the employee's Department Head. F. The Department Head shall then authorize the Finance & Management Services Department to reimburse the employee the approved amount out of the budget of the department concerned. SANTA ANA MANAGEMENT ASSOCIA"I'lON (SAMA) MC)U: 2019-2022 55D-57 ARTICLE XV 15.0 ELECTRONIC DEVICE STIPEND 15.1 Electronic Device Stipend All full-time SAMA employees covered under this MOU, whose supervisor determines are required to have a cellphone or tablet will be given the option to choose one of the following: A. Be provided a City paid phone or tablet, or B. First month following adoption of this MOU, be compensated $100.00 monthly to cover costs related to the use of personal electronic devices (phone and/or tablet) for City business. Employees who use their own devices will comply with the City's policy. .; SANTA ANA MANAGEMENTASSOCIATION (SAMA) MOU: 2019-2022 55D-58 ARTICLE XVI 16.0 STRIKES AND WORK STOPPAGES 16.1 Prohibited Conduct. A. SAMA, its officers, agents, representatives, and members agree that during the term of this MOU, they will not cause or condone any unlawful strike, walkout, slowdown, sickout, or any other unlawful job action by withholding or refusing to work. B. According to City Charter Section 1014 (Work Stoppages), any employee who participates in any conduct prohibited in Subsection A above shall be subject to suspension, demotion or dismissal by the Appointing Authority. 16.2 SAMA Responsibility. Whenever SAMA, its officers, agents, representatives, or members engage in any of the conduct prohibited in Subsection 16.1(A) above of this Article, SAMA will immediately instruct any persons engaging in such conduct that their conduct is violating this MOU and unlawful, and they must immediately cease engaging in the conduct prohibited in said Subsection 16.1(A) above, and return to work. SANTA ANA MANAGEMENT ASSOCIATION (SAMA) MOU: 2019-2022 49 55D-59 ARTICLE XVII 1.7.0 SOLE & ENTIRE MOU 17.1 It is understood and agreed that the parties to this MOU are subject to all current and future applicable Federal and California laws, The City of Santa Ana Charter, its Municipal Code, and its City's Employer -Employee Relations Resolution Number 81-075. It is the intent of the parties hereto that the provisions of this MOU will supersede all prior MOUs, memoranda of MOU, memoranda of understanding, or contrary salary, and /or personnel rules and regulations, Municipal Code provisions of the City, oral or written MOUs expressed or implied between the parties. This MOU will govern the entire relationship and will be the sole source of any rights that they may assert hereunder. This MOU is not intended to conflict with Federal or State law or the City Charter. 17.2 Notwithstanding the above, there exists within the City personnel rules and regulations and departmental rules and regulations. The City shall continue these rules and regulations to the extent that they do not contravene specific provisions of this MOU. Such rules and regulations may, from time to time, be changed by the City. If these changes affect wages, hours, or other terms and conditions of employment, the City shall meet and confer with SAMA; provided further, the parties shall change no provision of the rules and regulations to contravene specific provisions of this MOU. SANTA ANA MANAGEMENT ASSOCIATION (SAMA) MOU: 2019-2022 m 55D-60 ARTICLE XVIII 18.0 SEPARABILITY PROVISION 18.1 Should any provisions of this MOU be found to be inoperative, void, or invalid by a court competent jurisdiction, all other provisions of this MOU shall remain in full force and effect for the duration of this MOU, provided that if any such affected provisions invalidate or void any benefits of employees covered hereunder, the parties shall forthwith commence negotiations to replace the invalidated benefits with benefits of comparable value. SANTA ANA MANAGEMENT ASSOCIATION (SAMA) MOU: 2019-2022 55D-61 ARTICLE XIX 19.0 GRIEVANCE REVIEW PROCEDURE 19.1 Definition of a Grievance. A grievance shall be defined as a timely complaint by an employee or group of employees or the Association concerning the interpretation or application of specific provisions of this MOU, or of the rules and regulations governing personnel practices or working conditions of the City, except, however, those matters specifically assigned to the jurisdiction of the City Personnel Board by those provisions of the City Charter and the Civil Service Rules and Regulations. No employee shall suffer any reprisal because of filing or processing of a grievance or participation in the Grievance Review Procedure. 19.2 Informal Process. A. An employee must first attempt to resolve the grievance on an informal basis through discussion with his or her immediate supervisor without undue delay, but in no case, beyond a period of ten (10) calendar days after the occurrence of the alleged incident giving rise to the grievance, or when the grievant knew or should have reasonably become aware of the facts giving rise to the grievance. B. Every effort shall be made to find an acceptable solution to the grievance through this informal means at the most immediate level of supervision. C. In order that this infonnal procedure may be responsive, both parties involved shall expedite this process. If, within five (5) working days, a mutually acceptable solution has not been reached at the informal level, the employee shall then set forth the grievance in writing, indicate the nature of the action desired, sign it, and submit it in duplicate to his or her immediate supervisor. At this point, the grievance review process becomes formal. Should the grievant fail to file a written grievance, and in the manner specified above, within ten (10) working days after first discussing the grievance with the employee's immediate supervisor, the grievance shall be barred and waived. 19.3 Formal Process. A. If a grievance is not resolved through the informal process, and a written grievance is filed within the time limits set forth above, the grievant' s immediate supervisor SANTA ANA MANAGEMENT ASSOCIATION (SAMA) MOU: 2019-2022 55D-62 shall add his or her comments and any justification he or she considers proper, sign it, and forward it to the Department Head without undue delay or, in no case, more than ten (10) calendar days. B. If the grievant files a written grievance with the Department Head in the manner and within the time limits specified, then a conference shall be held at the request of the employee or the Department Head. C. The Department Head shall inform the employee of his or her action within ten (10) calendar days after receipt of the request of the settlement. The original of the grievance form and the Department Head's decision shall be filed in the personnel records of the department. D. If no satisfactory settlement has been reached at the departmental level, the employee may, within ten (10) calendar days after being informed by the Department Head of his or her decision on the matter, and the reasons thereof, submit the grievance in writing to the City Manager, or his or her duly authorized representative, for determination. Failure of the grievant to take this action will constitute a waiver and bar to the grievance, and the grievance will be considered settled on the basis of the Department Head's response. E. The City Manager or his duly authorized representative, after a careful review, shall render a final decision on the merits of the grievance, in writing, and return it to the grievant within fifteen (15) calendar days after receiving the grievance. A copy of the written grievance to the City Manager, or his or her duly authorized representative, and of the City Manager's or his or her representative's written decision shall be filed in the personnel records of the department and the grievant' s personnel jacket maintained in the Human Resources Department. F. After the procedures set forth in this Article have been exhausted, the grievant, the Association, and the City shall have all rights and remedies to pursue said grievance under the law. SAM A ANA MANAGEMENT ASSOCIATION (SAMA) MOU: 2019-2022 55D-63 ARTICLE XX 20.0 WAIVER OF BARGAINING DURING THE TERM OF THIS MOU 20.1 During the term of this MOU, the parties mutually agree that they will not seek to negotiate or bargain concerning wages, hours, or terms and conditions of employment, whether or not covered by the MOU, or in the negotiations leading thereto, and whether or not such matters were discussed, or were even within the contemplation of the parties during the negotiations leading to this MOU. Regardless of the waiver contained in this Article, the parties may, however, by mutual MOU, in writing, agree to meet and confer about any matter not covered by this MOU, or to carry out any provision of salary or benefit tied to another bargaining unit during the term of this MOU. SAN'CA ANA MANAGEMENT ASSOCIA"f[ON (SAMA) MOU: 2019-2022 55D-64 ARTICLE XXI 21.0 EMERGENCY WAIVER PROVISION 21.1 In case of circumstances beyond the control of the City, such as acts of God, fire, flood, insurrection, civil disorder, national emergency, or similar circumstances, provisions of this MOU or the Santa Ana Municipal Code or Resolutions, which restrict the City's ability to respond to these emergencies, shall be suspended for the duration of such emergencies. After the City declares the emergency over, this MOU will be reinstated immediately. SAMA shall have the right to meet and confer with the City regarding the impact of the suspension of the provisions in the MOU during the emergency. SANI'A ANA MANAGEMENT ASSOCIATION (SAMA) MOU: 2019-2022 55D-65 ARTICLE XXII 22.0 TERM 22.1 The term of this MOU shall commence on the date when the terms and conditions for its effectiveness, as set forth in Article III, Implementation, are fully met, but in no event shall said MOU become effective prior to 12:01 a.m. on January 1, 2019. This MOU shall expire and otherwise be fully terminated at 12:00 midnight on June 30, 2022. SANTA ANA MANAGEMENTASSOCIATION (SAMA) MOU: 2019-2022 55D-66 ARTICLE XXIII 23.0 NON-DISCRIMINATION 23.1 The parties mutually recognize and agree fully to protect the rights of all employees covered hereby to join and participate in the activities of SAMA and all other rights in the Employer -Employee Relations Resolution (Resolution Number 81-075) and Government Code, Sections 3500 through 3511. 23.2 The provisions of this MOU shall be applied equally to all employees covered hereby without favor or discrimination because of race, color, sex, sexual orientation, age, national origin, political or religious opinions or affiliations, or disability status or other factors not directly related to the successful performance of the job. SANTA ANA MANAGEMENT ASSOCIATION (,SAMA) MOU: 2019-2022 55D-67 ARTICLE XXIV 24.0 RATIFICATION & EXECUTION 24.1 The City and SAMA have reached an understanding as to certain recommendations to be made to the City Council of the City of Santa Ana and have agreed that the parties hereto will jointly urge said Council to adopt a new wage and salary resolution which will provide for the changes contained in said joint recommendations. The City and SAMA acknowledge that this MOU shall not be in full force and effect until ratified by the membership of SAMA and adopted by the City Council of the City of Santa Ana. Subject to the foregoing, this MOU is hereby executed by the authorized representatives of the City and SAMA and entered into 16th day of July 16, 2019. Dated: Dated: Dated: ATTEST: Clerk of the Council CITY OF SANTA ANA, a Municipal Corporation of the State of California By: Mayor By: City Manager By: Executive Director of Human Resources APPROVED AS TO FORM: City Attorney SANTA ANA MANAGEMENT ASSOCIATION (SAMA) MOU: 2019-2022 55D-68 This 2019-2022 MOU has been ratified by the membership of the Santa Ana Management Association. Dated: SAMA: IN President Chief Negotiator Orange County's Employee Association (OCEA) Vice President SANTA ANA MANAGEMENTASSOCIATION (SAMA) MOU:2019-2022 55D-69 EXHIBIT A ADMINISTRATIVE MANAGEMENT JOB TITLES ADMINISTRATIVE MANAGEMENT JOB TITLES Applications Systems Manager (AM) Applications/Tech Support Manager (AM) Assistant Public Works Maintenance Manager (AM) Budget and Research Manager (AM) Budget Supervisor (AM) Code Enforcement Principal (AM) Correctional Manager (AM) Facilities Maintenance Manager (AM) Fleet Services Manager (AM) Homeless Services Manager (AM) Payroll Manager (AM) Principal Human Resources Analyst (AM) Principal Management Analyst (AM) Principal Planner (AM) Project Management Officer (AM) Public Affairs Information Officer (AM) Risk Management Supervisor (AM) Secretary to the City Manager (AM) Senior Budget Analyst (AM) Senior Financial Analyst (AM) Senior Human Resources Analyst (AM) Senior Management Analyst (AM) Supervisor of Inspections (AM) SANTA ANA MANAGEMENT ASSOCIATION (SAMA) MOU: 2019-2022 60 55D-70 MIDDLE MANAGEMENT JOB TITLES Accounting Manager (MM) Administrative Services Manager (MM) Assistant City Attorney (MM) Assistant Clerk Of The Council (MM) Assistant Dir of Finance and Management Svcs (MM) Assistant Director of Community Development (MM) Assistant Director of Human Resources (MM) Assistant Director of Parks Rec and Cmty Svcs (MM) Assistant Director of Planning and Building (MM) Assistant to the City Manager (MM) Benefits & Compensation Manager (MM) Building Safety Manager (MM) Chief Assistant City Attorney (MM) City Traffic Engineer (MM) Code Enforcement Manager (MM) Community Development Manager (MM) Community Services Manager (MM) Corporate Yard Facilities/Fleet Svcs Mgr (MM) Council Services Manager (MM) Deputy City Attorney (MM) Deputy Public Works Director/City Engineer (MM) Deputy Public Works Director/Maintenance Services Manager (MM) Deputy Public Works DirectorNVater Resources Manager (MM) Economic Development Manager (MM) Facilities and Fleet Maintenance Manager (MM) Facilities Maintenance Superintendent (MM) Housing Division Manager (MM) Information Services and Network Manager (MM) Library Operations Manager (MM) Planning Manager (MM) Principal Civil Engineer (MM) Risk Manager (MM) Senior Assistant City Attorney (MM) Strategic Communications Manager (MM) Transit Program Manager (MM) Transportation Manager (MM) Treasury and Customer Services Manager (MM) Zoo Manager (MM) SANTA ANA MANAGEMENTASSOCIATION (SAMA) MOU: 2019-2022 61 55D-71 SANTA ANA MANAGEMENT ASSOCIATION (SAMA) MOU: 2019-2022 62 55D-72 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 1, 2019 TITLE: APPROVE AN APPROPRIATION ADJUSMENT IN THE AMOUNT OF $183,279; APPROVE AN AMENDMENT TO THE CITY'S BASIC CLASSIFICATION AND COMPENSATION PLAN AND APPROVE A MEMORANDUM OF UNDERSTANDING WITH THE CONFIDENTIAL ASSOCIATION OF SANTA ANA {STRATEGIC PLAN NO. 7, 4-7) /s/ Kristine Ridge CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 15' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For FILE NUMBER 1. Approve an Appropriation Adjustment transferring $183,279 from General Fund Non - Departmental into the appropriate General Fund Accounting Units noted in (Exhibit 1). 2. Approve an amendment to the Resolution No. 2015-026 to effect certain changes to the City's Basic Classification and Compensation Plan (Exhibit 2). 3. Authorize the City Manager to execute a Memorandum of Understanding (MOU) with the Confidential Association of Santa Ana (CASA) for the period of January 1, 2019 through June 30, 2022, regarding wages and other terms and conditions of employment (Exhibit 3). DISCUSSION The City and the Confidential Association of Santa Ana (CASA) recently completed contract negotiations, resulting in a new Memorandum of Understanding (MOU). The provisions of the agreement include: 1. Term: Effective January 1, 2019 through June 30, 2022. 55E-1 Agreement with CASA 2019-2022 October 1, 2019 Page 4 2. Salary: The agreement provides a cost of living adjustment of 3.5% effective July 1, 2019; 2020; 2021; with removal of "me too" clause. Salary increases apply to those members employed upon adoption of the MOU. 3. Medical: Effective January 1, 2020, the City shall contribute an additional $50.00 allowance per month towards employee health insurance premiums. Effective January 1, 2021, the City shall contribute an additional $50.00 allowance per month towards employee health insurance premiums. Effective January 1, 2022, the City shall contribute an additional $50.00 allowance per month towards employee health insurance premiums. Part-time Civil Service will receive a pro -rated allowance equal to 75% of the applicable coverage level. 4. Dental: Effective January 1, 2020, the City shall contribute an allowance of $100 per month per employee. Effective January 1, 2021, the City shall contribute an allowance of $105 per month per employee. Effective January 1, 2022, the City shall contribute an allowance of $110 per month per employee. Part-time Civil Service will receive a pro -rated allowance equal to 75% of the applicable coverage level. 5. Long-term Disability (LTD): Effective January 1, 2020, the City shall increase the level of benefit coverage from the current 60-day plan at $5,000 maximum benefit to a 60-day plan with a $7,500 maximum benefit). 6. Life: Effective January 1, 2020, the City shall increase the Group Term Life benefit coverage from $30,000 to $50,000. 7. Holiday Closure: The City and CASA have agreed to a mandatory City-wide winter holiday closure each year during the term of this MOU and shall sunset on June 30, 2022. This provision expires June 30, 2022, unless mutually agreed otherwise by the parties. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's effort to meet Goal #7 — Team Santa Ana, Objective #4, Establish employee compensation that attracts and retains a highly qualified workforce, objective 45, Create a culture of innovation and efficiency within the organization, objective #6, Provide a positive workplace environment that supports the health of its employees and celebrates its success, and objective #7 Develop a culture of motivated and innovative leaders in the organization. 55E-2 Agreement with CASA 2019-2022 October 1, 2019 Page 4 FISCAL IMPACT The non -departmental division of the General Fund budget is adequate to provide for the FY 2019-20 compensation increase. The recommended appropriation adjustment would simply move the existing budget from non -departmental to the appropriate departments budgets. For FY 2019-20 the agreement will result in a cost of $267,810 for all funds (within the various salary accounts 61000) during fiscal year 2019-20. In addition, the agreement has annual cost (all funds) of $498,360 during fiscal year 2020-21, and a cost of $747,112 during fiscal year 2021-22 for a total cost to the City of $1,513,282 during the term of the MOU. APPROVED AS TO FUNDS AND ACCOUNTS: Steven V. Pham Kathryn Downs, CPA Executive Director Executive Director Human Resources Department Finance and Management Services Agency Exhibits: 1. Fund Break-out — General Fund Accounting Units and Fund Categories 2. Resolution to amend City's Basic Classification and Compensation Plan 3. CASA MOU January 1, 2019 through June 30, 2022 55E-3 EXHIBIT 1 CASA Fy 19-20 GENERAL FUND Department Accounting Unit Number Amounting Unit Name Fiscal Impact City Manager's Office 01103010 Administration 27,828 City Attorney's Office 01108032 City Attorney's Office 22,642 Human Resources 01109050 Human Resources 54,375 Finance 01110100 Management & Support 18,551 Finance 01110115 Payroll 19,399 Parks& Recreation Agency 01113200 Administration 11,166 Police Department 01114400 Office of the Chief 3,780 Police Department 01114401 Fiscal & Budget 5,134 Police Department 01114402 Human Resources 14,061. Planning& Building Agency 01116500 Administration 4,306 Public Works Agency 01117643 Sanitation Services 2,038 Additions Subtotal 183,279 TRANSFER FROM NON -DEPARTMENTAL TO ABOVE -REFERENCE GENERAL FUND ACCOUNTING UNITS General Fund Non -Departmental 0110515 General Non -Departmental (183,279) GENERAL FUND NET FISCAL IMPACT 0 Department Public Works Agency Public Works Agency Public Works Agency Human Resources Human Resources Human Resources Internal Service Funds Accounting Unit Number 07317100 08617612 10117601 08009051 08109053 08209054 Additions Subtotal Enterpnse Funds Department Accounting Unit Number Finance 02710131 Finance 02710132 Public Works Agency 06017645 Public Works Agency 06817640 Public Works Agency 06817641 Public Works Agency 06917640 Additions Subtotal Amounting Unit Name Fiscal Impact Building Maintenance 5,917 Design Engineering 4,112 Administration 13,737 General liability 5,258 Employee Group Benefits 12,592 Workers Compensation 12,928 54,543 Amounting Unit Name Fiscal Impact Parking Meter 2,930 Parking Facilities 2,965 Water Administration 5,725 Environmental Sanitation 1,997 Roadway Cleaning 1,997 Refuse Collection Service 1,437 17,052 Grants & Other Restricted Funds Department Accounting Unit Number Amounting Unit Name Fiscal Impact Human Resources 03109050 Air Quality Improvement Fund-HR 2,343 Community Development Agency 12318752 W.O.R.K. Center-Admin 1,229 Community Development Agency 12418737 Economic Dev-Special Projects 940 Community Development Agency 13318780 Housing Authority 1,978 Community Development Agency 13518780 CDBG 1,229 Community Development Agency 14018760 Housing Authority 1,337 Community Development Agency 41718820 Housing Authority 1,229 Community Development Agency 60718810 Successor Housing Agency 1,229 Community Development Agency 67018843 Successor Agency 1,423 Additions Subtotal 12,936 ADDITIONS GRAND TOTAL (ALL FUNDS) 267,810 55E-4 EXHIBIT 2 RESOLUTION NO. 2019-XX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA TO AMEND RESOLUTION NO. 2015-026 TO EFFECT CERTAIN CHANGES TO THE CITY'S BASIC CLASSIFICATION AND COMPENSATION PLAN. BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1: The City Council hereby finds, determines and declares as follows: A. Section 1004, Article X of the City Charter of the City of Santa Ana requires the City Manager to prepare, install and maintain a position classification and pay plan subject to civil service rules and regulations and the approval of the City Council. B. On June 16, 2015, the City Council adopted Resolution No. 2015-026 amending and re-establishing the Basic Classification and Compensation Plan for all Full -Time and Part -Time Classifications of Officers and Employees of the City of Santa Ana. C. It is the City's practice to assign job titles that reflect the duties and responsibilities of the classification and are consistent with other classifications within the City's organizational structure as well as comparable job titles in the labor market, while maintaining internal pay equity relationships and attracting and retaining qualified candidates. D. During labor negotiations between the Confidential Association of Santa Ana ("CASA") and the City for a new Memorandum of Understanding to be effective January 1, 2019, the parties tentatively agreed, subject to City Council approval, to delete the classification of Senior Worker's Compensation Systems Technician and to change the title and ranges for selected Executive Secretary classifications in the City's Basic Classification and Compensation Plan. E. The City Council has amended and reestablished the Basic Classification and Compensation Plan on numerous occasions since its adoption. F. It is now desired to amend Council Resolution No. 2015-026, as amended, in order to effect these changes, as shown below: Resolution 2019-XXX Page 1 of 3 55E-5 Section 2: The Santa Ana City Council amends Resolution No. 2015-026, Exhibit "B" as follows: A. Deleting the title for the following full time classification title at the monthly six -step salary rate range indicated: 6-Step Salary Rate Range Effective 09/01/17 Monthly Salary Classification Title SSR Minimum -Maximum Sr. Workers Compensation Systems Technician (UC) 627 $4827 - $6161 B. Changing the titles and salary range for the following full-time classification titles at the monthly six -step salary rate range indicated: 6-Step Salary Rate Range Effective 09/01/17 Monthly Salary Classification Title SSR Minimum -Maximum FROM: Executive Secretary to the City Attorney (UC) 610 $4439 - $5670 Human Resources Executive Secretary (UC) 610 $4439 - $5670 TO: Executive Secretary (UC) 615 $4550 - $5812 Section 3: The Santa Ana City Council amends Resolution No. 2015-026, Exhibit "F" as follows: A. Changing the unit and salary range for the following full-time classification title at the monthly seven -step salary rate range in the SEIU 6 unit to the monthly six - step salary rate range in the CASA unit as indicated: 7-Step Salary Rate Range Effective 09/01/17 Monthly Salary Classification Title SSR Minimum -Maximum FROM: Executive Secretary(SEIU 6) 621 $4317 - $5790 WE 6-Step Salary Rate Range Effective 09/01/17 Monthly Salary Classification Title SSR Minimum -Maximum Executive Secretary (UC) 615 $4550 - $5812 Resolution 2019-XXX Page 2 of 3 55E-6 Section 3: All salary rate range classifications are set forth in the City's "Salary Schedule" as periodically updated. Section 4: That except as amended by this Resolution, all other provisions of Resolution No. 2015-026 as amended shall remain in full force and effect Section 5: This Resolution is operative from and after the date upon which it is adopted. ADOPTED this 1 st day of October, 2019. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By: Laura A. Rossini Senior Assistant City Attorney AYES: NOES: ABSTAIN: NOT PRESENT: Resolution 2019-XXX Page 3 of 3 Councilmembers Councilmembers Councilmembers Councilmembers 55E-7 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Daisy Gomez, 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 October 1, 2019. Date: Clerk of the Council City of Santa Ana Resolution 2019-XXX Page 4 of 3 55E-8 EXHIBIT 3 JANUARY 1, 2019 THROUGH JUNE 30, 2022 MEMORANDUM OF UNDERSTANDING BETWEEN CITY OF SANTA ANA AND CONFIDENTIAL ASSOCIATION OF THE CITY OF SANTA ANA CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU; JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 1 #10865v2 55E-9 TABLE OF CONTENTS ARTICLE SUBJECT PAGE ARTICLE I RECOGNITION 3 ARTICLE II NON-DISCRIMINATION CLAUSE 4 ARTICLE III IMPLEMENTATION 5 ARTICLE IV ATTENDANCE, WORKDAY & WORKWEEK 6 ARTICLE V SALARIES 11 ARTICLE VI ASSIGNMENT & OTHER SPECIAL PAY ADDITIVES 18 ARTICLE VII OVERTIME 25 ARTICLE VIII TRAINING & EDUCATIONAL ASSISTANCE PROGRAM 30 ARTICLE IX HOLIDAYS 33 ARTICLE X VACATION 39 ARTICLE XI OTHER LEAVES OF ABSENCE 44 ARTICLE XII EMPLOYEE INSURANCE 53 ARTICLE XIII RETIREMENT 57 ARTICLE XIV SAFETY 61 ARTICLE XV GRIEVANCE REVIEW PROCEDURE 62 ARTICLE XVI ASSOCIATION RIGHTS 64 ARTICLE XVII DUES DEDUCTION & INDEMNIFICATION 68 ARTICLE XVIII CITY RIGHTS 69 ARTICLE XIX STRIKES & WORK STOPPAGES 71 ARTICLE XX LAYOFFS 72 ARTICLE XXI MISCELLANEOUS PROVISIONS 74 ARTICLE XXII SOLE & ENTIRE AGREEMENT 77 ARTICLE XXIII WAIVER OF BARGAINING DURING THE TERM OF THIS MOU 78 ARTICLE XXIV EMERGENCY WAIVER PROVISION 79 ARTICLE XXV SEPARABILITY PROVISION 80 ARTICLE XXVI TERM OF MOU 81 ARTICLE XXVII RATIFICATION & EXECUTION 82 EXHIBITS EXHIBIT A ASSIGNMENT OF CLASSIFICATIONS REPRESENTED BY CASA 84 EXHIBIT B RESOLUTION NO. 81-75 86 EXHIBIT C 9/80 HARDSHIP CLAIM FORM 100 CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA( MOU: JANUARY 1, 2019 THROUGH JUNE S0, 2022 Page 2 #10865v2 55E-10 ARTICLE I 1.0 RECOGNITION 1.1 Pursuant to the provisions of the Meyers-Milias-Brown Act, Government Code Section 3500, et sue., the City of Santa Ana (hereinafter called "the City") has recognized the Confidential Association of Santa Ana (hereinafter called "CASA") as the majority representative of the bargaining unit which includes all full-time and designated Part -Time Civil Services (PTCS) employees employed by the City of Santa Ana in classifications heretofore designated as "confidential" and which are listed in Exhibit A of this Memorandum of Understanding ("MOU"). 1.2 Notwithstanding the following provisions of this MOU, the parties agree that they have intended nothing herein to entitle, alter or award Civil Service rights or privileges to any employee represented by CASA who is in the Excepted (Exempt) Service of the City of Santa Ana. 1.3 During the term of this MOU, no substantive issue of representation shall be raised contrary to this MOU except as provided in this MOU or in Resolution No. 81-75, the Employer -Employee Relations Resolution of the City of Santa Ana (refer to Exhibit B). 1.4 The term "employee" or "employees" as used herein shall refer only to full- time and designated Part -Time Civil Service CASA employees of the City, in the employee classifications listed in Exhibit A of this MOU, as well as such classifications as may be added hereinafter by resolution of the City Council. 1.5 It is the purpose of this MOU to promote and provide for harmonious relations, cooperation and understanding between the City and employees covered by this MOU. It sets forth the full and entire understanding reached in good faith negotiations regarding the wages, hours, terms and conditions of employment of employees covered by this MOU, which the parties intend to submit jointly and recommend for approval to the City Council of the City of Santa Ana. 1.6 Employees with classifications designated as Part -Time Civil Service (PTCS) within this Bargaining Unit are covered under all sections of this MOU. PTCS employees will work between 20 and 39 hours per week. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 3 #10865v2 55E-11 ARTICLE II 2.0 NON-DISCRIMINATION CLAUSE 2.1 The City and CASA agree that they shall not discriminate against any employee because of race, color, gender, sexual orientation/association or perception, age, national origin, ancestry, disability, medical condition, marital status, pregnancy, childbirth or related medical conditions, genetic information, political or religious opinions oraffiliations, or CASA membership. The City and CASA shall reopen any provision of this MOU for the purpose of complying with any order of a Federal or State agency or court of competent jurisdiction requiring a modification or change in any provision or provisions of this MOU in compliance with State or Federal anti -discrimination laws. 2.2 Whenever reference is made to the masculine gender, it shall be understood to include the feminine gender, unless expressly stated otherwise. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY I, 2019 THROUGH JUNE 30, 2022 Page 4 #10865v2 55E-12 ARTICLE III 3.0 IMPLEMENTATION 3.1 The parties agree that this MOU shall not be binding upon the parties until the City Council: A. Acts, by majority vote, to formally approve this MOU; and B. Acts to appropriate the necessary funds required to implement the provisions of this MOU that require funding. 3.2 Notwithstanding the foregoing, in the event the City Council fails to take all actions necessary to implement this MOU in a timely manner, the parties understand that they may mutually agree to implement appropriate provisions of this MOU that do not require specific approval by the City Council. 3.3 Implementation shall be effective as of the date the MOU is formally approved by the City Council. If the parties fail to agree to implement provisions of this MOU not requiring City Council approval, then negotiations shall resume upon the request of either party. CONFIDENTIAL ASSOCIATION Of SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 5 #10865v2 55E-13 ARTICLE IV 4.0 ATTENDANCE, WORKDAY & WORKWEEK 4.1 Attendance. Employees covered by this MOU shall be in attendance at their work during hours prescribed by the Department Head or his or her designee(s) and shall not absent themselves without approval of the Department Head or his or her designee(s). 4.2 Hours of Work. Eight (8) hours of work shall constitute a normal workday and forty (40) hours of work shall constitute a minimum workweek, except for employees for whom special schedules have been approved by the City Manager. A. 4/10 Work Schedule. The Department Head, with the approval of the City Manager, may assign employees to a workweek consisting of four (4) ten-hour (10-hour) days with an additional one-half (1 /2) or one (1) hour for unpaid lunch, as negotiated with CASA. The assigned employee shall work four (4) ten (10) hour days and shall have three (3) consecutive days off in a workweek. Upon mutual agreement between the supervisor and employee, the employee may waive his or her right to three (3) consecutive days off in a workweek. The regular workweek shall consist of forty (40) hours. A regular day off shall consist of ten (10) hours. B. 9/80 Work Schedule. The work schedule described below is known as the "9/80" work schedule. The "9/80" work schedule is designed to be in compliance with the requirements of the Fair Labor Standards Act (FLSA). In the event that there is a conflict with the current rules, practices and/or procedures regarding work schedules and leave plans, then the rules listed below shall govern. Employees shall be permitted to work a "9/80" work schedule when authorized by the Department Head and approved by the City Manager. A departmental work unit shall not be permitted to work this schedule if in the discretion of the Department Head and City Manager, the "9/80" work schedule may reduce service to the public. l . "9/80" Work Schedule Defined. The "9/80" work schedule shall be defined as working eighty hours (80) over nine (9) days in a two -week period. An employee shall work eight (8) days for CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 6 #10865v2 55E-14 nine (9) hours per day and one day for eight (8) hours, excluding a one -hour lunch during each work shift, totaling forty (40) working hours in each FLSA work week. a. The Work Week Period. The forty (40) hour FLSA work week period shall be defined as the work period starting from Friday at mid -shift to Friday at mid -shift. No employee working the "9/80" work schedule shall be able to flex their Friday start time nor the time they take their lunch break, which shall occur in the middle of the day on Fridays. b. The 9/80 Work Period. The "9/80" two -week work period for employees starts Friday mid -shift and continues for fourteen (14) days until Friday mid -shift. During this period, each week is made up of four (4) nine -hour work days (thirty-six hours) and one (1) four-hour Friday for a total of forty (40) work hours in each work week (e.g., the Friday is split into four (4) hours for the first shift, which is charged to work week one, and four hours (4) for the second shift, which is charged to work week two). C. Work Schedule Changes Employees shall not be permitted to change their work schedules without prior approval of their supervisor and Department Head. d. Modifications of the FLSA Work Week. Modifications of the FLSA work week period are not permitted unless authorized by the Executive Director of Human Resources and the City Manager. e. Emergencies. All employees on the "9/80" work schedule are subject to be called to work any time to meet any and all emergencies or unusual conditions that, in the opinion of the City Manager, Department Head or designee, may require such service from any of said employees. 4.3 9/80 Schedule Hardship Claims. Any employee having been authorized to work the "9/80" work schedule who subsequently encounters a personal hardship with his or herwork hours may request an accommodation from his CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE W, 2022 Page 7 910865v2 55E-15 or her Department Head. A "hardship request" shall be limited to an employee's authorized hours of work. An accommodation shall be considered only after the employee has exhausted all other personal options to resolve the hardship. If the employee is unable to resolve his or her problem, the employee may request an accommodation from their Department Head by submitting a hardship claim. The Department Head may authorize an accommodation after reviewing the claim or assign a manager to investigate and recommend a resolution of the hardship claim. The manager may recommend one of the following: A. Approve an appropriate flex schedule that does not disrupt the department's ability to deliver its services or that does not create disruption in the work unit; or B. Disapprove the employee's proposed solution to resolve the hardship; or C. Reassign the employee to a 5/40 work schedule. The Department Head may accept any one of the manager's recommendations or advance his own to resolve the hardship. D. Hardship Claims. The following process shall apply to CASA employees on a 9/80 schedule with hardship concerns: Employees shall be required to explore and exhaust all personal options to resolve the hardship. The employee's efforts to resolve his or her personal situation must be explained on the form. 2. An employee claiming an ongoing hardship due to the 9/80 work schedule should submit a hardship claim form (Exhibit C of this MOU) to the Department Head through his or her manager. The Department Head may authorize an accommodation after reviewing the claim or may assign a manager to investigate and recommend a resolution. 3. If, according to the employee, the hardship claim was not resolved through the Department Head's recommendation, the employee may submit the claim form to the Human Resources CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 8 #10865v2 55E-16 Department, M-24. A Hardship Committee shall be established to assist in the resolution of hardship claims and meets on an as - needed basis. The Hardship Committee will review the claim and make a recommendation to the Department Head. 4. Hardship claims due to health reasons, either the employee's or a dependent's, must be supported by medical verification signed by the employee's or dependent's private physician. 5. In cases where a hardship exists, as determined by the Hardship Committee, efforts will be made to identify alternatives with due regard to the employee's request but, with particular concern to the needs of the department. The Department Head has final approval on any work schedule adjustment. 6. If transferred or reassigned to a different department and a hardship continues, a new hardship claim must be filed with the new Department Head. 7. It is the employee's responsibility to notify his or her supervisor if the hardship terminates and return to the normal 9/80 work schedule. Inconvenience or preference does not constitute a hardship. 4.4 Overtime Defined. All FLSA nonexempt employees working underthe "9/80" work schedule shall earn overtime for all hours worked after the first forty (40) hours in an FLSA work week as required under FLSA. Employees are required to obtain supervisor authorization before working any overtime. A. Overtime Compensation. Overtime work, and compensation for same, shall follow the provisions stated in Article VII - Overtime. B. Compensatory Time. Terms and compensation for Compensatory Time shall follow the provisions stated in Article VII - Overtime. 4.5 Leave Benefits. When an employee is off on a scheduled workday under the 119/80" work schedule, nine (9) hours of eligible leave per workday shall be charged against the employee's leave balance; if the day off is a Friday, then eight (8) hours shall be charged. When an employee is off on a scheduled workday under the "4/10" work schedule, ten (10) hours of eligible CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 9 #10865v2 55E-17 leave per workday shall be charged against the employee's leave balance. All leaves shall continue under the current accrual, eligibility, request and approval requirements. A. Vacation Leave. Provisions for vacation leave are found in Article X of this MOU. Sick Leave. Provisions for sick leave are found in Article XI of this MOU. C. Bereavement Leave. Provisions for bereavement leave are found in Article XI of this MOU. D. Holidays. Provisions for holiday leave are found in Article IX of this MOU. E. Jury Duty Leave. If an employee is called to serve on jury duty during a normal Friday off, or a Saturday, or Sunday, or on a City holiday, then the jury duty shall be considered the some as having occurred during the employee's day off work; therefore, the employee shall receive no added compensation. See Article XI, Section 1 1.4, Jury and Witness Leave. PTCS designated employees shall accrue vacation, sick, personal necessity and any other types of leave at a rate of 75%of the monthly provided rate of the Full -Time Civil Service equivalent as designated in this MOU. CON FIDEN II AL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 10 #10865v2 55E-18 ARTICLE V 5.0 SALARIES 5.1 Basic Compensation Plan. There is hereby established a basic compensation plan for all full-time and designated PTCS personnel who are now employed or shall in the future be employed in any of the designated classifications of employment represented by CASA as listed in this MOU and its attachments. 5.2 Salary Schedule. The basic salary schedule, periodically updated and published by the City provides numerous salary rate ranges, each comprised of six (6) steps or rates of pay. The steps within each rate range are identified by the letters "AA" through "E" inclusive, with Step "AA" being the lowest step in the range. The purpose of each step and the length of service required foradvancement to the next higher step within a particular salary rate range as set forth in the City's salary schedule, as periodically updated and published by the City. The assignment of classifications to salary rate ranges for full time personnel is listed in the City's salary schedule, as periodically updated and published by the City. 5.3 Salaries. Effective in the pay period including July 1, 2019, July 1, 2020 and July 1, 2021, classifications covered by this MOU shall receive a base salary increase of 3.5%. The initial salary increase will be provided to those currently employed as of the date the MOU is adopted by Council retroactively to the pay period including July 1, 2019. 5.4 Application of Basic Compensation Plan. The salary rate ranges discussed in Section 5.2 are monthly salary rate ranges. All full-time employees working in classifications of employment covered by this MOU shall be compensated at a monthly rate, except that an employee hired for temporary work in a position which has an anticipated duration of less than six (6) months shall be paid at a rate per hour for actual time spent in the performance of the duties of his or her employment. The regular rate of pay shall be computed as provided for by the FLSA. Any hourly rate of pay, defined as the regular hourly rate of pay, shall be computed by dividing the monthly salary rate plus any applicable premiums CON HULNI IAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 11 #10865v2 55E-19 by 173.33. In determining the hourly rate as herein provided, computation shall be made to the nearest whole cent and a computation resulting in an even one-half cent shall fix the rate at the next higher whole cent. 5.5 Probation. Except for employees in the Excepted Service as defined by the City Charter, and employees re-employed from re-employment lists, the probationary period shall be one (1) year from the date of appointment from an open eligible list (new hire) or a reappointment eligible list (rehire) and six (6) months from the date of appointment from a promotional eligible list. 5.6 Beginning Rates. Anew employee offhe City of Santa Ana shall be paid the rate shown as Step "AA" in the salary rate range allocated to the classification of employment for which he or she has been hired. In special instances where such new employee possesses unique and exceptional educational training and/or experience qualifications, the Department Head, under whom the employee will serve, may submit a written request and justification to the City Manager for authorization to place such new employee on Step "A," "B," "C," "D" or "E" within the allocated salary rate range, provided that such employee shall be assigned such salary step upon the commencement of his or her service in the classification of employment to which the salary rate range applies and such assignment having once been made shall remain in effect until the employee shall be entitled to advance to the next salary step in accordance with the provisions of this Article. 5.7 Service. The word "service" as used in this MOU shall be deemed to mean continuous, full-time service in the classification in which the employee is being considered for salary advancement, service in a higher classification, or service in a classification allocated to the some salary rate range and having generally similar duties and requirements. Employees hired after the first (1 st) working day of the month shall not be credited with "time in service" for that month when determining the length of service required for salary step advancement. A lapse of service by an employee for a period of time longer than thirty (30) calendar days by reason of resignation, quit, or discharge, shall serve to eliminate the accumulated length of service time of such employee for the purposes of this MOU, and such employee reentering the service of the City shall be considered as a new employee, except when he or she is being or will be reappointed as provided in the Santa Ana Municipal Code Section 9-1 14 within one (1) year and placed in the same salary step in the appropriate salary rate as he or she was at the time of termination of employment. "Resignation, quit, or discharge" for purposes of CONFIUEN IIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 12 #10865v2 55E-20 this section shall mean separating from full-time City employment altogether, not leaving one position to accept appointment to another position in an unrelated classification outside the career ladder. 5.8 Advancement within Ranges. A. Length of Service Advancements. After the salary of an employee has been first established and fixed under this plan, such employee shall be advanced from Step "AA" to Step "A," from Step "A" to Step "B," from Step "B" to Step "C," or from Step "C" to Step "D," whichever is the next higher step to that on which the employee has been previously paid, effective the first day of the month following the date of completion of the length of service required for such advancement as provided in Section 5.2 and the City's salary schedule, as periodically updated and published by the City. B. Merit Advances. An employee shall be considered for advancement from Step "D" to Step "E" upon the completion of the required length of service as provided in Section 5.2 and the City's salary schedule, as periodically updated and published by the City; the effective date of such merit increase, if granted, shall be on the first (1st) day of the month following the completion of such required length of service. Advancement to Step "E" may be granted only for continued meritorious and efficient service and continued improvement by the employee in the effective performance of the duties of his or her position. Such merit advancement shall require the following: There shall be on file in the office of the Executive Director of Human Resources a copy of each periodic performance appraisal report required to be made on the employee by the Civil Service Rules and Regulations and/or the City Manager during the period of service time of such employee subsequent to his or her last salary advancement. 2. The Department Head, at least twenty (20) calendar days, prior to the anticipated completion of such employee's required length of service, shall file with the City Manager a statement recommending the granting or denial of the merit increase and supporting such a recommendation with specific reasons therefore. The employee shall be notified by the Department CONFIDENTIAL ASSUCIA1 ION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 13 #10865v2 55E-21 Head as to such recommendations and of the reasons therefore. 3. No advancement in salary above Step "D" shall become effective until approved by the City Manager, except when placement on a salary step above Step "D" results from promotion under the provisions of Section 5.8 of this Article. 4. Effective January 1, 2018, notwithstanding the foregoing provisions of this subsection to the contrary, a merit "E" step advance shall be automatically granted ninety (90) days after the due date if no performance appraisal is completed, the effective date of such merit step advance shall be retroactive to the first II day of the month following the completion of the required length of service. C. Length of Service Required When Advancement Denied. When an employee has not been approved for advancement to merit Step "E," he or she may be reconsidered for such advancement after the completion of three (3) months of additional service and shall be reconsidered for such advancement after the completion of six (6) months of additional service. This reconsideration shall follow the same steps and shall be subject to the some actions as provided in subparagraphs B.2 and B.3 of this section. 5.9 Reduction in Salary Steps. Any employee who is being paid at merit Step "E" may be reduced to Step "D" of the appropriate salary range, upon the recommendation of the Department Head, and the approval of the City Manager. Procedure for such reduction shall follow the same procedure as outlined for merit advancements in Section 5.8 above, and such employee may be considered for re -advancement under the some provisions as contained in Subsection C of Section 5.8 above. 5.10 Promotional Salary Advancement. When an employee is promoted to a position in a higher classification from a position in a lower classification in the same occupational career ladder, he or she shall be reassigned to Step "AA" in the appropriate salary rate range for the higher classification; provided, however, that if the base salary step currently being paid such employee is already equal to or higher than Step "AA," he or she shall be placed in the lowest step in the appropriate salary rate range as will grant that employee a minimum increase of 5% over his or her current base salary CONFIDENTIAL ASSOCIAI ION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 14 #10865v2 55E-22 step, inclusive of lead pay, and exclusive of any other assignment or special pay additive or additives such as bilingual pay, shift differential, special skill pay or the like, except when placement at "E" step will not be sufficient to provide a 5% increase. 5.11 Demotion. When an employee is demoted to a position in a lower classification, his or her salary rate shall be fixed in the appropriate salary rate range for the lower classification in accordance with the following provisions: A. The salary rate shall be reduced by at least one (1) salary step (approximately 5%). B. The new salary rate must be within the appropriate salary rate range. C. The new salary rate shall not be higher than the salary step to which the employee would have been entitled had his or her service time in the higher classification been spent in the lower classification. D. If the salary rate recommended by the Department Head is lower than the maximum step permissible under Subsection C above, such recommendation shall be considered a reduction in pay in addition to the demotion and shall be handled in accordance with the provisions for salary reductions in Section 5.9 above. 5.12 Reallocation of Salary Rate Ranges. Any employee who is employed in a classification which is reallocated to a different salary rate range from that previously assigned shall be retained in the some salary step in the new salary rate range as he or she had previously held in the prior rate range and shall retain credit for length of service in such step towards advancement to the next higher step. 5.13 Request for Classification Review. Any employee who, for a continuous period exceeding six (6) months, believes he or she is regularly and consistently performing duties and/or responsibilities not in conformance with their classification concept or, duties and/or responsibilities of another classification, may request a classification review of their position through their supervisor to the Department Head. The employee must submit their request on a form specified by the Executive Director of Human Resources, outlining in writing how they believe their current duties and/or responsibilities differ from their classification concept. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 15 #10865v2 55E-23 A. The Department Head shall review the employee's submitted request and within sixty (60) days shall make one of the following determinations: Will support the employee's request. a. If the Department Head supports the employee's request for a classification review, he or she shall forward the request to the Executive Director of Human Resources along with justification for support of the employee's request. b. The Department Head shall notify the employee that his or her request has been submitted to the Executive Director of Human Resources. 2. Will not support the employee's request. a. If the Department Head does not support the employee's request for a classification review, he or she shall notify the employee of this decision in writing and set forth the basis for the decision. b. If the Department Head does not support the employee's request, but agrees that some of the duties and/or responsibilities being performed by the employee are those of a higher level City classification, he or she can do the following: Return the employee to performance of the duties and/or responsibilities of their proper classification. ii. Eliminate the higher duties and/or responsibilities being performed by the employee, for which the City has agreed are those for which it shall provide higher compensation. B. Any employee request for classification review approved by the Department Head shall be forwarded to the Executive Director of Personnel Services. The Executive Director of Human Resources shall CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 16 #10865v2 55E-24 confirm receipt of the request in writing to the employee. Within sixty (60) days of receipt of the request, the Executive Director of Human Resources shall notify the employee and Department Head of the decision as to whether a study will be conducted. If the Executive Director of Human Resources determines that a study is appropriate, the Executive Director of Human Resources shall so notify the employee and the Department Head in writing and shall provide the employee and Department Head with an approximate start date for the study. C. All determinations of the Department Head and the Executive Director of Human Resources are final. D. All studies and study findings shall require City Manager approval before proceeding. E. All recommendations resulting from studyfindings require the approval of the City Council and shall be implemented in accordance to the City's Civil Service rules. 5.14 Wherever reference is made to a required number of days, months, or years for Full Time Civil Service employees in this Article, an equivalent number of hours shall be substituted to satisfy an equivalent to 75% requirement for designated PTCS employees. Any hourly rate of pay, defined as the regular hourly rate of pay, shall be computed by dividing the monthly salary rate plus any applicable premiums by 173.33. In determining the hourly rate as herein provided, computation shall be made to the nearest whole cent and a computation resulting in an even one-half cent shall fix the rate at the next higher whole cent. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY I, 2019 THROUGH JUNE 30, 2022 Page 17 #10865v2 55E-25 ARTICLE VI 6.0 ASSIGNMENT & OTHER SPECIAL PAY ADDITIVES 6.1 Assignment Pay Differential. Assignment pay differentials, as listed herein and throughout the MOU, shall, in each case, be added individually and separately to the employee's base salary. In no event shall one assignment pay differential be added to the employee's base salary as a basis for the calculation of an additional pay differential. A. Employees who are assigned by a Department Head, with the prior approval of the City Manager, to a position requiring the ability to take dictation at a rate of 70 words per minute or better on a regular basis or as an essential or integral element of the work of the position, shall be paid a monthly differential of sixty dollars ($60) above his or her then current base monthly salary step for each full month of such assignment. B. Full-time incumbents in any classification listed in this MOU who are required by a Department Head or their designee to perform the duties of a Notary Public for the City, in addition to regular duties, shall be paid a monthly pay premium of forty dollars ($40) above his or her then current base monthly salary step. 6.2 Lead Pay. Incumbents in any classification listed in this MOU who are regularly and continuously assigned to lead a functional unit which includes two (2) or more positions in the same or lower classifications as the incumbent may be compensated forsuch duties upon mutual agreement of the City and CASA and approval of the Department Head and the Executive Director of Human Resources. This compensation shall be referred to as "lead pay" and shall be calculated at a rate 5%above the employee's then current base salary step. In addition, incumbents in any classification listed in this MOU who are regularly and continuously assigned to perform lead supervisory responsibilities shall receive lead pay compensation at a rate 5%above his or her then current base monthly salary step. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY I, 20TY THROUGH JUNE 30, 2022 Page 18 #10865v2 55E-26 6.3 Bilinqual Pay. An employee who is assigned by a Department Head or his or her designee to a position requiring bilingual capability in both English and either Spanish, Samoan, Vietnamese or other languages designated by the City Manager, shall be paid a monthly assignment pay differential in accordance with the criteria and amounts set forth below: A. The employee must be certified by the Executive Director of Human Resources, or his or her designee, as having satisfactorily demonstrated conversational fluency in both English and the second language for any position requiring bilingual capacity. B. Positions where it has been determined by the Department Head that bilingual proficiency is essential to carry out duties and responsibilities of a critical and/or emergency nature without ready access to backup assistance, or positions where bilingual public contact is a major, essential or integral element of the work being performed, shall be designated as Primary Bilingual Assignments. A qualified incumbent of such position shall be paid a monthly differential of one hundred seventy-five dollars ($175) above his/her then -current base monthly salary step. C. Positions where it has been determined by a Department Head that regular and frequent bilingual usage is necessary to the performance of duties, but not a major, essential or integral element of the work, shall be designated as Secondary Bilingual Assignments. A qualified incumbent of such position shall be paid a monthly differential of forty dollars ($40) above his or her base monthly salary step for each full month of such assignment. D. The number of such Primary and/or Secondary Bilingual Assignments shall be no larger than the requirements of the department as determined by the Department Head and the City Manager. E. There shall be periodic recertification of such bilingual capability. F. All assignments to positions set forth in this Article shall be made or revoked at the discretion of the Department Head. G. If the City modifies the amount of bilingual pay for any other bargaining unit during the term of this MOU, CASA agrees to form a CONFIDENTIAL ASSOCIA1 ION OF SANTA ANA ICASAI MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 19 #I0865v2 55E-27 Joint Labor Management Team with the City to review bilingual pay provisions and assignments (see also Article XX1, Section 21.3). 6.4 Shift Differential. A. Generally. An employee in a classification represented by CASA who is continuously and regularly assigned to a schedule of work which requires that he or she actually work a minimum of four and one-half (4'/2) hours between the hours of 5:00 p.m. and 7:00 a.m., shall be paid a shift differential for his or her entire work shift at a rate set 5% higher than his or her then -current base monthly salary step. B. Standby Pay. Employees who are released from active duty but who are required by their department to leave notice where they can be reached and be available to return to active duty when required by the department at any time other than their regularly scheduled working hours, shall be said to be on standby duty. Effective no later than the first (1 st) day of the second (2nd) payroll period following City Council approval of this MOU, such employees shall receive two hundred dollars ($200) per week when assigned to be on standby duty. 6.5 Temporary Upgrade Assignment Pay. In order to provide an equitable method of compensating employees who are assigned temporarily to a vacant, full-time, budgeted, higher -level position the following shall apply: A. General Guidelines 1. Temporary Upgrade Assignments shall be limited to the temporary filling of vacant, full-time, budgeted positions due to the termination, promotion or authorized long-term absence of the incumbent. A temporarily vacant position need not be a position without an incumbent. 2. Each such assignment may be terminated at any time, but in no event shall such assignment continue beyond one hundred eighty (180) days of such assignment. 3. Prior to recommending to the City Manager that a pay differential for a Temporary Upgrade Assignment be granted, the Department Head shall make the following determinations: CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 20 #10865v2 55E-28 a. The duties and responsibilities of the position to be filled are of such nature that they cannot remain unassigned pending the return to duty of the absent incumbent or preparation of an eligible list, whichever is applicable. b. It is not practical to assign the duties of the vacant position to any other employee or employees in the same or higher classification. 4. The City Manager or his or her designee must give written approval of all Temporary Upgrade Assignments involving an increase in pay for the appointee. B. Eligibility. 1. Regular, full-time employees shall be eligible to receive Temporary Upgrade Assignment Pay if the work assumed encompasses the majority of the typical duties and responsibilities of the vacated higher -level position, and the employee meets the qualifications outlined in B.2, below. a. Employees in the following categories shall not be assigned to Temporary Upgrade work unless specifically authorized by the City Manager: i. Non -permanent employees (Probationary, Part- time, Seasonal, etc.). ii. Employees performing work above their regular classification in a training capacity. 2. To qualify for temporary upgrade assignment pay, employees must serve in an acting capacity in the higher -level classification as follows: o ten (10) consecutive working days of eight (8) hours each; or o eight (8) consecutive working days of ten (10) hours each for employees working an alternative work schedule; or CONFIDENTIAL ASSUCIAI IUN OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 21 #10865v2 55E-29 o any combination of consecutive working days consisting of nine (9) hours each and one (1) working day consisting of eight (8) hours, for a total of 80 hours of work for employees working the "9/80" work schedule. a. A permitted absence of two working (2) days or less during such ten (10) day period shall not be deemed to void such consecutive service; however, the days of absence shall not be counted in the computation of eligibility to qualify for the temporary upgrade assignment pay- b. In computing qualifying service rendered, only full days of actual duty shall be included, and partial days shall not be combined to make full days unless they are normally granted holiday hours. Normally granted holidays will be included in computing actual duty days. C. Employees must re -qualify for a Temporary Upgrade Assignment if the employee has not worked in this specific upgrade assignment for a period of eighteen (18) consecutive months or longer. The employee shall only be considered to work in a higher classification if such work is duly and specifically authorized by the employee's Department Head. 3. Whenever practicable, the appointing authority shall rotate Temporary Upgrade Assignments among all qualified employees. C. Payment. 1. On the next consecutive working day following the qualification period for temporary upgrade that an employee has been serving in a Temporary Upgrade Assignment, and for each additional consecutive working day the employee so serves, he or she shall receive the beginning rate (Step "AA") assigned to the higher classification or the lowest rate in that range which is at least 5% higher than the current base salary rate he or she normally receives (inclusive of lead pay and exclusive of any CO NFI DEN I ALASSOCIA I ION OF SAN I A ANA(CASA) MOU: JANUARY 1, 2019IH ROUGH JUNE 30,2022 Page 22 #10865v2 55E-30 other assignment or special pay additive or additives), whichever is greater, except when placement at "E" step shall not be sufficient to provide the 5% increase. During the term of this MOU, if an employee has worked in a higher classification for the required minimum number of consecutive work days to qualify for temporary upgrade assignment pay, the employee shall thereafter receive upgrade pay for each day the employee is assigned to work in the higher classification during the term of this MOU. 2. Assignment or special pay additives, such as bilingual pay, shift differential, special skills pay, etc., paid to an employee prior to becoming eligible forTemporary Upgrade Assignment Pay, shall not be considered in computing the amount of higher pay to which he or she is entitled in Subparagraph 6.5C above. If the special circumstances upon which the additive is based are also applicable to the Temporary Upgrade Assignment and the employee remains eligible for such pay while in the temporary upgrade position, this amount shall be added to the new salary rate range. 3. Temporary Upgrade Assignments which entail moving an employee into a classification represented by an employee unit other than that which represents his or her permanent classification shall not include any change in fringe benefits for the affected employee. 4. While working in a Temporary Upgrade Assignment, an employee shall continue to accrue, and have recorded, general, special or normal salary step increases in the employee's permanent position; however, such salary increases shall be paid only to maintain the minimum five percent (5%) differential above the salary to which an employee is entitled in his or her permanent position. 6.6 Confidential Premium - An employee who is routinely and consistently assigned to sensitive positions by a Department Head, involving labor negotiations which require trust and discretion, in accordance with Government Code section 3507.5, will be paid at a rate set 2.5% above his or her then current base monthly salary step. CONFIDENTIAL ASSOCIATION OF SAN FA ANA (CASA) MUU: JANUARY I, 2019 THROUGH JUNE 30, 2022 Page 23 #10865v2 55E-31 6.7 All assignments of personnel to positions set forth in Sections 6.1 through 6.6 above shall be made or revoked at the discretion of the Department Head. 6.8 Career Development Incentives. Employees hired in a classification which requires a specialized certificate as a prerequisite to hiring, either upon appointment or by the time of the employee's passage of probation ("regular appointment"), shall not be eligible for career incentive pay for that prerequisite certificate. However, they shall be eligible for career incentive pay for any other certificates approved for their classification. In no event shall the application of this Career Development Incentive provision result in an individual being eligible to earn more than 12.5% above his or her current monthly base salary step. CC* IDEN IIAL ASSOCIATION OF SANTA ANA (CASA) MOU; JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 24 #10865v2 55E-32 ARTICLE VII 7.0 OVERTIME 7.1 General Policy for Overtime Work. When it shall be determined to be in the public interest for employees to perform overtime work, or in an emergency situation, the City Manager, the Department Head, or a duly authorized representative of the City Manager or the Department Head, may require an employee to perform overtime work. 7.2 Definition. Overtime work for those on a 5/40 work schedule is defined as: A. That authorized or required time worked in excess of the normal workday, tour of duty, or workweek schedule for the particular classification and organizational unit of an employee. A workweek is a fixed and regularly recurring period of 168 consecutive hours - 7 consecutive 24-hour periods - as designated by the appointing authority. An employee's work schedule within the workweek shall not be changed to avoid payment of overtime; provided, however, nothing shall abridge management's right to establish and change work schedules and assignments in accordance with the rights of management contained in Article XVIII. B. Work on observed holidays or work on any regularly scheduled non - work day of which there shall be two (2) per week, if work on any regularly scheduled non -work day is worked at management's direction. 7.3 Computation of Forty (40) Hour Workweek. In computing the forty (40) hour workweek, the following type of work hours shall be included in the computation: actual work time, jury/witness leave, and bereavement leave. Any combination of these work hours in excess of eight (8) hours per day (except for employees on a 4/10 or the 9/80 work schedule) or forty (40) hours per week shall entitle the employee to overtime compensation. Paid time off for vacation leave, all unpaid leave, Association release time and compensatory time off shall not be credited towards the forty (40) hour workweek. No employee shall work overtime hours unless authorized by the department head or his/her designee. CONFIDENTIAL ASSOCIATION OF SANIA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 25 #10865v2 55E-33 7.4 All FLSA nonexempt employees working under the "9/80" work schedule shall earn overtime for all hours worked after the first forty (40) hours in a FLSA work week as required under FLSA. Should the City modify the manner bywhich if pays overtime (FLSA) to members of other miscellaneous bargaining units, CASA agrees to reopen this topic for discussion. 7.5 Compensation for Overtime. A. The preferable method by which overtime shall be compensated is by monetary payment, at one and one-half (1.5) times the employee's regular rate of pay, subject to the provisions of Subsection C below. B. Should the Department Head determine that the best interests of the City will be served thereby, he or his designee may permit an employee to be compensated for overtime work by taking paid compensatory time off in lieu of monetary compensation. C. Employees shall have the option with Department Head approval to convert a maximum of eighty (80) hours of time and one-half paid overtime (in compensation for 53 1/3 [fifty-three and one-third] overtime hours worked) to time and one-half compensatory time off benefits. Such compensatory time off shall be taken at the discretion of the employee when requested at least 72 hours in advance, provided it does not unduly disrupt the operations of the agency. If the Department Head or his or her designee subsequently denies the requested compensatory time off, the employee and department shall mutually agree on a future date within one year when the employee can use the paid compensatory time off. If the requested compensatory time off is not used within that one year, such compensatory overtime will be paid off in cash. D. The compensatory time bank for employees covered by this MOU has a maximum accrual limit of one hundred and sixty (160) hours. E. Because each hour of overtime worked is accrued on a time and one- half basis, compensatory time off shall be taken, and monetary payment shall be paid, on a straight -time basis. Also, upon termination, any earned, unused compensatory time off ("time -on -the - books") shall be paid on a straight -time basis. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 26 #10865v2 55E-34 F. Time off with pay to compensate for overtime worked maybe taken in increments as small as a half ('/2) hour. G. If compensatory time off is used in excess of that available, such excess compensatory time off shall first be deducted from any available vacation benefits, after which it shall finally be deducted from the next scheduled wage or salary payment. H. Time off with pay as compensation for overtime may not be granted or taken in advance of the overtime work for which the time off compensates. Before compensatory time off with pay may be taken, as herein provided, the overtime worked must have been recorded on official payroll records at or about the time the overtime work was performed. In the absence of such recording, no compensatory time off with pay will be permitted. Upon an employee's appointment to a position in which overtime may not be earned or upon an employee's separation from employment with the City by resignation, retirement, layoff or otherwise, he or she shall forthwith be compensated for any overtime accumulated to the time immediately preceding such promotion or separation. 7.6 No Effect on Other Benefits. Overtime work shall not apply to the earning of employee benefits (retirement, holidays, vacation accrual, sick leave accrual and employee insurance benefits), toward the completion of probationary period, or to progression within salary rate range. 7.7 Overtime Work to be Minimized. To the extent that he or she is reasonably able to do so, the Department Head or his or her designee shall arrange work programs to minimize overtime work. Necessary overtime work shall be apportioned among employees of like classification and assignment. 7.8 Call -Back Duty. Any employee covered by this MOU who is recalled to active duty from off -duty, shall be entitled to overtime pay at the rate of one and one-half (1 1/2) times the normal hourly pay rate for such employee for time actually worked after reporting to the place of duty, or three (3) hours pay at the normal rate of pay, whichever is greater. 7.9 Declaration of State of Emergency. Upon the occurrence of fire, flood, earthquake, strike, riot, or other catastrophe or emergency which directly affects city operations or the welfare of the City's citizens, the City Manager CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY I, 201 Y THROUGH JUNE 30, 2022 Page 27 #10865v2 55E-35 may declare a state of emergency to exist. Upon the declaration of a state of emergency, the City Manager may require any or all regular full-time employees of the City to work overtime or off -shift as he or she shall determine, to protect life and property within the City. 7.10 Applicability of Fair Labor Standards Act. The parties agree that if the applicability of the Fair Labor Standards Act to local governmental entities is eliminated by either legislative orludicial action, they shall meet and confer regarding any proposed changes to this MOU; however, no such changes shall be made except on mutual agreement. 7.11 Reopener. If, during the term of this MOU, the City modifies the manner in which it pays overtime (pursuant to the Fair Labor Standards Act), the City and CASA agree to reopen this provision of the MOU and commence discussions regarding the City's modifications to overtime payments. 7.12 Court Appearance. Compensation for court appearance by employees covered by this MOU shall be as follows: A. For each required court appearance made by an employee during his or her off -duty time in regard to City business, the employee shall be paid overtime for the period of time from their arrival at court until they are released from court or the court session closes for that day. However, in no case shall an employee receive less than two (2) hours overtime for a court appearance during his or her off -duty hours. If separate court appearances are made both in the morning and afternoon of a particular day, a minimum of two (2) hours overtime shall be allowed for each session attended. If the employee is not released from a morning session and must remain available for afternoon court, the employee shall be paid overtime for all hours the court is in session that day. The employee must provide a copy of the subpoena requiring his or her attendance to initiate payroll procedures. B. A subpoenaed employee scheduled to appear in court on City business during off -duty time may be placed on standby status by the Department Head or his or her authorized representative if the employee can respond to the court, if called, within 60 minutes of the employee's notification. In the event such off -duty employee is on standby status during any court session and is not required to appear CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 28 #10865v2 55E-36 in court, such employee shall be compensated two (2) hours on a straight time basis, for each court session. Such employee may elect, in lieu of paid time, two (2) hours of compensatory time off for standby time and not appearing in court, with the approval of the Department Head. If such off -duty employee on standby actually appears in court, he or she shall be compensated as provided in Subsection A. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 29 #10865v2 55E-37 ARTICLE VIII 8.0 TRAINING & EDUCATIONAL ASSISTANCE PROGRAM 8.1 Purpose. A. To encourage the employees of the City of Santa Ana to take college courses and special training courses which will better enable them to perform their present duties and prepare them for increased responsibilities. B. To provide financial assistance to eligible employees for education and training. C. To establish eligibility requirements, conditions and procedures whereby such assistance may be provided. 8.2 Eligibility. A. Applications for tuition reimbursement shall be considered only from full-time and designated PTCS, permanent City employees who have completed the probationary work test period. B. Reimbursement is not authorized for courses for which the employee is receiving financial assistance from other sources such as G.I. Bill, scholarships, etc. C. Applications shall be approved only for courses directly related to the employee's job or directly related to a promotional position in the employee's occupational specialty. D. Courses not ostensibly related to the employee's job, but which are required to qualify for a degree that is directly related to his or her job, may be reimbursable only after all required occupationally related courses have been completed. E. Prior to receiving tuition reimbursement, employees must submit documentary proof of having received a grade of not less than "C" for the course. If objective ratings are not rendered for a specific course, then a certificate of successful completion must be submitted. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 30 #10865v2 55E-38 F. Approval shall be limited to courses given by accredited colleges and universities, city colleges or adult education courses under the sponsorship of a Board of Education. Workshops, seminars, conferences and similar activities not identifiable as a formal course of instruction within the curriculum of a recognized educational institution, do not fall within the purview of this program but may be authorized and funded by the interested department without coordination with the Human Resources Department. G. When an employee is required by his or her Department Head to attend a particular course or seminar, the expense shall be borne entirely by the department. 8.3 Reimbursement. A. Reimbursement shall be based on the cost of tuition, required enrollment/registration fees, miscellaneous fees (health, parking, student union fees, etc.) and all required texts, eBooks and related material for each course. Additional expenses such as meals are not reimbursable. B. Costs for required texts are eligible for one hundred percent (100%) reimbursement subject to the following conditions: 1. A duplicate of the required text(s) and eBooks was unavailable for loan from the departmental libraries prior to the commencement of course work; or 2. Any textbook(s) purchased by the City shall be submitted to the employee's respective departmental library in order that such text(s) may be made available to all employees. C. Maximum tuition reimbursement is three thousand five hundred dollars ($3,500) per fiscal year, which the employee may claim either as costs are incurred during the year or as one lump sum. 8.4 Procedures. A. An employee who desires to seek tuition reimbursement under the provisions of this Article must complete, in duplicate, an Application for Training and Educational Assistance form and submit it to his or her CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 31 # 0865v2 55E-39 Department Head prior to the commencement of class(es) or the payment of fees for registration/tuition. B. The Department Head shall recommend approval or disapproval based on established criteria and budgetary constraints, and then shall forward the application to the Executive Director of Human Resources C. The Executive Director of Human Resources or his or her designee shall approve or disapprove the application for the City Manager. One copy shall be returned to the employee and the duplicate shall be retained by the Human Resources Department. It is advisable that the applicant accomplish the procedure so far described in order to ascertain the eligibility of the intended course of instruction for reimbursement under the provisions of this policy prior to the inception of the course or disbursement of personal funds. D. The employee shall submit his or hercopy of the approved application to the Human Resources Department within three (3) months after he or she has completed the course and received his or her final grade. Such employee must include official verification of his or her final grade with appropriate receipts for tuition and textbook costs. These shall be returned to the employee upon request. Applications not submitted to the Human Resources Department within three (3) months following completion of the course become void. E. Upon receipt of the application and required documentation, the Human Resources Department shall determine whether the completed course of instruction is compatible with the provisions of this Article and shall compute the amount of reimbursement, authenticate the application and forward it to the employee's Department Head. F. The Department Head shall then authorize the Finance & Management Services Department to reimburse the employee the approved amount out of the budget of the department concerned. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 32 #10865v2 55E-40 ARTICLE IX 9.0 HOLIDAYS 9.1 Legal holidays observed by full-time and designated PTCS permanent and probationary employees of the City of Santa Ana are as follows: o January 1 - New Year's Day. o Third (3rd) Monday in January - In observance of Martin Luther King, Jr.'s Birthday. o Third (3rd) Monday in February - In commemoration of President's Day. o Last Monday in May - In commemoration of Memorial Day. o July 4th - In observance of Independence Day. o First (1 S}) Monday in September - In observance of Labor Day. o November 1 1'h - In observance of Veterans' Day. o Fourth (4th) Thursday in November - In observance of Thanksgiving Day. o The Friday immediately following Thanksgiving Day. o Last working day before Christmas Day, unless Christmas Day falls on Thursday, in which instance, the day following Christmas Day shall be observed in lieu thereof. o December 25th - In observance of Christmas Day. o Two (2) Floating Holidays - Any workday selected by the employee with prior permission of the employee's supervisor. o Every day proclaimed by the Mayor of the City as a holiday for City employees. o Any holiday which falls on a Sunday shall be observed on the following Monday. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 33 #10865v2 55E-41 o Any holiday which falls on a Saturday shall be observed on the Friday preceding the holiday. 9.2 Holidays - Shift Personnel and Employees on Alternate Work Schedules. A. Full-time employees on a 5/40 schedule who's regularly scheduled days off are other than Saturday and Sunday shall be entitled to receive thirteen (13) eight -hour working days off during the year in lieu of the holiday benefits specified in Section 9.1 above. Employees on a 9/80 or 4/10 work schedule shall be entitled to thirteen (13) holidays. Holidays shall be paid in accordance with the hours scheduled for the day the holiday falls on. For employees on a 9/80 schedule: If a holiday falls on a regularly -scheduled nine (9) hour workday (Monday, Tuesday, Wednesday or Thursday), nine (9) hours of holiday time shall be paid. If a holiday falls on a regularly -scheduled eight (8) hour workday (Friday), eight (8) hours of holiday time shall be paid. If a holiday falls on an employee's regularly -scheduled day off work, the employee shall receive credit for nine (9) hours of holiday time to be used in accordance with Section 9.2 (B) or 9.6 below. For employees on a 4/10 schedule: If the holiday falls on a regularly -scheduled ten (10) hour workday, ten (10) hours of holiday time shall be paid. If a holiday falls on an employee's regularly -scheduled day off work, the employees shall receive credit for ten (10) hours of holiday time to be used in accordance with Section 9.2 (B) or 9.6 below. B. Substitute holidays may be scheduled by the Department Head or his or her designee, normally during the same month that the holiday is observed by other City employees. An employee entitled to time off in lieu of holidays shall receive that time off in proportion to his or her service at full pay in such capacity during the year. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY I, 2019 THROUGH JUNE 30, 2022 Page 34 #10865v2 55E-42 9.3 Modified Holiday Schedule- Employees Assigned to the Libras. Employees assigned to the Library shall, during the term offhis MOU, observe holidays on the dates specified in Section 9.1 above. 9.4 A newly appointed employee must actually work at least one (1) day preceding the day a holiday listed in Section 9.1 actually occurs in order to receive credit for such holiday during the month in which it occurs. An employee separating from the service of the City must actually work at least one (1) day following the day a holiday listed in Section 9.1 actually occurs in order to receive compensation for the holiday. A newly appointed employee must complete six (6) months of continuous full-time service or part-time civil service in order to receive credit for the Floating Holiday listed in Section 9.1 above. 9.5 Floating Holiday time off may be taken in half hour increments. 9.6 If a holiday falls on an employee's Friday off, the employee must then take their holiday time off on the day before or after the regular scheduled holiday with supervisor and Department Head approval. If the employee cannot take their holiday off before or after the regular scheduled holiday off, the employee shall bank the hours of his or her regular workday (nine or ten hours) as holiday leave to be used at a later date with the supervisor's approval. 9.7 Holiday benefits may not be carried over from one (1) calendar year to the next. 9.8 Mandatory Holiday Closure A. Effective upon adoption of this MOU, City Hall and all other City departments (with the exception of the Police Department, Santa Ana Zoo, and select employees in Fleet Services Division) shall be closed for a mandatory winter holiday closure each year during the term of this MOU. B. Sunset Clause for Mandatory Holiday Closure This provision shall expire on June 30, 2022 and no additional mandatory winter holiday closures may be implemented after the CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 35 #10865v2 55E-43 2021 winter holiday closure, unless mutually agreed to otherwise by the parties. C. Dates of Closures: 2019: The closure shall run from Tuesday, December 24, 2019 through Wednesday, January 1, 2020. The City shall re -open and employees report back to work as scheduled on Thursday, January 2, 2020. Employees shall observe the three (3) City paid holidays provided in Section 9.1 on: • Tuesday, December 24, 2019 (Last work day before Christmas Day) • Wednesday, December 25, 2019 (Christmas Day) • Wednesday, January 1, 2020 (New Year's Day) On each of the holiday closure days for 2019: (December 26, 30 and 31, 2019 as well as December 27, 2019 for those employees who, but for the holiday closure, would be scheduled to work that day as their working Friday, employees may use any of the following accrued leaves (if employees have such leaves): vacation, compensatory time off, or holiday leave. Employees may also choose to be off on any or all of these days on a leave without pay. 2. 2020: The closure shall run from Thursday, December 24, 2020 through Friday, January 1, 2021. The City shall re -open and employees report back to work as scheduled on Monday, January 4, 2021. Employees shall observe the three (3) City paid holidays provided in Section 9.1 on: Thursday, December 24, 2020 (Last work day before Christmas Day) • Friday, December 25, 2020 (Christmas Day). For employees CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 36 910865v2 55E-44 whose alternating regular day off is on December 18, 2020 who would otherwise be scheduled to work on December 25, 2020, the Christmas Holiday is on December 25, 2020. For employees whose alternating regular day on will be on December 18 who would otherwise be scheduled off on Friday December 25, they will receive nine (9) floating holiday hours for Christmas Day 2020 Friday, January 1, 2021 (New Year's Day). For employees whose alternating regular day on is on December 18, 2020 who would otherwise be scheduled to work on January 1, 2021, the New Year's Holiday is on January 1, 2021. For employees whose alternating regular day off will be on December 18, 2020 who would otherwise be scheduled off on Friday January 1, 2021, they will receive nine (9) floating holiday hours for New Year's Day 2020 On each of the holiday closure days for 2020, (December 28, 29, 30 and 31, 2020) employees may use any of the following accrued leaves (if employees have such leaves): vacation, compensatory time off, or holiday leave. Employees may also choose to be off on any or all of these days on a leave without pay. 3. 2021: The closure shall run from Friday, December 24, 2021 through Friday, December 31, 2021. The City shall re -open and employees report back to work as scheduled on Monday, January 3, 2022. Employees shall observe the three (3) City paid holidays provided in Section 9.1 on: • Friday, December 24, 2021 (Last work day before Christmas Day). For employees whose alternating regular day off is on December 17, 2021, who would otherwise be scheduled to work on December 24, 2021, the Christmas Eve Holiday is on December 24, 2021. For employees whose alternating regular day on will be on December 17 who would otherwise be scheduled off on Friday December 24, they will receive nine (9) floating holiday hours for Christmas Eve 2021 CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 37 #10865v2 55E-45 • Monday, December 27, 2021 (Christmas Day) • Thursday, December 31, 2021 (New Year's Day). For employees whose alternating regular day on is on December 17, 2020 who would otherwise be scheduled to work on December 31, 2021, the New Year's Holiday is on December 31, 2021. For employees whose alternating regular day off will be on December 17, 2020 who would otherwise be scheduled off on Friday December 31, 2021, they will receive nine (9) floating holiday hours for New Year's Day 2022. On each of the holiday closure days (December 28, 29, and 30 (employees may use any of the following accrued leaves (if employees have such leaves): vacation, compensatory time off, or holiday leave. Employees may also choose to be off on any or all of these days on a leave without pay. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THRCUGH JUNE 30, 2022 Page 38 #10865v2 55E-46 ARTICLE X 10.0 VACATION 10.1 Purpose. It is the policy of the City to grant employees vacation leave in order to provide them with a break in their regular work schedule and this purpose shall be used as a guide in the administration of the provisions of this Article. 10.2 Vacation Period. A. Effective January 1, 2016, the regular and longevity vacation accruals of bargaining unit members were combined into one single vacation bank. The accrual rates remained the same. Members shall accrue the combined vacation with pay on a monthly basis as set forth in the following table. Completed Years Annual Vacation Hours Accrued Monthly Accrual Rate 1 80 6.67 2 80 6.67 3 120 10.00 4 120 10.00 5 120 10.00 6 124 10.33 7 128 10.67 8 132 11.00 9 136 11.33 10 140 11.67 1 144 12.00 2 148 12.33 3 P11 152 12.67 4 156 13.00 5 160 13.33 16 168 14.00 17 176 14.67 18 184 15.33 CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 39 #10865v2 55E-47 19 1 192 16.00 20 or more 1 200 16.67 B. An employee who has completed less than one year's service during the calendar year shall receive a proportionate fraction in accordance with the amount of service to his or her credit during the year; provided, however, no employee shall be entitled to, or receive payment for, any vacation until he or she has completed six (6) months of continuous service. C. On or after the first (15+) day of the month following completion of six (6) months of continuous full-time service or part-time civil service, an employee may be allowed to take all or a proportionate fraction of his or her earned vacation, subject to scheduling approval of the employee's supervisor. D. Vacation time off may be taken in increments as small as one-half ('/2) hour, with fractional usage rounded upward to the next higher multiple of one-half ('/2). E. Computation of Vacation. In computing vacation, each municipal holiday that occurs during the vacation, and that falls on a day which the employee would have worked hod he or she not been on vacation, shall be deducted from the computation so that one (1) additional day of vacation shall be allowed to the employee unless departmental practice provides some other manner of compensating for municipal holidays. Should an employee be confined to a hospital for sickness or injury while on authorized vacation, each full day of such confinement, when confirmed by a physician's statement and approved by the Department Head, may be deducted from the computation of vacation expended and charged against the employee's accumulated sick leave. 2. No employee shall have a right to accumulate or split his or her vacations, but the same may be allowed or required by the Department Head. The time at which an employee shall take his or her vacation shall be determined by the Department CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY I, 2019 THROUGH JUNE 30, 2022 Page 40 #10865v2 55E-48 Head, with due regard for the wishes of the employee and particular regard for the needs of the service. 3. A period of earlier service does not apply toward vacation accumulation when an employee has had a break in continuous service, unless the break in service is concluded by reappointment, as provided in Section 9-1 14 of the Civil Service Rules and Regulations, or by reemployment from layoff within one (1) year. Leave of absence without pay, as provided in Article XI, Section 11.1 E (Sick Leave - Extended), Article XI, Section 11.8 (Authorized Absence Without Pay- Long Term) and Article XXI, Section 21.2 (Catastrophic Leave Donation) herein, does not constitute a break in continuous service as used in this section; however, the leave of absence period shall not be applied toward the accumulation of vacation. Absence on military leave followed by reinstatement, as provided in Section 9-143 of the Civil Service Rules and Regulations, does not constitute a break in service, and the period of absence on such military leave shall be applied toward the accumulation of vacation. F. Vacation Buy -Back. Employees covered by this agreement are eligible to require the City to buy-back up to eighty (80) hours of their banked vacation per calendar year. G. PTCS designated employees shall accrue vacation leave at a rate of 75% of the monthly provided rate of the Full -Time Civil Service equivalent as designated in this MOU. 10.3 Limitation on Vacation. A. With the exception of a retiring employee, no employee is granted, and no employee shall be allowed to take any vacation leave with pay in excess of fifty (50) working days (400 hours) in any one year. 10.4 Vacation Carry -Over A. No employee may carry over from one (1) calendar year to the next, more than the maximum vacation carryover as set forth in the following table. Any vacation not used beyond the maximum carryover amount from year to year is forfeited, meaning that no pay CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 41 #10865v2 55E-49 shall be received for such unused vacation at anytime. With respect to any vacation forfeited in this manner, this provision constitutes a waiver of any rights fo vested vacation benefits under California Labor Code section 227.3. B. In no way is the maximum vacation carryover for each calendar year as set forth in the fable below meant to be considered a cap on hours an employee can accrue throughout the calendar year. Completed Years Max Carryover into 2019 and for all years forward 1 80 2 160 3 200 4 240 5 240 6 244 7 252 8 260 9 268 10 276 11 284 12 292 13 300 14 308 15 316 16 328 17 344 18 360 19 376 20 392 21 400 22 400 23 400 24 400 25 400 CONFIDENTIAL ASSOCIATION OF SANTA MA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 42 #10865v2 55E-50 10.5 Excess Usage. If vacation time off is used in excess of that available, such excess vacation time off will, first, be deducted from any available compensatory time off accrual and if none, then from the next scheduled salary payment. 10.6 Effect of Extended Sick Leave on Vacation Accrual. Absence on sick leave for a period in excess of fifteen (15) consecutive calendar days shall not be considered as service time for vacation accrual purposes. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 43 #10865v2 55E-51 ARTICLE XI 11.0 OTHER LEAVES OF ABSENCE 11.1 Sick Leave. A. Definition. Except as otherwise provided below, sick leave shall be deemed to mean absence from duty of an employee because of illness, injury, medical, or dental appointment that prevents the employee from performing the duties of his or her position, and shall be deemed to include time in quarantine resulting from exposure to a contagious disease. B. Accrual. Each employee shall be entitled to, and shall earn, one (1), eight (8) hour working day of sick leave for each full calendar month of service in which he is employed by the City with full pay; provided, however, any absence on sick leave for a period of time greater than fifteen (15) consecutive calendar days in any one (1) calendar month shall not be considered to be service entitling an employee to earn sick leave as aforesaid. Subject to the other provisions in this Article, sick leave shall accrue to the credit of each employee to the extent that it is not used. PTCS designated employees shall accrue sick and personal necessity leave at a rate of 75% of the monthly provided rate of the Full -Time Civil Service equivalent as designated in this MOU. C. Authorized Only When Necessary. Use of sick leave by City employees shall be authorized as follows: 1. Sick leave is not a right which an employee may use at his or her discretion, but shall be allowed only in cases of necessity and actual sickness or disability, or as authorized in Subsection J below. 2. When an accepted industrial illness or injury has caused an employee's absence, for which benefits are required under the State Workers' Compensation Insurance and Safety Act, paid sick leave shall be allowed such employee during the first three (3) days of the statutory waiting period. If the workers' compensation related illness or injury continues past the initial CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 44 #10865Y2 55E-52 three (3) consecutive days, the employee shall have the three (3) used sick days recredited to his or her account if the employee remains off work longer than fourteen (14) days. Paid sick leave shall continue until the fourth (4th) day when the City pays the employee workers' compensation benefits for such illness or injury. If the employee does not have sufficient accumulated sick leave at the commencement of such industrial illness or injury, they shall be advanced sick leave for this purpose. Subsequently, the City shall deduct an equal amount previously advanced from any sick leave accrued by the employee until the total amount is recovered. If the employee terminates before recovery of all advanced sick leave, the City shall deduct the unrecovered cost of sick leave from such terminated employee's final paycheck, to the extent possible. The City may authorize employees to use sick leave, vacation, or compensatory time for approved workers' compensation medical appointments as specified herein. The City may authorize use of such leave for City approved medical appointments whenever such appointments cannot be secured outside the employee's regular workday, and salary continuation or workers' compensation benefits are not available. D. Limit. The maximum total accumulation of sick leave with pay shall be two hundred (200), eight (8) hour working days. Sick leave usage of less than a full day shall be charged in minimum increments of one- half ('/2) hour, with fractional usage rounded upward to the next higher multiple of one-half ('/2). E. Extended. The City Manager may grant leave up to six (6) months without pay to an employee who has exhausted all of his or her accrued sick leave if a licensed physician designated by the City Manager indicates that the employee shall be sufficiently recovered to return to his or her employment within a six (6) month period. Prior to the expiration of the additional time, the employee may return to his or her position provided that the employee has a certificate from a licensed physician stating that the employee is able to perform all the duties of his or her position without qualification. In addition to the CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 45 #10865v2 55E-53 above, the City Manager may grant a further extension not to exceed a total of one (1) year without pay. F. Extension by Use of Accrued Compensatory Time Off and/or Vacation. After an employee's sick leave has been exhausted, he or she may be granted permission to use, first, any unused compensatory time off benefits, then, any unused vacation leave benefits he or she may have accrued. G. Notice. The employee taking sick leave shall notify his or her immediate supervisor either prior to or within four (4) hours after the time he or she is scheduled to report for duty, or as otherwise established by departmental regulations. When the absence is more than three (3) consecutive working days, the employee must present to his or her Department Head a physician's certificate stating that, in the physician's opinion, the employee could not report to work because of such illness or injury and that the employee is sufficiently recovered to safely return to work. A physician's certificate or other satisfactory written evidence of actual illness or injury may be required after an absence of any duration less than three (3) days. H. Denial. No employee shall be entitled to sick leave with pay while absent from duty because of sickness or injury purposely self-inflicted or caused by willful misconduct; or, sickness or disability sustained while engaged in employment other than employment by the City, for monetary gain or other compensation, or by reason of engaging in business or activity for monetary gain or other compensation. Excess Usage. If sick leave is used in excess of that due and available an employee, such excess sick leave will, first, be deducted from any available compensatory time off benefit; second, from any available vacation leave benefit; finally, deducted from the next scheduled salary payment. J. Necessity Leave. Each employee shall be afforded the opportunity to use up to 48 hours of sick leave per calendar year, on a non- cumulative basis, as personal necessity leave. All of this personal necessity leave may be used to attend to an illness of a child, parent, or spouse of the employee. As used in this section, "child" means a CONIDEN ➢AL AS30CIA I I ON OF SAN I A ANA(CASA) MOU: JANUARY], 2019TH ROUGH JUNE 30, 2022 Page 46 #10865v2 55E-54 biological, foster, or adopted child, a stepchild, a legal ward, or a child of a person standing in loco parentis; "parent" means a biological, foster, adoptive parent, a stepparent, a person who stood in loco parentis when the employee was a minor child, or a legal guardian; and "immediate family" means any member of the employee's household related by blood or marriage, a parent, parent -in-law (including biological, adoptive, foster, stepparent, and legal guardian), spouse, registered domestic partner, child, brother, sister, grandparent, or grandchild of the employee, regardless of residence, or any other relative of the employee by blood or marriage, where it can be established by the employee that the employee's presence is required to handle emergency arrangements and/or other matters. Up to three (3) days of this personal necessity leave may be used: 1. To attend to a serious accident to members of the employee's immediate family; 2. For childbirth; 3. To cope with imminent danger to the employee's family, home, or other valuable property; 4. When the existence of external circumstances beyond the employee's control make it impossible for him or her to report for duty; or 5. To attend to medical or dental appointments for members of the employee's household. For the purposes of this section only, a "day" shall be defined as the number of hours of work that an employee is required to work according to his or her specific workday schedule. K. Payment for Unused Sick Leave. Except in cases of disability retirement, upon non -disciplinary termination of employment payment of all unused sick leave shall be deposited in the employee's individual Retirement Health Savings Plan Account (RHS) (Article 12.8 of this MOU). 2. After ten (10) years of cumulative full-time service with the City, each qualified employee shall be entitled to payment for one- third (1/3) of the total sick leave benefit credited to his or her CONFIDENTIAL ASSOCIAI ION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE W, 2022 Page 47 #10865v2 55E-55 account upon the effective date of such termination, not to exceed a maximum limit of 427 hours (53.3 eight -hour days), at the base rate of pay effective on the date of such termination. 3. Payment after 15 years. Affected employees who have completed fifteen (15) years of cumulative full-time service with the city shall be entitled to payment for one-half (1/2) of the total accrued unused sick leave benefit credited to his or her account upon the effective date of his or her termination, not to exceed a maximum limit of 800 hours, of the rate of base pay effective on the date of such termination. Payment after 20 years. Affected employees who have completed twenty (20) years of cumulative full-time service with the city shall be entitled to payment for two-thirds (2/3) of the total accrued unused sick leave benefit credited to his or her account upon the effective date of his or her termination, not to exceed a maximum limit of 1066 hours, at the rate of base pay effective on the date of such termination. 5. Payment after 25 years. Affected employees who have completed twenty-five (25) years of cumulative full-time service with the City shall be entitled to payment for three -fourths (3/4) of the total accrued un-used sick leave benefit credited to his or her account upon the effective date of his or her termination, not to exceed a maximum limit of 1,200 hours, at the rate of base pay effective on the date of termination. 6. CASA members who notify the City, in writing, of their intent to retire within 12 calendar months from the date of retirement shall be allowed to cash out any eligible sick leave bank balances (K.1 through K.5), upon request. Employees shall receive payment as soon as practical, and no longer than 30 days after the request has been made. If the employee cashes out his or her eligible sick leave bank balances prior to retirement and subsequently does not retire from the City, all future sick leave accrual for the employee shall be subject to the same cash out provision elected and will be processed on the final paycheck. All combined cash outs cannot exceed what the employee would have been entitled to if the cash out CONHDFNIIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 48 #10865v2 55E-56 was processed on the final paycheck only. 7. A lump sum payment shall be made to the beneficiaries of any eligible employee whose death occurs while such employee is an active employee of the City, such payment to be in the amount of one-third (1 /3) of the total sick leave benefit credited to the employee's account at the time of his or her death, and of the rate of pay effective on the date of death. L. California's Healthy Workplaces/Healthy Families Act of 2014 (AB1522) also known as California's Paid Sick Leave Law, required the City to provide paid sick leave to eligible employees upon oral or written request, within the parameters of the law, for the following purposes: • Diagnosis, care, or treatment of an existing health condition of, or preventative care for an employee or an employee's qualified family member; • Specified purposes for an employee who is a victim or domestic violence, sexual assault, or stalking. 11.2 Bereavement Leave. A. An employee covered under this MOU shall be granted up to three (3) working days leave without loss of pay in the case of a death of a member of the employee's immediate family. Such leave is designated as bereavement leave. "Immediate family" as used in this section is limited to: Any member of the employee's household related by blood or marriage; 2. A parent, parent -in-law, stepparent, spouse, child, brother, sister, stepbrother, stepsister, grandparent or grandchild of the employee, regardless of residence; 3. Any other relative of the employee by blood or by marriage where it can be established by the employee that as a result of such relative's death, the employee's presence is required to handle funeral arrangements and/or matters of estate. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOO: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 49 #10865v2 55E-57 B. Whenever an employee is required to travel one way more than 50C miles to attend to the death of a member of the employee's immediate family, an employee may use up to sixteen (16) hours of additional leave charged to their Personal Necessity Leave balance when authorized by the Department Head. 11.3 Military Leave. A. Proof of Orders and Reinstatements. An employee shall be granted military leave if he or she furnishes the Executive Director of Human Resources satisfactory proof of his or her order fo report for duty. Upon return and upon showing of proof of actual service pursuant to such orders, he or she shall be reinstated as provided in Section 143 of the Civil Service Rules and Regulations of the City of Santa Ana. B. Temporary. Members of the reserve forces of the United States, or the National Guard, granted temporary leave when ordered to duty, in accordance with the Military and Veterans Code, shall be granted leave with pay not to exceed thirty (30) calendar days in each calendar year after one (1) years' service with the City upon presenting satisfactory proof of orders to and from such temporary active duties. 11.4 Jury and Witness Leave. When an on -duty employee is called to serve as a juror or non-party witness in any court action, he or she shall be allowed to leave for the time actually required for such service without loss of pay. Each on -duty employee called for such service shall present to his or her Department Head for examination the subpoena calling him or her to such service and shall pay into the City Treasury the fees collected for such service, with the exception of reimbursement for transportation expenses, if any. 11.5 Examination Leave. Employees participating in examinations conducted during their normal working hours for positions in the competitive service of the City of Santa Ana shall be granted leave with pay for the time actually required without loss of any accrued vacation time off benefits. 11.6 Unauthorized Absence. Unauthorized absence from duty for any duration of time may be considered cause for dismissal. Unauthorized absence from duty for a consecutive number of working hours equal to the number of working hours in the employee's normal workweek (five (5) consecutive CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 50 #10865v2 55E-58 working days) may be deemed a resignation from City service; provided, however, if upon return to duty the person so absenting himself or herself makes an explanation satisfactory to the Department Head regarding the cause of his or her absence, the Department Head may restore him or her to his or her position, with the City Manager's approval. 11.7 Authorized Absence Without Pay - Short Term. Absence without pay not to exceed five (5) consecutive working days may be authorized by the employee's Department Head. Absence without pay not to exceed fifteen (15) calendar days may be authorized by the Department Head with the approval of the City Manager, Such an absence may be authorized only if in the judgment of the Department Head it serves the best interest of the City. 11.8 Authorized Absence Without Pay - Long Term. Upon receipt of a written request from an employee having permanent status, plus action by the Department Head recommending approval of the request, the City Manager may grant a leave of absence without pay for up to six (6) months. An employee returning to duty with the City shall inform the Department Head and the Executive Director of Human Resources of his or her intention at least thirty (30) calendar days prior to the expiration of the six (6) month period, or shorter period if the full six (6) months is not taken. Upon receipt of such notice, the Department Head shall take steps necessary to restore the employee to his or her former position. In addition to the above, the City Manager may grant a further extension not to exceed a total of one (1) year leave of absence without pay. 11.9 Industrial Leave. Any period of time during which an employee is required to be absent from his or her position by reason of an industrial injury or industrial illness for which he or she is entitled to receive compensation shall not be considered a break in continuous service for the purpose of his or her right to salary adjustments or to the accrual of vacation and seniority. 11.10 Pregnancy Disability Leave. A pregnant employee is entitled to a reasonable leave of absence without pay for any temporary disability resulting from pregnancy, miscarriage, childbirth or recovery therefrom. Such reasonable leave of absence shall not exceed four (4) months. However, an employee may be granted up to an additional two (2) months of leave, at the discretion of the City Manager, for a total of up to six (6) months in which to recover from the disability if substantiated by a physician's certificate. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 51 #'10865v2 55E-59 Employees may take an unpaid leave of absence during pregnancy disability consistent with the law. As with all other temporary disabilities, a physician's certificate is required to verify the extent and duration of the temporary disability. An employee who plans to take a pregnancy leave must give a reasonable notice (not less than four (4) weeks) before the date she shall take the leave and the estimated duration of the leave. Health and welfare insurance coverage shall be continued only if the employee pays a cash premium to continue coverage while on a leave of absence without pay or is covered under the Family Medical Leave Act (FMLA) or California Family Rights Act (CFRA) provisions. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY I, 2019 THROUGH JUNE 30, 2022 Page 52 # 0865v2 55E-60 ARTICLE XII 12.0 EMPLOYEE INSURANCE 12.1 Health Insurance. The City shall contribute the following amounts toward the payment of premiums for affected employees and their dependents under the existing health insurance programs or new program or programs providing substantially similaror improved coverage and benefits selected in accordance with procedures in effect on the effective date of this MOU: A. For each such employee who is covered under a spouse's non -City sponsored health plan, the City shall pay the employee a cash payment each month in an amount equal to 50% of the monthly premium amount for the City's lowest "employee -only" coverage, if the employee waives, in writing, City -paid coverage. If an employee waives City provided coverage, said employee shall provide proof of medical insurance coverage in a non -City -sponsored health plan. B. Beginning Jan 1, 2020: The City shall contribute an allowance towards the employee's health insurance premiums for eligible employees and their qualified dependents under The Public Employees' Medical & Hospital Care Act (PEMHCA) which governs the California Public Employees' Retirement System (CaIPERS) Health Insurance Programs pursuant to the provisions below: Effective January 1, 2020, the City will provide a monthly contribution to health insurance premiums at the following rates: • Employee Only $704.00 • Employee +l $1,357.00 • Employee + Family $1,750.00 2. Effective January 1, 2021, the City will provide a monthly contribution to health insurance premiums at the following rates: • Employee Only $754.00 • Employee +1 $1,407.00 • Employee+Family $1,800.00 CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 53 #10865v2 55E-61 3. Effective January 1, 2022, the City will provide a monthly contribution to health insurance premiums at the following rates: • Employee Only $804.00 • Employee +1 $1,457.00 • Employee + Family $1,850.00 C. Any contribution necessary to maintain benefits under City -sponsored medical plans in excess of the amount set forth above shall be borne entirely by the employee. D. The parties recognize that certain State and Federal laws, programs and regulations, including the Affordable Care Act, may impact future medical plan offerings. In the event that reform measures enacted during the term of this MOU alter healthcare options, cost or other elements of healthcare services, thereby materially altering the provisions of this MOU, the parties agree that upon the request of either party the parties shall re -open Section 12.1 hereof regarding medical insurance for the purpose of discussing alternative approaches and proposals to providing healthcare benefits hereunder. In addition, should State or Federal laws concerning the taxation of healthcare benefits change, the parties agree to meet and discuss the impact of such change. 12.2 Dental Insurance. A. The City agrees to contribute towards the premiums for dental insurance plans provided by the City for employees covered by this MOU and their eligible dependents on the following basis: Effective January 1, 2020, the City shall contribute an allowance towards the employee's Cafeteria Benefit plan for dental insurance premiums for eligible employees and their qualified dependents in the amount of one hundred dollars ($100) per month per employee. 2. Effective January 1, 2021, the City shall contribute an allowance towards the employee's Cafeteria Benefit plan for dental insurance premiums for eligible employees and their qualified CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 54 #10865v2 55E-62 dependents in the amount of one hundred five dollars ($105) per month per employee. 3. Effective January 1, 2022, the City shall contribute an allowance towards the employee's Cafeteria Benefit plan for dental insurance premiums for eligible employees and their qualified dependents in the amount of one hundred ten dollars ($110) per month per employee. B. Any contribution necessary to maintain benefits under said dental plans in excess of the amount of the City contribution to the cafeteria plan specified above shall be borne entirely by the employee. 12.3 Vision Plan. The City shall maintain in effect its existing vision plan, for employees covered by this MOU. All costs of the premium shall be paid by the employee. 12.4 Long -Term Disability (L.T.D.) Insurance. The City shall continue to pay one hundred percent (100%) of the premium cost for a 60-day elimination period with a maximum benefit of $5,000 per month for a long-term disability insurance plan for employees covered by this MOU. Effective January 1, 2020, the City shall pay one hundred percent (100%) of the premium cost for a 60-day elimination period with a maximum benefit of $7,500 per month for a long-term disability insurance plan for employees covered by this MOU. 12.5 Life Insurance. The City shall maintain in effect its existing life insurance plans covering employees covered by this MOU, including term life insurance coverage for each affected employee in the amount of twenty thousand dollars ($20,000) plus twenty thousand dollars ($20,000) Accidental Death and Dismemberment (AD&D) coverage at no cost to the employee. A. Effective January 1, 2020, the term life insurance coverage for each affected employee will increase to a maximum benefit amount of fifty thousand dollars ($50,000) plus fifty thousand dollars ($50,000) Accidental Death and Dismemberment (AD&D) coverage at no cost to the employee. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 55 #10865v2 55E-63 12.6 The City shall retain the right to change health, dental and life insurance carriers, administer the insurance benefits provided thereunder, and select and/or change any excess or supplemental insurance carriers as a part of any self-insurance plan during the term of this MOU, provided that employees covered by this MOU continue to receive equivalent benefits and provided that the parties have met and conferred before the benefits changes are made. 12.7 When there is a need to discuss matters relating to employee insurance and the City believes it would be beneficial to involve an Insurance Committee, CASA shall have an equal number of representatives as the City on such a committee, and the Committee shall meet as necessary. 12.8 Retirement Health Savings Plan. A. Effective October 1, 2014, employees covered under this MOU began participating in the "Vantage Care" Retirement Health Savings Plan (RHS), as earlier implemented by the City, which designated ICMA-RC as the administrator of the plan. At that time, employees covered under this MOU received a one-time increase of 1.25% in their base pay, which amount was deposited into their individual RHS accounts each pay period going forward. B. Employees covered under this MOU shall continue to contribute 1.25% of their base pay each pay period to the RHS plan, which amount shall be deposited into the employee's individual RHS account. 12.9 PTCS employees that are covered under this article will receive the same benefits as the Full -Time employees covered under this MOU. City contributions to those benefits are 75%of the value provided to the Full -Time Civil Service designated employees. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 56 #10865v2 55E-64 ARTICLE XIII 13.0 RETIREMENT 13.1 General. The terms of the existing contract between the City and the California Public Employees' Retirement System (CaIPERS) governing the City retirement benefits for affected employees are incorporated by reference herein. The City shall continue to make contributions to CaIPERS in accordance with its contract with CaIPERS for affected employees covered by such contract as amended. 13.2 Deferred Retirement. The City shall continue to make payment to CaIPERS on behalf of each affected employee, as defined in Sections 13.3.A and 13.13 (below), in an amount necessary to pay one hundred percent (100%) of his or her individual retirement contribution which is equal to eight percent (8%) of base salary. Such payments shall be credited to the individual employee's CaIPERS account. Such payments are not increases in base salary and no salary rate range applicable to any of the employees covered by this MOU shall be changed or deemed to have been changed by reason thereof. As a result, the City shall not treat these payments as ordinary income and, thus shall not withhold Federal or State income tax from these payments. The City has received an opinion or ruling from the Internal Revenue Service confirming that these payments are deferred compensation, and not ordinary income. In the event that the City receives a ruling from the Internal Revenue Service that such payments are ordinary income of the employees instead of deferred compensation, the City's obligation to make such payments shall discontinue and in place thereof the base salary of each employee shall forthwith be increased by 8%. For the purpose of reporting an employee's compensation to CaIPERS, the City shall include these payments as if they were a part of the employee's base salary. 13.3 2.7% at 55 Service Retirement Benefit for Miscellaneous Members. A. The City agrees to continue to provide Miscellaneous employees covered by this MOU who were appointed to their classification on or before December 31, 2012 with the 2.7% at 55 Service Retirement CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU; JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 57 #10865v2 55E-65 benefit. Pursuant to CalPERS regulations, this formula shall apply only to the aforementioned CASA employees that are in an active status. This formula shall apply to each year of eligible service credited with the City of Santa Ana. B. The City agrees to provide Miscellaneous employees covered by this MOU who are appointed to their classification on or after January 1, 2013 and are not new members as defined by the California Public Employees' Pension Reform Act of 2013 (AB340), with the 2.7% at 55 Service Retirement benefit. Pursuant to CalPERS, this formula shall apply only to the aforementioned CASA employees that are in an active status. This formula shall apply to each year of eligible service credited with the City of Santa Ana. C. Payment toward the 2.7% at 55 Service Retirement Benefit. Employees defined in Section 13.3.A (above) covered by this MOU contribute 8% of their salary to the employer's share of the cost of the 2.7% at 55 enhanced retirement formula. All employee contributions to the employer's cost of the CalPERS retirement benefits shall be implemented as cost -sharing pursuant to Government Code Section 20516(f). To the extent permitted by CaIPERS and the Internal Revenue Service, this 8% contribution shall be implemented through payroll deductions on a pre-tax basis. Employees defined in Section 13.3.B (above) shall contribute 8% of their salary toward the employer contribution of the 2.7% at 55 retirement benefit. All employee contributions to CalPERS for their retirement benefits shall be implemented as cost -sharing pursuant to Government Code Section 20516(f). Pre -Taxable Benefit. To the extent permitted by COWERS and Internal Revenue Service regulations, the City shall make the above employee deductions pre-tax contributions. 13.4 2.0% at 62 Service Retirement Benefit for Miscellaneous Members. A. The City agrees to provide Miscellaneous employees covered by this MOU who were appointed to their classification on or after January 1, 2013, and who are defined as new members under the California CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 201Y THROUGH JUNE 30, 2022 Page 58 #10865v2 55E-66 Public Employees' Pension Reform Act of 2013 (AB340), with the 2.0% at 62 Service Retirement benefit. Pursuant to CalPERS regulations, this formula shall apply only to the aforementioned CASA employees that are in an active status. This formula shall apply to each year of eligible service credited with the City of Santa Ana. B. Payment towards the 2.0% at 62 Service Retirement Benefit. Employees defined in 13.4.A (above) covered by this MOU shall contribute at least 50% of normal cost of the 2.0% at 62 retirement benefit. Pre -Taxable Benefit. To the extent permitted by CalPERS and Internal Revenue Service regulations, the City shall make the above employee deductions pre-tax contributions. 13.5 Credit for Unused Sick Leave. An employee covered by this MOU shall be permitted to have unused accumulated sick leave at the time of retirement converted to additional service credit at the rate of 0.004 years of service credit for each eight -hour day of unused sick leave (i.e., 200 days of sick leave equals .80 additional year of service credit). The City must report only those days of unused sick leave that were accrued by the employee during the normal course of employment. This section applies to members whose effective date of retirement is within four (4) months of separation from employment. 13.6 Military Service Credit as Public Service. An employee covered by this MOU shall be permitted to purchase up to four (4) years of service credit for any continuous active military or merchant marine service prior to employment. The employee must contribute an amount equal to the contribution for current and prior service that the employee and the employer would have made with respect to that period of service. 13.7 Deferred Compensation. A. Background. Prior to July 1, 1991, the City authorized an amount equal to one percent (1.0%) of base pay for a deferred compensation benefit for full time "confidential" employees. This benefit was treated separately from salary, and was not included in the City's salary and wage schedule. Effective July 1, 1991, to comply with CalPERS wage reporting requirements, this benefit was added to the pay rate CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 59 #10865v2 55E-67 assigned to each "confidential" classification and reported as "salary" to CalPERS. Thereafter, pay levels for "confidential" classifications included this additional one percent (l%) deferred compensation benefit. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 60 #10865v2 55E-68 ARTICLE XIV 14.0 SAFETY 14.1 General. The City and the employees of the City agree to comply with all applicable Federal, State and local laws, and the City of Santa Ana regulations, which relate to health and safety. 14.2 Central Safety Committee. CASA may designate two (2) representatives and two (2) alternates to serve on the City's Central Safety Committee. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 61 #10865v2 55E-69 ARTICLE XV 15.0 GRIEVANCE REVIEW PROCEDURE 15.1 Definition of a Grievance. A grievance shall be defined as a timely complaint by an employee or group of employees or CASA concerning the interpretation or application of specific provisions of this MOU, or of the rules and regulations governing personnel practices or working conditions of the City, except, however, those matters specifically assigned to the jurisdiction of the City Personnel Board by those provisions of the City Charter and the Civil Service Rules and Regulations. 15.2 Informal Process - First Step A. An employee and/or his or her designated representative must first attempt to resolve the grievance on an informal basis through discussion with his or her immediate supervisor without undue delay, but in no case, beyond a period of fifteen (15) business days after the occurrence of the alleged incident giving rise to the grievance, or when the grievant knew or should have reasonably become aware of the facts giving rise to the grievance. B. Every effort shall be made to find an acceptable solution to the grievance through this informal means at the most immediate level of supervision. C. In order that this informal procedure maybe responsive, both parties involved shall expedite this process. If, within fifteen (15) business days, a mutually acceptable solution has not been reached at the informal level, the employee and/or the employee's designated representative shall then set forth the grievance in writing, indicate the nature of the action desired, sign it, and submit it in duplicate to the employee's Department Head. If the Department Head is the immediate supervisor, the employee may proceed directly to the City Manager or his or her designee. At this point, the grievance review process becomes formal. Should the grievant fail to file a written grievance, and in the manner specified above, within fifteen (15) business days after first discussing the grievance with the employee's immediate supervisor, the grievance shall be barred and waived. CDNFIDEMIAL ASSOCIATION OF SANTA ANA (CASA( MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 62 #10865v2 55E-70 D. Any resolution of the grievance at the informal stage by any person other than a middle manager or above shall not become precedent or be used to establish past practice regarding implementation, interpretation, or application of this MOU. 15.3 Formal Process. A. Second Step. The Department Head or his or her designated representative shall meet with the employee and/or the employee's designated representative within fifteen (15) business days after the grievance has been submitted to the Department Head. The Department Head, or his or her designated representative, shall review the grievance and may affirm, reverse or modify the disposition made at the First Step and shall deliver his or her answer to the employee and/or the employee's designated representative within ten (10) business days after this meeting. B. Third Step. If the grievance is not satisfactorily resolved at the Second Step, the employee and/or the employee's representative may submit the grievance in writing to the City Manager or his or her designated representative within thirty (30) days of being informed of the disposition made at the Second Step. Failure of the grievant and/or his or her designated representative to take this action shall constitute a waiver and bar to the grievance, and the grievance shall be considered settled on the basis of the disposition made at the Second Step. The City Manager or his or her designated representative shall meet with the employee and/or the employee's designated representative within fifteen (15) business days after submission of the grievance. The City Manager, or his or her designated representative, after careful review, may affirm, reverse, or modify the disposition made at the Second Step and his or her decision, which shall be final and binding, shall be delivered in writing, to the employee and/or the employee's designated representative within fifteen (15) business days after this meeting. A copy of the written grievance to the City Manager, or his or her duly authorized representative, and of the City Manager's or his or her representative's written decision, shall be filed in the personnel records CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA( MOU; JANUARY 1, 2019 THROUGH JUNF 30, 2022 Page 63 #10865v2 55E-71 of the department and maintained in the City Human Resources Department. 15.4 Reservation of Rights. After the procedure set forth in this Article has been exhausted, the grievant, CASA, and the City shall have all rights and remedies to pursue the grievance under the law. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 64 #10865v2 55E-72 ARTICLE XVI 16.0 ASSOCIATION RIGHTS 16.1 Release Time for Association Representatives. CASA shall have the right to appoint/elect a reasonable number of representatives who are recognized by the City as officers or work site leaders/stewards. A. Such reasonable number of work site leaders/stewards recognized by the City shall be limited to six (6). B. The City's Executive Director of Human Resources shall be provided with a list of names and classification titles of CASA's officers as set forth in Exhibit B of the Confidential Association of Santa Ana City MOIL, as well as the names and classification titles of all work site leaders/stewards and other Association representatives. The Association agrees to inform the City in writing of any changes in this list within ten (10) calendar days. C. During the term of this MOU, the City agrees to allow reasonable time off without loss of compensation to enable the officers and worksite leaders/stewards to assist other CASA unit employees in processing grievances under the Grievance Review Procedure and other CASA business activities; provided, however, that such officers and worksite leaders/stewards shall make advance arrangement with their supervisors prior to absenting themselves forsuch purpose. The officers and worksite leaders/stewards shall be required by the City to record and report to their supervisors the work time spent in assisting other bargaining unit employees pursuant to this provision of the MOIL. Time spent by the Association President, officers or worksite leaders/stewards on Association Release time, under this MOU, shall not be considered time worked for computation of overtime according to the Fair Labor Standards Act. 16.2 Worksite Access. A. Officers, worksite leaders/stewards and/or Association representatives shall be permitted to visit break and lunch areas designated by the City, before or after work or during designated lunch periods, for the CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 65 #10865v2 55E-73 purpose of discussing Association business, provided that arrangements are made in advance with the manager responsible for the worksite. B. Such visits shall not disrupt the work of City employees, interfere with the normal operations of the department or with established safety and security requirements. Where any such problems arise, CASA and the City will agree on an alternate meeting/conference facility for the purpose of providing a place for CASA to hold a meeting before or after work or during lunch periods. If the City facility provided CASA as an alternate meeting site during non -working hours is a public meeting room, its scheduling and use shall be governed in accordance with regulations pertaining to the use of public meeting rooms at City facilities. C. Solicitations of membership and all activities concerned with the internal management of CASA, such as collecting dues, holding membership meetings, preparation of petitions, campaigning for office, conducting elections and distributing literature, shall not be conducted during working hours. D. Officers and employees may perform those duties assigned to them by CASA, but in no event shall they have the right to interfere with the performance of work of any other employee or interfere with City operations or to call a strike, slowdown, work stoppage, sympathy strike or take any economic action against the City. 16.3 Release Time for Employee Representatives. A. In the event that CASA is formally meeting and conferring with representatives of the City on matters within the scope of representation during regular City business hours, a reasonable number of officers, employee representatives or other officials of CASA shall be allowed reasonable time off without loss of compensation or other benefits. B. Such officers and employee representatives shall not leave their duty or work station or assignment without the prior knowledge of their supervisor or such supervisor's supervisor. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 66 #10865v2 55E-74 C. Such meetings are subject to scheduling in a manner consistent with City operating needs and work schedules. 16.4 Use of Bulletin Boards. Space shall be made available to CASA on the City's existing employee bulletin boards for the purpose of posting notices pertaining to Association business, subject to the following conditions: A. Material posted by CASA shall not include campaign material on municipal election matters, including elections for City Council, other City positions, or other municipal political matters. B. Material posted is not derogatory to the City, City employees or other employee organizations. C. All materials are dated, identify CASA and bear the signature of the authorized representative(s) of CASA responsible for their issuance. D. The City reserves the right to determine what reasonable portion of employee bulletin boards are to be allocated to Association materials. E. If CASA does not abide by these provisions; it will forfeit its right to have materials posted on the City's employee bulletin boards. F. CASA shall not be permitted to post any material that is prohibited by State law or the City Charter. 16.5 Use of City Facilities. The City shall allow CASA to conduct meetings in the City's public meeting rooms during non -working hours provided such meetings are scheduled in accordance with regulations governing the use of public meeting rooms at City facilities; provided, however, CASA shall not be permitted to use City facilities to discuss or present any matter that is prohibited by State law or the City Charter. CONFIDENTIAL ASSOCIATION OF SANTA AN.A (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 67 #10865v2 55E-75 ARTICLE XVII 17.0 DUES DEDUCTION & INDEMNIFICATION 17.1 Dues Deduction. Upon ratification and approval of dues collection by Association membership, the City shall deduct dues, on a regular basis, from the pay of all employees recognized to be represented by CASA, who voluntarily authorize such deduction, in writing, on a form to be provided for this purpose by the City. The City shall remit such funds to CASA within thirty (30) calendar days following their deduction. Provisions for such dues deduction shall be included in future MOUs should CASA members elect to authorize the deduction. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 68 #10865v2 55E-76 ARTICLE XVIII 18.0 CITY RIGHTS 18.1 The City reserves, retains, and is vested with, solely and exclusively, all rights of management which have not been expressly abridged by specific provision of this MOU or by law to manage the City, as such rights existed prior to the execution of this MOU. The sole and exclusive rights of Management, as they are not abridged by this MOU or by law, shall include but not be limited to the following rights: A. To manage the City generally and to determine the issues of policy. B. To determine the existence or nonexistence of facts which are the basis of the Management decision. C. To determine the necessity of organization of any service or activity conducted by the City and expand or diminish services. D. To determine the nature, manner, means, and technology, and extent of services to be provided to the public. E. To determine methods of financing. F. To determine types of equipment or technology to be used. G. To determine and/or change the facilities, methods, technology, means, and size of the workforce by which the City operations are to be conducted. H. To determine and change the number of locations, relocations, and types of operations, processes, and materials to be used in carrying out all City functions, including but not limited to the right to contract for or subcontract any work or operation of the City. To assign work to and schedule employees in accordance with requirements as determined by the City, and to establish and change work schedules and assignments. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 69 410865v2 55E-77 J. To relieve employees from duties for lack of work or similar non - disciplinary reason, subject to the provisions of the City Charter, Municipal Code, Federal and State law and this MOU. K. To establish and modify productivity and performance programs and standards. L. To discharge, suspend, demote, or otherwise discipline employees for proper cause in accordance with the provisions set forth in the City Charter and Santa Ana Municipal Code. M. To determine job classifications and to reclassify employees. N. To hire, transfer, promote and demote employees for non -disciplinary reasons in accordance with this MOU. O. To determine policies, procedures, and standards for selection, training and promotion of employees. P. To establish employee performance standards including but not limited to quality and quantity standards and to require compliance therewith. Q. To maintain order and efficiency in its facilities and operations. R. To establish and promulgate and/or modify rules and regulations to maintain order and safety in the City which are not in contravention with this MOU. S. To take any and all necessary action to carry out the mission of the City in emergencies. 18.2 Except in emergencies, or where the City is required to make changes in its operations because of the requirements of law, whenever the contemplated exercise of Management's rights shall impact on a significant number of employees of the bargaining unit, the City agrees to meet and confer in good faith with representatives of CASA regarding the impact of the contemplated exercise of such rights prior to exercising such rights, unless the matter of the exercise of such rights is provided for in this MOU. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 70 #10865v2 55E-78 ARTICLE XIX 19.0 STRIKES & WORK STOPPAGES 19.1 Prohibited Conduct. A. Any employee of the City covered by this MOU who engages in any strike, sickout, or other partial or total stoppage of work shall be subject to suspension, demotion or dismissal by the appointing authority without right of appeal to the Personnel Board in accordance with City Charter Section 1014. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 71 #10865v2 55E-79 ARTICLE XX 20.0 LAYOFFS 20.1 It is the hope of the City not to separate any employee(s) from employment because of a reduction in the work force or work week during the term of this MOU. However, circumstances arising during this MOU may require such separation(s). In that event, the City shall notify CASA in writing of the layoff at least 30 days prior to the occurrence of the layoff of the employee and, if requested by CASA, schedule a meeting to discuss the some. Only the written notice is required to occur 30 days before the proposed layoff. This provision in not intended to be a waiver of any other rights the parties may have under this MOU. 20.2 If it is decided to contract out work currently being performed by employees of this bargaining unit and it is projected that no employee covered by this MOU is to be laid off, receive a reduction in hours worked, or receive a loss in pay due to such contracting out, the City shall provide CASA reasonable notice of the decision to contract out, shall meet with CASA upon CASA's request over the impact of the decision to contract out and shall consider reasonable alternatives provided by CASA. 20.3 If the City determines to contemporaneously replace employees covered by this MOU with contract workers to perform the same work under similar circumstances, it shall expeditiously notify CASA of its intentions. Upon request by CASA, the City shall schedule meetings with CASA leadership to discuss this objective and give CASA the opportunity to present information before any final decision. The City and Association leadership agree to commence meeting when practicable for a period not to exceed forty-five days, unless mutually agreed to meet longer. At the end of the agreed upon time and if the parties have not achieved satisfactory resolution, the issues shall be resolved according to the City's Employer -Employee Relations Resolution (Resolution No. 81-75 - Exhibit B of this MOU). 20.4 Notwithstanding Section 20.2 and/or Section 20.3 hereof, if any bargaining unit member is laid off as a result of a decision by the City to contract out work, the City shall make a reasonable effort to cause the affected employee(s) to become employed by the company or entitywith which the City contracted for the applicable services. CONFIDENTIAL ASSOCIATION OF SANTA AN.A (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE W, 2022 Page 72 #10S65v2 55E-80 20.5 The principles of seniority (length of service) shall govern layoffs as described herein, except in the event that more than one employee has the same seniority date, in which case performance also shall be considered. The City's determination of performance shall not be arbitrary or capricious in nature. Any dispute over the application of the principles outlined in this Article XX shall be subject to the grievance procedure. A. Classification seniority is defined as length of service in the classification, and shall begin on the first date worked by the employee in that classification. Whenever a position within a classification is to be eliminated, resulting in the layoff of an employee, seniority shall govern the order of layoff. The employee with the lowest seniority in the affected classification shall be laid off first. B. In lieu of layoff, an employee may elect to work in a lower classification, in which he or she has served, providing that a vacancy exists and the classification is within the some job family/career ladder. In that event, the employee's length of service in the next lower classification shall be added to his or her length of service in the affected classification, and the combined seniority shall be used to bump down into the next lower classification. This method of combining seniority shall be applied to subsequent lower classifications. C. The reemployment list shall be valid for one year from the date of its establishment. Reemployment shall be in reverse order of layoffs. The Joint Labor Management Team as outlined in Article XXI shall determine Job Family/Career Ladder for purposes of layoff. See Article XXI, Section 21.3, Joint Labor Management Teams. 20.6 A bargaining unit employee who is laid off from full time City employment pursuant to this Article, may be granted a temporary appointment to a vacant position in any classification for which there is no eligible list and for which the employee meets the minimum qualifications established for the classification and possesses the requisite knowledge, skills and abilities to satisfactorily perform the work of the classification. Such temporary appointment shall be terminated upon the establishment of a new eligible list for the classification or on the one hundred eightieth (180th) day following the initial day of such temporary appointment, whichever occurs first. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 73 #10865v2 55E-81 ARTICLE XXI 21.0 MISCELLANEOUS PROVISIONS 21.1 The City agrees to distribute Association membership pamphlets to bargaining unit employees at the new employee orientation sessions conducted by the City. 21.2 Catastrophic Leave Donation. In order to assist employees otherwise granted leave of absence without pay by the City Manager because of a catastrophic, non -industrial medical condition or injury, the City and Association agree to implement a Catastrophic Leave Donation Program. Nothing herein shall be construed to alter City policies and procedures as provided in the Charter or ordinances of the City of Santa Ana or other provisions of this MOU with regard to granting unpaid leaves of absence. The Catastrophic Leave benefit will be provided for non -industrial injury or sickness only. The leave shall cover the uncompensated time prior to the employee's becoming eligible for Long Term Disability (L.T.D.) benefits. Any remaining Catastrophic Leave benefit will be used to supplement L.T.D. benefit payments to ensure an employee continues to receive his or her full salary continuation between both benefits. A. Guidelines. It shall be understood that all donations under this procedure are voluntary and subject to taxation for the recipient. Employees may donate vacation or compensatory time or one in lieu holiday to the eligible employee. In no event shall sick leave be donated. 2. Employees shall be provided a two -week period to submit donations. Donations received after this two -week period shall not be processed. The two -week period for each case shall be designated by the Department Head or his or her designee as provided herein below. 3. All donations must be made in two (2) hour increments and a maximum of eight (8) hours per donor, except in lieu holidays must be for eight (8) hours. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 74 #10865v2 55E-82 4. Any authorization of donations not made in accordance with the procedures outlined in Section C, Subparagraph 2 below, will not be processed. 5. All donations shall be irrevocable. 6. In the event the recipient returns to work before leave donations have been exhausted, any balance on the books shall be accrued by the recipient and designated as sick leave and may be used pursuant to Article XI, Section 11.1. B. Eligibility. Regular, full-time employees shall be eligible for Catastrophic Leave Donations if the following criteria are met: When it is reasonably foreseeable that all accrued time on the books, such as sick leave, compensatory time and vacation, will be exhausted and the employee's illness will continue past the time when the employee will be on paid status. 2. The employee's Department Head, or his or her designee, has approved a written request for donations accompanied by a medical statement from the employee's attending physician. The attending physician's statement must verify the employee's need for an extended medical leave and an estimate of the time the employee will be unable to work. C. Procedure. Upon receipt of a valid request for donations from an eligible employee, the Department Head or his or her designee shall post a notice of the eligible employee's need for donations on bulletin boards accessible to employees. No confidential medical information shall be included in the posted notice. 2. Employees wishing to donate time to an eligible employee must sign his or her authorization of the transfer of such donated time and provide: CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY I, 2019 THROUGH JUNE W, 2022 Page 75 #10865v2 55E-83 a. His or her name, department name, and employee number; b. The number of hours of compensatory or vacation time of the donation within the limitations of Section A, subparagraph 3 above; C. The name, department and employee number of the recipient; and d. A statement indicating that the donor understands such donation of time is irrevocable. 3. At the close of the donation period, the department shall verify that each donating employee has accrued vacation and/or compensatory time balances sufficient to cover the designated donation. 4. The department shall submit all approved donation authorizations for an eligible employee at one time for processing. No donation authorizations for the eligible employee will be processed after this period. However, employees who receive donations under this procedure and who exhaust all donated hours may request an additional donation period subject to the provisions of Section A, herein. 5. The City shall add the donated time to the recipient's sick leave account. 21.3 Joint Labor Management Teams. The City and CASA agree to form Joint Labor Management Teams for the purpose of exploring issues of mutual concern. Each team shall be comprised of an equal number of labor and management employees and shall be chaired by the Executive Director of Human Resources, or his or her designee. In no case shall the activity of a team create a delay or hindrance to the ongoing operation of the City. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 76 #10865v2 55E-84 ARTICLE XXII 22.0 SOLE & ENTIRE AGREEMENT 22.1 It is understood and agreed that the parties to this MOU are subject to all current and future applicable Federal and California laws, the City of Santa Ana Charter and Municipal Code, as well as the City's Employer -Employee Relations Resolution number 81-75 (Exhibit C). It is the intent of the parties hereto that the provisions of this MOU shall supersede all prior agreements and memoranda of agreement, or memoranda of understanding, or contrary salary and/or personnel rules and regulations or administrative codes, provisions of the City, oral or written, express or implied between the parties, and shall govern the entire relationship and shall be the sole source of any and all rights which may be asserted hereunder. This MOU is not intended to conflict with Federal or State law or the City Charter. The City shall provide employees covered by this MOU a copy of this MOU and its attachments, including a section containing the Employer -Employee Relations Resolution of the City of Santa Ana. 22.2 Notwithstanding the foregoing, there exists within the City personnel rules and regulations and departmental rules and regulations. These rules and regulations shall be continued to the extent they do not contravene specific provisions of this MOU. Such rules and regulations may, from time to time, be changed by the City. If these changes affect wages, hours, and/or other terms and conditions of employment, the City shall meet and confer with CASA; provided, further, however, no provision of the rules and regulations shall be changed to contravene specific provisions of this MOU. CONFIDENTIAL ASSOCIATION OF SANIA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 77 #10865v2 55E-85 ARTICLE XXIII 23.0 WAIVER OF BARGAINING DURING THE TERM OF THIS MOU 23.1 During the term of this MOU, the parties mutually agree that they will not seek to negotiate or bargain with regard to wages, hours and terms and conditions of employment, whether or not covered by the MOU or in the negotiations leading thereto, and irrespective of whether or not such matters were discussed or were even within the contemplation of the parties hereto during the negotiations leading to this MOU. Regardless of the waiver contained in this Article, the parties may, however, by mutual agreement, in writing, agree to meet and confer about any matter during the term of this MOU. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 78 #10865v2 55E-86 ARTICLE XXIV 24.0 EMERGENCY WAIVER PROVISION 24.1 In the event of circumstances beyond the control of the City, such as acts of God, fire, flood, insurrection, civil disorder, national emergency, or similar circumstances, provisions of this MOU or the Personnel Rules or Resolutions of the City, which restrict the City's ability to respond to these emergencies, shall be suspended for the duration of such emergency. After the emergency is declared over, this MOU will be reinstated immediately. CASA shall have the right to meet and conferwith the City regarding the impact on employees of the suspension of the provisions in the MOU during the course of the emergency. CONFIDENTIAL ASSOCIATION OF SANIA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 79 #10865v2 55E-87 ARTICLE XXV 25.0 SEPARABILITY PROVISION 25.1 Should any provision of this MOU be found to be inoperative, void, or invalid by a court of competent jurisdiction, all other provisions of this MOU shall remain in full force and effect for the duration of this MOU, provided that if any such affected provisions invalidate or void any benefits of employees covered hereunder, the parties shall forthwith commence negotiations to replace the invalidated benefits with benefits of comparable value. CONHDLNHAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THRCUGH JUNE 30, 2022 Page 80 #10865v2 55E-88 ARTICLE XXVI 26.0 TERM OF MOU 26.1 The term of this MOU shall be from January 1, 2019 to June 30, 2022. 26.2 If this MOU is not replaced by a new mutually -agreed upon MOU between the City of Santa Ana and CASA before June 30, 2022, then it is agreed that all provisions of this MOU shall remain in effect until mutual agreement is reached on a new MOU. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 81 #10865v2 55E-89 ARTICLE XXVII 27.0 RATIFICATION & EXECUTION 27.1 The City and CASA have reached an understanding as to certain recommendations to be made to the City Council for the City of Santa Ana and have agreed that the parties hereto will jointly urge the City Council to adopt a new wage and salary resolution which will provide for the changes contained in the joint recommendations. The City and CASA acknowledge that this MOU shall not be in full force and effect until ratified by the membership of CASA and adopted by the City Council of the City of Santa Ana. Subject to the foregoing, this MOU is hereby executed by the authorized representatives of the City and CASA and entered into this 1 st day of October, 2019. CITY OF SANTA ANA, a Municipal Corporation of the State of California Dated: By: Mayor Dated: By: City Manager Dated: By: Executive Director, Human Resources ATTEST: Clerk of the Council APPROVED AS TO FORM: City Attorney CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 82 #10865v2 55E-90 This MOU 2019-2022 has been ratified by the membership of the Confidential Association of Santa Ana (CASA). CASA: Dated: By: Orange County Employees Association Chief Negotiator Dated: By: CASA President CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 83 #10865v2 55E-91 Exhibit A Full-time Classifications Administrative Secretary (UC) Budget Aide (UC) Budget Analyst (UC) Council Services Secretary (UC) Executive Assistant (UC) Executive Secretary to City Attorney (UC) Executive Secretary to the Police Chief (UC) Financial Analyst (UC) Human Resources Administrative Assistant (UC) Human Resources Analyst (UC) Human Resources Executive Secretary (UC) Human Resources Secretary (UC) Human Resources Specialist (UC) Human Resources Systems Analyst (UC) Human Resources Technician (UC) Legal Office Assistant (UC) Legal Secretary (UC) Litigation Assistant (UC) Management Aide (UC) Management Analyst (UC) Management Assistant (Exempt) (UC) Paralegal (UC) Payroll Systems Analyst (UC) Payroll Technician (UC) Police Human Resources Specialist (UC) Risk Management Analyst (UC) Risk Management Assistant (UC) Risk Management Technician (UC) Senior Human Resources Specialist (UC) Senior Human Resources Technician (UC) Senior Legal Management Assistant (Exempt) (UC) Senior Legal Office Assistant (UC) Senior Legal Secretary (UC) Senior Management Assistant (Exempt) (UC) Senior Paralegal (Exempt) (UC) Senior Payroll Technician (UC) Training Coordinator (UC) CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY I, 2019 THROUGH JUNE 30, 2022 Page 84 #10865v2 55E-92 Part-time Civil Service Classifications Human Resources Technician-PTCS (UC) CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 85 #10865v2 55E-93 Exhibit B RESOLUTION NO.81-75 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA RELATING TO EMPLOYER -EMPLOYEE RELATIONS IN THE PUBLIC SERVICE OF THE CITY OF SANTA ANA WHEREAS, the Council of the City of Santa Ana declares that it is the public policy of the City to maintain and enhance its administration of employer -employee relations and to protect the public by assuring at all times the orderly and uninterrupted operations and services of City government; and WHEREAS, the City of Santa Ana desires to establish uniform and orderly methods of communication between the City and its employees, including provisions for (a) recognizing the rights of employees to join organizations of their own choosing for the purpose of representation on matters affecting employee relations or to represent themselves individually in dealing with the City; and (b) establishing equitable and uniform rules and procedures to provide for the orderly and systematic presentation, consideration and resolution of employer -employee relations matters; and WHEREAS, the City of Santa Ana has met and conferred in good faith with representatives of the Santa Ana City Employees' Association; Santa Ana Police Benevolent Association; Santa Ana Firemen's Benevolent Association; and the American Federation of State, County and Municipal Employees, AFL-CIO, which are the only employee organizations known to the City to have among their members employees of the City, concerning the rules and regulations for the administration of employer -employee relations set forth herein; and NOW, THEREFORE, the City Council of the City of Santa Ana does hereby resolve as follows: Section 1: Title of Resolution This Resolution shall be known as the "Employer -Employee Relations Resolution of the City of Santa Ana". Section 2: Definitions As used in this Resolution, the following terms shall have the meanings indicated: APPROPRIATE UNIT - means a unit of employee classifications or positions established pursuant to Section 11 of this Resolution. CITY - means the City of Santa Ana, a municipal corporation, and where appropriate herein, "City" refers to the City Council or any duly authorized management employee as herein defined. DAY - means calendar day unless expressly stated otherwise. EMPLOYEE - means any person regularly employed by the City on a full time basis except those persons elected by popular vote. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY I, 2019 THROUGH JUNE 30, 2022 Page 86 #10865v2 55E-94 EXHIBIT B (Continued) EMPLOYEE, CONFIDENTIAL - means on employee who is assigned to perform work directly involved in the development, preparation or presentation of management positions with respect to employer - employee relations. EMPLOYEE, MANAGEMENT - means any employee having responsibility for formulating, administering or managing the implementation of City policies or prograrrs, including but not limited to, department and assistant department heads, division heads, and professional administrative staff employees employed to render advice and assistance pertaining to the conduct of legal, fiscal, budgetary, personnel management and employer -employee relations affairs of the City. EMPLOYEE, PROFESSIONAL - means a classification of employees engaged in work (a) predominantly intellectual and varied in character as opposed to routine mental, manual, mechanical or physical work; (b) involving the constant exercise of discretion and judgment in its performance; and (c) requiring knowledge in a field of science or learning customarily acquired by a prolonged course of specialized intellectual instruction and study in an institution of higher learning, as distinguished from a general academic education, or from an apprenticeship or from training in the performance of routine, mental, manual or physical processes. EMPLOYEE, SUPERVISORY - means any employee, regardless of job description or title, having authority, in the interest of the employer, to hire, transfer, suspend, layoff, recall, promote, discharge, assign, reward, or discipline other employees, or the responsibility to assign work to and direct them, or to evaluate or review their grievances, or effectively to recommend such actions, if in connection with any of the foregoing, the exercise of such responsibility is not of merely routine or clerical nature, but requires the use of independent judgment. EMPLOYEE ORGANIZATION - means any lawful organization which includes employees of the City and which has as one of its primary purposes representing such employees in their employment relations with the City; provided, however, that said organization has no restrictions on membership based on race, color, creed, sex or national origin. EMPLOYEE RELATIONS OFFICER - means the City's principal representative in all matters of employer - employee relations designated pursuant to Section 3 hereof, or his duly authorized representative. EMPLOYER -EMPLOYEE RELATIONS - means the relationship between the City and its employees and their employee organization, or when used in a general sense, the relationship between City management and individual employees or employee organizations. GRIEVANCE - means a dispute, claimed by an employee, group of employees or a recognized employee organization concerning the meaning, application, or enforcement of any of the provisions of the City's Employer -Employee Relations Policy or of a memorandum of understanding; and for which specific hearing or appeal procedure is not otherwise provided, or is not specifically --------------------------------------------------------------------- CONFIDENTIAI. ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 87 ##10865v2 55E-95 EXHIBIT B (Continued) withheld, by civil service rule, ordinance, resolution, charter provision, or memorandum of understanding. IMPASSE - means that the representatives of the City and a Recognized Employee Organization have reached a point in their meeting and conferring in good faith where their differences concerning matters on which they are required to meet and confer, remain so substantial that further meeting and conferring would not be likely to result in an agreement. MEDIATION OR CONCILIATION - means the efforts of an impartial third person or persons, functioning as intermediaries, to assist the parties in reaching a voluntary resolution to an impasse, through interpretation, suggestion and advice. Mediation and conciliation are interchangeable terms. MEET AND CONFER IN GOOD FAITH - (sometimes referred to herein as "meet and confer" or "meeting and conferring") - means the performance by duly authorized City representatives and duly authorized representatives of a recognized employee organization of their mutual obligation personally to meet and confer in good faith promptly upon the request of either party and continue for a reasonable period of time in order to exchange freely information, opinions and proposals, and to endeavor to reach agreement on matters within the scope of representation prior to the adoption by the City of its final budget for the ensuing year. This does not require either party to agree to a proposal or to make a concession. MEMORANDUM OF UNDERSTANDING - means a written memorandum of the agreement between the City and a recognized employee organization reached through meeting and conferring. PEACE OFFICER - means an employee of the Santa Ana Police Department whose principal duties consist of active law enforcement and who is designated as a "peace officer" as that term is defined in Section 830, California Penal Code, except that, for purposes of this Resolution only, "peace officer" does not mean a park patrolman, security guard or a member of the fire department, whether the latter be serving as a member of an arson investigating unit, as a deputy or assistant state fire marshal, or in any capacity wherein the member would have the status of peace officer for purposes other than that of this Resolution. RECOGNIZED EMPLOYEE ORGANIZATION - means an employee organization which has been granted formal recognition by the Employee Relations Officer as the employee organization which has the right to meet and confer in good faith as the majority representative of all members of an appropriate representation unit pursuant to Section 1 1 hereof, except those employees in such unit who have exercised their right not join an employee organization and who choose to represent themselves individually with the City, or has been designated through a secret ballot election as the exclusive representative of the employees in an appropriate representation unit pursuant to Section I I of this Resolution. SCOPE OF REPRESENTATION - means those matters relating to employment conditions and employer - employee relations including, but not limited to, wages, hours, and other terms and conditions of CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 88 #10865v2 55E-96 EXHIBIT B (Continued) employment except, however, that the scope of representation shall not include consideration of the merits, necessity, or organization of any service or activity provided by law or executive order. Section 3: Designation of the Citv's Employee Relations Officer The City Council hereby designates the City Manager as the Employee Relations Officerwho shall be the City's principal representative on all matters of employer -employee relations, with authority to meet and confer in good faith on matters within the scope of representation, and to administer all provisions of this Resolution and the employee relations rule and procedures adopted pursuant thereto. The Employee Relations Officer is authorized to delegate his duties and responsibilities. Section 4: Meet and Confer in Good Faith - Scope City representatives and representatives of formally recognized employee organizations having exclusive representation rights, have the mutual obligation personally to meet and confer in good faith in order to exchange freely information, opinions and proposals and to endeavor to reach agreement on matters within the scope of representation prior to the adoption by the City of its final budget for the ensuring year. The City shall not be required to meet and confer in good faith on a subject preempted by Federal or State law or by the City Charter. Section 5: Notice The City will give reasonable written notice to each recognized employee organization affected by any ordinance, rule, resolution, or regulation relating to matters within the scope of representation proposed to be adopted by the City, and each such organization shall be given the opportunity to meet and confer with the Employee Relations Officer prior to such adoption. In cases of emergency when the City determines that an ordinance, rule, resolution, or regulation relating to matters within the scope of representation must be adopted immediately without prior notice or meeting with recognized employee organization, the Employee Relations Officer shall provide such notice and opportunity to meet at the earliest practicable time following the adoption of such ordinance, rule, resolution or regulation. Section 6: Petition for Recognition An employee organization that seeks to be formally acknowledged as the Recognized Employee Organization representing the employees in an appropriate unit shall file a petition with the Employee Relations Officer containing the following information and documentation: Name and address of the employee organization. --------------------------------------------------------------------- CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY I, 2019 THROUGH JUNE 30, 2022 Page 89 #10865v2 55E-97 EXHIBIT B (Continued) Names and titles of its officers Names and titles of employee organization representatives who are authorized to speak on behalf of the organization. A statement that the employee organization has, as one of its primary purposes, representing the employees in their employment relations with the City. A statement whether the employee organization is a chapter or local of, or affiliated directly or indirectly in any manner with, a regional or state, or national or international organization, and, if so, the name and address of each such regional, state or international organization. Certified copies of the employee organization's constitution and bylaws, including all amendments thereof. A designation of those persons, not exceeding three in number, and their addresses, to whom sent by first class or certified United States mail will be deemed sufficient notice on the employee organization. A statement that the employee organization is cognizant of the provisions of Section 3509 of the Meyer-Milias-Brown Act. A statement that the employee organization has no restriction on membership based on race, color, creed, sex, or national origin. A description of the composition of the unit or units claimed to be appropriate, including the job classifications of employees and the number of member employees therein, as well as a statement of reasons why the unit or units is or are considered to be appropriate. A statement that the employee organization has in its possession written proof, dated by the signer within six (6) months of the date upon which the petition is filed, to establish that a majority of the employees in the unit claimed to be appropriate have designated the employee organization to represent them in their employment relations with the City. Such written proof shall be made in such language and form as the Employee Relations Officer shall prescribe and shall be submitted for confirmation to the Employee Relations Officer to a mutually agreed upon disinterested third party. Notwithstanding the above, the Employee Relations Officer, in his sole discretion, may accept employee dues deduction authorization, using the payroll register for the period immediately preceding the date of filing of a Petition of Recognition, as proof of employee support for the petitioning organization, except that dues deduction authorizations for more than one employee organization for the account of any one employee shall not be considered as proof of employee support for any employee organization, unless it can otherwise be shown that the dues deduction for the petitioning organization is the only one which provides full membership rights and privileges, including the right to vote. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 TI-IROUGH JUNE 30, 2022 Page 90 #10865v2 55E-98 EXHIBIT B (Continued) A request that the Employee Relations Officer recognize the petitioning employee organization as the Recognized Employee Organization representing the employees in the unit(s) claimed to be appropriate for the purpose of meeting and conferring in good faith on all matters within the scope of representation. The Petition, including all accompanying documents, shall be declared to be true, correct and complete, under penalty of perjury, by the duly authorized officer(s) of the employee organization executing it. The Employee Relations Officer may require additional information as required by this Resolution to be included in the Petition. The Employee Relations Officer shall give prompt written notice of the filing of a Petition to any recognized employee organization affected thereby. Section 7: City Response to Recognition Petition Upon receipt of the Petition, the Employee Relations Officer shall within ten (10) days determine whether: There has been compliance with the requirements of the Recognition Petition; and The proposed representation unit is an appropriate unit in accordance with Section 11 of this Resolution. If an affirmative determination is made by the Employee Relations Officer on the foregoing two matters, he shall within ten (10) days after making said determination, inform the petitioning employee organization, shall give written notice of such request for recognition to the employees in the unit and shall take no action on said request for thirty (30) days thereafter. If either of the foregoing matters are not affirmatively determined, the Employee Relations Officer shall meet and discuss the matter with such petitioning employee organization, and, if such determination thereafter remains unchanged, shall inform that organization of the reasons therefore in writing. The petitioning employee organization may appeal such determination in accordance with Section 13 of this Resolution. Section 8: Open Period for Filing Challenging Petition(s) Within thirty (30) days of the date written notice was given to affected employees that a valid Recognition Petitions) for an appropriate unit has been filed, any other employee organization may file a competing request to be formally acknowledged as the recognized employee organization of the employees in the some or in an overlapping unit (one which corresponds with respect to some but not all the classifications or positions set forth in the Recognition Petition being challenged), by filing a petition(s) evidencing proof of employee support in the unit claimed to be appropriate of at least thirty (30) percent and otherwise in the same form and manner as set forth in Section 6 of this Resolution. If such challenging petitions) seeks establishment of an overlapping unit, the Employee Relations Officer shall call for a hearing on such overlapping petitions for the purpose of ascertaining CONNUENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 91 #10865v2 55E-99 EXHIBIT B (Continued) the more appropriate unit, at which time the petitioning employee organizations shall be heard. Thereafter, the Employee Relations Officer shall determine the appropriate unit or units in accordance with the standards in Section 11 of this Resolution. The petitioning employee organizations shall have fifteen (15) days from the date notice of such unit determination is communicated to them by the Employee Relations Officer to amend their petitions to conform to such determination or to appeal such determination pursuant to Section 13 of this Resolution. Section 9: Election Procedure The Employee Relations Officer shall arrange for a secret ballot election to be conducted by a party agreed to by the Employee Relations Officer and the concerned employee organization(s) in accordance with its rules and procedures subject to the provisions of this Resolution. All employee organizations who have duly submitted petitions which have been determined to be in conformance with this Resolution shall be included on the ballot. The choice of "no organization" shall also be included on the ballot. Employees entitled to vote in such election shall be those persons employed full time in regular, permanent positions within the designated appropriate unit who were employed during the pay period immediately prior to the date which ended at least fifteen (15) days before the date the election commences, including those who did not work during such period because of illness, vacation or other authorized leaves of absence, and who are employed by the City in the same unit on the date of election. An employee organization shall be formally acknowledged as the Recognized Employee Organization for the designated appropriate unit following an election or runoff election if it received a numerical majority of all valid votes cast in the election. If an election involving three or more choices, where none of the choices receives a majority of the valid votes cast, a runoff election shall be conducted between the two choices receiving the largest number of valid votes cast (that is, either between two employee organizations, or one employee organization and no representation); the rules governing an initial election being applicable to a runoff election, except that the runoff election shall be held within fifteen (15) days following the certification of the initial election results. There shall be no more than one valid election under this Resolution pursuant to any petition in a 12- month period affecting the same unit. In the event that the parties are unable to agree on a third party to conduct an election, the election shall be conducted by the California State Conciliation Service. Costs of conducting elections shall be borne in equal shares by the City and by each employee organization appearing on the ballot. In cases where a Memorandum of Understanding between the City and an employee organization is in effect on the effective date of this Resolution, it shall be presumed for the duration of the Memorandum of Understanding that the unit set forth in the Memorandum of Understanding is appropriate and that the employee organization is the majority representative of the employees covered therein. Unless a petition is filed pursuant to Section 12 below, it shall be presumed that when said Memorandum of Understanding terminates the employee organization shall continue to be a majority representative of employees covered by said Memorandum of Understanding for the purposes of meeting and conferring regarding matters within the scope of representation; provided, however, the employee organization files with the City the information required by Section 6(a), 1 CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 92 #10865v2 55E-100 EXHIBIT B (Continued) through 13 of this Resolution. Nothing contained herein shall preclude an employee organization from filing a petition for recognition pursuant to Section 6 or Section 10 of this Resolution at the expiration of Memoranda of Understanding which expire on June 30, 1981. Section 10: Procedure for Decertification of Recognized Employee Organization A Decertification Petition alleging that the incumbent Recognized Employee Organization no longer represents a majority of the employees in an established appropriate unit may be filed with the Employee Relations Officer only during the month of January of any year following the first full year of recognition or during the thirty (30) day period commencing one hundred eighty (180) days prior to the termination date of a Memorandum of Understanding then having been in effect less than three (3) years, whichever occurs later. A Decertification Petition may be filed by employees or their representative, or an employee organization, and shall contain the following information and documentation declared by the duly authorized signatory under penalty of perjury to be true, correct and complete: The name, address and telephone number of the petitioner and a designated representative authorized to receive notices of requests for further information. The name of the established appropriate unit and of the incumbent Recognized Employee Organization sought to be decertified as the representative of that unit. An allegation that the incumbent Recognized Employee Organization no longer represents a majority of the employees in the appropriate unit, and any other relevant and material facts relating thereto. Proof of employee support that a majority of the employees in the established appropriate unit no longer desires to be represented by the incumbent Recognized Employee Organization. Such proof shall be submitted for confirmation to the Employee Relations Officer or to a mutually agreed upon disinterested third party. The Employee Relations Officer can only accept those petitions which 1) request decertification of the current formally recognized employee organization and 2) do not request to carve out another unit from the already established appropriate unit. An employee organization may file a Petition under this Section in the form of a Recognition Petition that conforms to the requirements of Section 6 of this Resolution in satisfaction of the Decertification Petition requirements hereunder. The Employee Relations Officer shall initially determine whether the Decertification Petition or Recognition Petition, if any, have been filed in compliance with the applicable provisions of this Resolution. If his determination is in the negative, he shall offer to consult thereof with the representatives) of such petitioning employees or employee organization, and if such determination thereafter remains unchanged, shall return such Petition(s) to the employees or employee CONFIDENTIAL ASSOCIATION OF SANIA ANA (CASA) MOU: JANUARY I, 2019 THROUGH JUNE 30, 2022 Page 93 #10865v2 55E-101 EXHIBIT B (Continued) organization with a statement of the reasons therefore in writing. The petitioning employees or employee organization may appeal such determination in accordance with Section 13 of this Resolution. If the determination of the Employee Relations Officer is in the affirmative, or if his negative determination is reversed on appeal, he shall give written notice of such Decertification of Recognition Petition to the incumbent Recognized Employee Organization and to unit employees. The Employee Relations Officer shall thereupon arrange for a secret ballot election to be held on or about fifteen (15) days after such notice to determine the wishes of unit employees as to the question of decertification, and if an accompanying Recognition Petition was duly filed, and, in the event decertification of the incumbent Recognized Employee Organization is voted, the question of representation. Such election shall be conducted in conformance with Section 9 of this Resolution. The cost of any election proceeding under the provisions of this Section shall be borne entirely by the employee organization(s) challenging the incumbent recognized employee organization. An employee organization which displaces another employee organization as a formally recognized employee organization following an election conducted pursuant to this Section shall assume any existing Memorandum of Understanding then in effect as a condition of recognition and said Memorandum of Understanding shall remain in full force and effect for the balance of the term thereof. Section 1 1: Policv and Standards for Determination of Appropriate Units The basic policy objectives in determining the appropriateness of units shall be the effect of a proposed unit on 1) the efficient operations of the City and its compatibility with the primary responsibility of the City and its employees to effectively and economically serve the public and 2) providing employees with effective representation based on recognized community of interest considerations. These policy objectives require that the appropriate unit shall be the broadest feasible grouping of positions that share an identifiable community of interest. Factors to be considered shall be: Similarity of the general kinds of work performed, types of qualifications required, and the general working conditions. History of representation in the City and similar employment; except however, that no unit shall be deemed to be an appropriate unit solely on the basis of the extent to which employees in the proposed unit have organized. The effect of the proposed unit on efficient operations of the City and the compatibility of the unit with the responsibility of the City and its employees to serve the public. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 94 4'0865v2 55E-102 EXHIBIT B (Continued) The effect on the administration of employer -employee relations created by the fragmentation of classifications and proliferation of units. Effect on the classification structure and impact on the stability of the employee relationship of dividing a single or related classification among two or more units. Notwithstanding the foregoing, management employees shall only be included in a unit consisting solely of management employees and confidential employees shall be included in a unit consisting solely of confidential employees. When the City establishes new classifications or positions, or modifies the job content of an existing classification or position, the Employee Relations Officer shall, after notice to and consultation with all affected employee organizations, determine which, if any, representation unit shall include such new or modified classification(s) or position(s). Section 12: Procedure for Modification of Established Appropriate Units Requests by employee organizations for modifications of established appropriate units may be considered by the Employee Relations Officer only during the period specified in Section 10 of this Resolution. Such requests shall be submitted in the form of a Recognition Petition, and, in addition to the requirements set forth in Section 6 of this Resolution, shall contain a complete statement of all relevant facts and citations in support of the proposed modified unit in terms of the policies and standards set forth in Section 1 1 hereof. The Employee Relations Officer shall process such petitions as other Recognition petitions under this Resolution. The Employee Relations Officer may on his motion propose, during the period specified in Section 10 of this Resolution, that an established unit be modified. The Employee Relations Officer shall give written notice of the proposed modification(s) to any affected employee organization and shall hold a meeting concerning the proposed modification(s), at which time all affected employee organizations shall be heard. Thereafter the Employee Relations Officer shall determine the composition of the appropriate unit or units in accordance with Section 11 of this Resolution, and shall give written notice of such determination to the affected employee organizations. The Employee Relations Officer=s determination may be appealed as provided in Section 13 of this Resolution. If a unit is modified pursuant to the motion of the Employee Relations Officer hereunder, employee organizations may thereafter file Recognition Petitions seeking to become the Recognized Employee Organization for such new appropriate unit or units pursuant to Section 6 hereof. Section 13, Appeals An employee organization aggrieved by an appropriate unit determination of the Employee Relations Officer under this Resolution may, within ten (10) days of notice thereof, appeal such determination to the City Council for final decision. CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 TI IROUGI I JUNE 30, 2022 Page 95 #10865v2 55E-103 EXHIBIT B (Continued) An employee organization aggrieved by a determination of the Employee Relations Officer that a Recognition Petition (Section 6); Challenging Petition (Section 8) or Decertification Petition (Section 10) or employees aggrieved by a determination of the Employee Relations Officer that a Decertification Petition (Section 10) has not been filed in compliance with the applicable provisions of this Resolution, may, within fifteen (15) days of notice of such determination, appeal the determination to the City Council for final decision. Appeal to the City Council shall be filed in writing with the City Clerk, and a copy thereof served on the Employee Relations Officer. The City Council shall commence to consider the matter within thirty (30) days of the filing of the appeal, and shall render a final and binding decision regarding the resolution of the disputed issue(s) raised by the appeal after each party involved has been given an opportunity, during a public meeting, to present written and oral arguments in support of their respective positions and, if the City Council so desires, after any future investigation or review of the matter as it may deem appropriate. The City Council, may, in its discretion, refer the dispute to a third party hearing process for the purpose of seeking an advisory determination prior to making its final decision regarding the resolution of the dispute. Section 14: Submission of Current Information by Recognized Employee Organizations All changes in the information filed with the City by a Recognized Employee Organization under Items 1 through 13 of its Recognition Petition under Section 6 of this Resolution shall be submitted in writing to the Employee Relations Officer within fifteen (15) days of such change. Section 15: Payroll Deductions on Behalf of Employee Organizations Upon formal acknowledgment by the City of a Recognized Employee Organization under this Resolution, only such Recognized Employee Organization may be provided payroll deductions of membership dues and insurance premiums for plans sponsored by such organization upon the written authorization of employees in the unit represented by Recognized Employee Organization on forms provided therefore by the City. The providing of such service to the Recognized Employee Organization by the City shall be contingent upon and in accordance with the provisions of Memorandum of Understanding and/or applicable administrative procedures. Section 16: Employee Organization Activities - Use of City Resources Access to City work locations and the use of City paid time, facilities, equipment and other resources by employee organizations and those representing them shall be authorized only to the extent provided for in Memorandum of Understanding and/or administrative procedures; shall be limited to activities pertaining directly to the employer -employee relationship and not such internal employee organization business as soliciting membership, campaigning for office, and organization meetings and elections; and shall not interfere with the efficiency, safety and security of City operations. Section 17: Administrative Rules and Procedures CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JAN UARY I, 2019 THROUGH JUNE 30, 2022 Page 96 # 0865v2 55E-104 EXHIBIT B (Continued) The Employee Relations Officer is hereby authorized to establish such rules and procedures as appropriate to implement and administer the provisions of this Resolution after consultation with affected employee organizations. Section 18: Initiation of Impasse Procedures If the meet and confer process has reached impasse as defined in this Resolution, either party may initiate the impasse procedures by filing with the other party a written request for an impasse meeting, together with a statement of its position on all disputed issues. An impasse meeting shall then be scheduled promptly by the Employee Relations Officer. The purpose of such impasse meeting shall be: To identify and specify in writing the issue or issues that remain in dispute; To review the position of the parties in a final effort to resolve such disputed issue or issues; and If the dispute is not resolved, to discuss arrangement for the utilization of the impasse procedures provided herein. Section 19: Impasse Procedures Impasse procedures are as follows: If the parties so agree, the issue or issues at impasse shall be submitted directly to the City Council for determination. If they do not agree within seven 17) days following the conclusion of the impasse meeting set forth in Section 18 above, either party may submit the impasse to mediation. All mediation proceeding shall be private and the mediator shall make no public recommendation, nor take any public position at any time concerning the issues. If the parties are unable to agree on a mediator after a reasonable period of time, they shall select the mediator from a list of three names to be provided by the State Conciliation Service, or if that agency for any reason shall fail to provide such list, by the American Arbitration Association. Upon receipt of such list, the parties shall alternately strike names from the list until a single name remains who shall become the mediator. The priority of striking names shall alternate from one party to the other each time impasse procedures are invoked by the same parties. The employee organization or the City shall commence this process in an order determined by lot striking the first name from such list of names in any initial mediation. The cost of the mediator, if any, shall be shared equally by both parties. CONFIDENTIAL ASSOCIATION OF SAN IA ANA (CASA) MOU: JANUARY 1, 2019 THROUGH JUNE 30, 2022 Page 97 #10865v2 55E-105 EXHIBIT B (Continued) If the parties have failed to resolve all their disputes through mediation within fifteen (15) days after the mediator commenced meetings with the parties, the parties may agree to submit the issues in dispute directly to the City Council. In that event, the City Council shall finally determine the issues after conducting a public hearing thereon and after such further investigation of the relevant facts as it may deem appropriate. If the parties have exhausted the mediation process, the matter shall be submitted to the City Council for resolution. Section 20: Construction This Resolution shall be administered and construed as follows: Nothing in this Resolution shall be construed to deny to any person, employee, organization, the City, or any authorized officer, body or other representative of the City, the rights, powers and authority granted by Federal or State law or City Charter provisions. Nothing in this Resolution shall be construed as making the provisions of California Labor Code Section 923 applicable to City employees or employee organizations, or of giving employees or employee organizations the right to participate in, support, cooperate or encourage, directly or indirectly, any strike, sickout, other total or partial stoppage or slowdown of work or any other interference with the conduct of the City's operations. Nothing contained in this Resolution shall abrogate any written Memorandum of Understanding between any employee organization and the City in effect on the effective date off his Resolution. All such agreements shall continue in effect for the duration of the term specified therein unless modified or rescinded by mutual agreement of the parties thereto. Whenever written notice is required by this Resolution, such notice shall deem to have been received on the day immediately following the day on which it was mailed (excluding Saturdays, Sundays, and holidays on which the offices of the City are closed) provided the same was sent by first class or certified mail, postage prepaid to the City at 20 Civic Center Plaza, Santa Ana, California 92701, or to any employee organization at its last address furnished to the City. Section 21: Severability In any section, subsection, sentence, clause or phrase of this Resolution, or the application of such portion to any person or circumstance, shall be held invalid by a decision of any court of competent jurisdiction, the remainder of this Resolution, or the application of such portion to persons or circumstances other than those as to which it is held invalid, shall not be affected thereby. The City CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JAN UARY I, 2019 THROUGH JUNE 30, 2022 Page 98 #10865v2 55E-106 EXHIBIT B (Continued) Council hereby declares that it would have passed this Resolution and each section, subsection, sentence, clause and phrase thereof, irrespective of the fact that any or more sections, subsections, sentences, clauses or phrases be declared invalid. NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Santa Ana: that this Resolution shall be operative from and after May 18, 1981. ADOPTED this 18th day of May, 1981, by the following vote: AYES: Acosta, Bricken, Griset, Luxembourger, Markel, McGuigan, Serrat CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JANUARY 1, 2019 THRCUGH JUNE 30, 2022 Page 99 #10865v2 55E-107 EXHIBIT C 9/80 HARDSHIP CLAIM FORM Name: Division/Section: Position: Work Telephone Number: Supervisor Name and Telephone: Work Hours: Proposed Work Hours: Basis for Hardship Claim: Options explored by employee to resolve the hardship: Employee's proposed solution: Supervisor's needs/concerns/comments: Hardship Committee Recommendation to Department Head: CONFIDENTIAL ASSOCIATION OF SANTA ANA (CASA) MOU: JAN UARY 1, 2019 THROUGI I JUNE 30, 2022 Page 100 #10865v2 55E-108 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 1, 2019 TITLE: APPROVE AN APPROPRIATION ADJUSTMENT IN THE AMOUNT OF $696,120; ADOPT A RESOLUTION AMENDING RESOLUTION NO. 2015-026 TO EFFECT CERTAIN CHANGES TO THE CITY'S BASIC CLASSIFICATION AND COMPENSATION PLAN; AND APPROVE A MEMORANDUM OF UNDERSTANDING WITH THE SANTA ANA POLICE MANAGEMENT ASSOCIATION {STRATEGIC PLAN NO. 7, 4, & 6} /s/ Kristine Ridaf CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 15' Reading ❑ Ordinance on 2d Reading ❑ Implementing Resolution ❑ Set Public Hearing For FILE NUMBER 1. Approve an Appropriation Adjustment to move $696,120 from the General Fund Non - Departmental accounting unit into the appropriate General Fund accounting units noted in Exhibit 1. 2. Adopt a Resolution Amending Resolution No. 2015-026 to effect certain changes to the City's Basic Classification and Compensation Plan. Exhibit 2. 3. Authorize the City Manager to execute a Memorandum of Understanding with the Santa Ana Police Management Association (SAPMA) for the period July 1, 2018 through June 30, 2021, regarding wages and other terms of conditions of employment as Exhibit 3. DISCUSSION The current Santa Ana Police Management Association (SAPMA) Memorandum of Understanding (MOU) expired on June 30, 2018. The City and the SAPMA recently completed contract negotiations resulting in a new three-year MOU. The MOU covers July 1, 2018 through June 30, 2021. 55F-1 Agreement with SAPMA 2018-2021 October 1, 2019 Page 2 The major provisions of this agreement include: 1. Term: A three-year term, from July 1, 2018 through June 30, 2021. 2. Salary: a. Effective July 1, 2018, classifications covered by this MOU shall receive a retro-active base salary increase of five (5) salary rate ranges (approximately 2.5%). b. Effective January 1, 2019, classifications covered by this MOU shall receive a retro-active base salary increase of five (5) salary rate ranges (approximately 2.5%). C. Effective July 1, 2019, classifications covered by this MOU shall receive a retro-active base salary increase of eight (8) salary rate ranges (approximately 4%). d. Effective July 1, 2020, classifications covered by this MOU shall receive a base salary increase of eight (8) salary rate ranges (approximately 4%). Retro-active salary increases will be provided to those currently employed on the date the MOU is approved by Council. 3. Sworn Step "E": Effective July 1, 2019, a Step "E" (approximately 5% increase from Step "D") will be added to the sworn classifications in this unit. 4. Sworn Performance Bonus: Performance Bonus and/or Merit Step Advancement available when it is determined that their overall performance significantly exceeds or exceeds expectations as outlined in Section 4.8 of the MOU, at the Chief's discretion after completing 1 full year at D or E step during the period of July 1, 2019 through December 31, 2020. On 12/31/20 this provision will sunset and then beginning 1/1/2021, sworn employees will be eligible for only a performance bonus when it is determined that their overall performance significantly exceeds or exceeds expectations as outlined in Section 4.8 of the MOU after completion of one (1) full year at E Step. Non -Sworn will remain unchanged with eligibility after completing 1 full year at D Step. 5. Eliminate Compaction: Effective July 1, 2020, the City agrees, after implementation of the four percent (4%) increase to base salary adjustment effective July 1, 2020, to maintain an approximate five percent (5%) between the classifications of Sergeant (top step with all eligible pay additives) in the Santa Ana Police Association unit and Police Commander (Lieutenant) (Step "Y including Supervisory Post and Bilingual additives). 6. Education Incentive Restructure: Effective July 1, 2019, (Current PMA members, employees hired or promoted into the PMA unit on or after July 1, 2019 shall not be eligible for the 55F-2 Agreement with SAPMA 2018-2021 October 1, 2019 Page 3 Educational Incentives Program described in 6.1 in the MOU (Attachment 3) but shall now be eligible for the Education Incentives as described below. Those that were previously receiving incentives in Section 6.1 shall be grandfathered in to continue to receive those incentives, should they qualify for the provisions below on or after July 1, 2019, shall not be eligible for both only the greater benefit of the two. SWORN ONLY • Level 1: Supervisory POST = 5% on base pay (cap=5%). • Level 2: Supervisory POST AND Cal Command OR FBI Cert = 10% on base pay (cap=10%). • Level 3: MA/MS Degree AND Supervisory POST = 10% on base pay (cap 10%). • Level 4: MA/MS Degree AND Supervisory POST AND Cal Command College OR FBI Cert = 15% on base pay (cap 15%). NON -SWORN • MA/MS Degree — 5% (cap 5%). 7. Long Term DisabilitV (LTD): Effective January 1, 2020, the City shall continue to pay one hundred percent (100%) of the premium cost for a long term disability insurance plan for employees covered by this MOU as said plan. Effective January 1, 2020, Police Management employees covered by this MOU shall receive a monthly benefit of sixty-six and two-thirds percent (66 2/3%) of their base monthly salary (to a maximum monthly benefit of $7,500). 8. Vacation Carry-over: Effective December 31, 2019, any vacation not used by December 3191 of each calendar year that is above the maximum carry-over amount shall be cashed out at a straight -time rate. Members are only eligible for cash out if they used 80 hours of vacation during the calendar year. 9. Retiree Health Savings (RHS): Effective July 1, 2019, increase city contribution to member's ICMA-RC account by 1.25% for a total contribution of 4% total. 10. Credit of Unused Sick Leave: Upon adoption of the MOU, members with at least 10 (ten) years or more of full-time City service that retire from the City within 120 days of separation from employment can convert up to 2000 hours of accrued un-used sick leave towards CalPERS service credit. 11. Classification of Correctional Manager: Effective upon adoption of this MOU, amend the Basic Classification and Compensation Plan in order to move the classification of Correctional Manager from Santa Ana Management Association (SAMA) to the SAPMA unit as a non -sworn member at the monthly five (5) step -salary rate range; PMA-NSWN 754 $8,269 - $10,055 (range prior to salary increase effective July 1, 2019, as described in item #2 above). 55F-3 Agreement with SAPMA 2018-2021 October 1, 2019 Page 4 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's effort to meet Goal #7 — Team Santa Ana, Objective #4, Establish employee compensation that attracts and retains a highly qualified workforce, objective #5, Create a culture of innovation and efficiency within the organization, objective #6, Provide a positive workplace environment that supports the health of its employees and celebrates its success, and objective #7 Develop a culture of motivated and innovative leaders in the organization. FISCAL IMPACT The additional expenditures will be recorded in the affected departmental salary accounts (no. series 61000). It is estimated that this agreement will result in a net cost to the City of $141,568 for FY 18-19, $554,552 for FY 19-20 (total impact of $696,120) and $980,696 for FY 20-21 for a total of $ 1,676,816 during the term of this agreement. Appropriation Adjustment — General Fund This agreement will result in a cost of $696,120 (within the various salary accounts 61000) during fiscal year 2019-20, entirely within the General Fund. Detail by Fund Accounting Unit (General Fund) is noted in Exhibit 1. I�byG1►AT41410 1► r.9i Steven V. Pham Kathryn Downs, CPA Executive Director Executive Director Human Resources Department Finance and Management Services Agency Exhibits: 1. PMA EXHIBIT 1: FY 2018-21 2. Resolution Amending Resolution No. 2015-026 3. SAPMA MOU July 1, 2018 through June 30, 2021 55F-4 u Q- O 1-1 m V n l0 O f V O m n m m O O m I, w l0 M l0 O l0 I- w O m l0 f6 I� V V V fO 6V �-i V l0 T M' V1 V' U to m m m N fV m V ti m .fV m m mMA LL a) O V 0 G) N N i N c C a) v f6 �. OO O Oa) C N a) C mN iflV+_ A O @ V O �pO ODA Qa) Q " N N) Vm Na) O h.Cm C C o o2> 3 O O *mtO E O ai a Q O OO_ Zm OC ) ) m E a) U to m Q ~ U U V) ^ O v > W c v p — i= Z W 4! J � E a W O a Wz N m O m O u1 u1 O m O m N m O �O„ = O O c-1 c-I N N m zt V l0 w r- r- w a j V V V V V V V V V V V V V V y ti ti ti ti rH ti ti ti ti ti ti N ti ti bC e-1 i-1 i-1 c I cH rH rH c-I i l i-i e--I e-1 i-i N h c .—i ti ti ti ti ti ti ti ti ti 0 0 0 0 0 0 0 0 0 0 0 0 0 0 Q Q Y Y Y Y Y Y Y Y Y Y Y Y Y Y a) a) a) a) a) a) a) a) a) a) a) a) a) a) C E E E E E E E E E E E E E E Y Y Y Y Y Y Y Y Y Y Y Y Y Y L L L L L L L L L L L L L L 0_ 0. 0_ O_ O- 0- 0- 0_ 0- 0- fl_ Q Q Q a) a) aJ a) a) a) a) a) a) a) aJ a1 a) a) Q. ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ G) a) a) a) a) a) a) a) a) a) a) a a) a) a) O o o O o O O o O O O O O O 55F-5 EXHIBIT 2 RESOLUTION NO, 2019-XX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING RESOLUTION NO. 2015-026 TO EFFECT CERTAIN CHANGES TO THE CITY'S BASIC CLASSIFICATION AND COMPENSATION PLAN. BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1: The City Council hereby finds, determines and declares as follows A. Section 1004, Article X of the City Charter of the City of Santa Ana requires the City Manager to prepare, install and maintain a position classification and pay plan subject to civil service rules and regulations and the approval of the City Council. B. On June 16, 2015, the City Council adopted Resolution No. 2015-026 amending and re-establishing the Basic Classification and Compensation Plan for all Full -Time and Part -Time Classifications of Officers and Employees of the City of Santa Ana ("City"). C. It is the City's practice to assign job titles that reflect the duties and responsibilities of the classification and are consistent with other classifications within the City's organizational structure as well as comparable job titles in the labor market, while maintaining internal pay equity relationships and attracting and retaining qualified candidates. D. As part of the bargaining process for the Memorandum of Understanding between the City and the Santa Ana Police Management Association ("SAPMA"), the parties tentatively agreed to move the Correctional Manager position from another bargaining unit into the SAPMA subject to City Council approval. E. The City Council has amended and reestablished the Basic Classification and Compensation Plan on numerous occasions since its adoption. F. It is now desired to amend Council Resolution No. 2015-026, as amended, in order to effect these changes, as shown below: #5765v2 Resolution 2019-XXX Page 1 of 3 55F-6 Section 2: The Santa Ana City Council amends Resolution No. 2015-026, Exhibit "C as follows: A. Adding the following full time classification title at the monthly five -step salary rate range indicated: 5-Step Salary Rate Range Effective 07/01/17 Monthly Salary Classification Title SSR Minimum -Maximum Correctional Manager (RM) M-754 $8,269 - $10,055 (Non -Sworn) Section 3: The Santa Ana City Council amends Resolution No. 2015-026, Exhibit "E" as follows: A. Deleting the following full time classification title at the monthly five -step salary rate range indicated: 5-Step Salary Rate Range Effective 09/01/17 Monthly Salary Classification Title SSR Minimum -Maximum Correctional Manager (AM) AM-737 $8,256 - $10,037 Section 4: All salary rate range classifications are set forth in the City's "Salary Schedule" as periodically updated. Section 5: That except as amended by this Resolution, all other provisions of Resolution No. 2015-026 as amended shall remain in full force and effect Section 6: This Resolution is operative from and after the date upon which it is adopted. ADOPTED this 1 st day of October, 2019. Miguel A. Pulido Mayor Resolution 2019-XXX Page 2 of 3 55F-7 APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By:(7" Laura A. Rossini Senior Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Daisy Gomez, 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 October 1, 2019 Date: #5765v2 Resolution 2019-XXX Page 3 of 3 Clerk of the Council City of Santa Ana y �� #11140v2 EXHIBIT 3 MEMORANDUM OF UNDERSTANDING BETWEEN CITY OF SANTA ANA FEW) SANTA ANA POLICE MANAGEMENT ASSOCIATION REPRESENTATION UNIT DULY 1, 2018 THROUGH JUNE 30, 2021 55F-9 TABLE OF CONTENTS ARTICLE SUBJECT PAGE ARTICLE I Recognition 3 ARTICLE II Non -Discrimination Clause 4 ARTICLE III Attendance, Workday, Workweek and Work Schedule 5 ARTICLE IV Salaries 6 ARTICLE V Assignment and Other Special Pay Additives 13 ARTICLE VI Educational Incentive Program 14 ARTICLE VII Training and Educational Assistance Program 17 ARTICLE VIII Overtime 20 ARTICLE IX Holidays 21 ARTICLE X Vacation 24 ARTICLE XI Other Leaves of Absence 27 ARTICLE XII Employee Insurance 35 ARTICLE XIII Reserved 38 ARTICLE XIV Retirement 39 ARTICLE XV Technology Stipend 42 ARTICLE XVI Expanded Residency 43 ARTICLE XVII Controlled Parking and Take Home Vehicle Privileges 44 ARTICLE XVIII Discipline 45 ARTICLE XIX Grievance Review Procedure 46 ARTICLE XX Dues Deduction and Indemnification 48 ARTICLE XXI City Rights 49 ARTICLE XXII Strikes and Work Stoppages 51 ARTICLE XXIII Sole and Entire Agreement 52 ARTICLE XXIV Waiver of Bargaining During the Term of MOU 53 ARTICLE XXV Severability Provision 54 ARTICLE XXVI Term of MOU 55 ARTICLE XXVII Ratification and Execution 56 2 #11140v2 55F-10 ARTICLE I 1.0 RECOGNITION 1.1 Pursuant to the provisions of the Meyers-Milias-Brown Act, Government Code Section 3500, et seq., the City of Santa Ana (hereinafter called the "City") has recognized the Santa Ana Police Management Association (hereinafter called the "Association") as the recognized representative of the bargaining unit which includes full-time Police Department employees in the sworn, "safety -member" classifications and assignments of Police Commander, and Deputy Chief of Police, and full-time department employees in the non -sworn, "miscellaneous -member" classifications and assignments of Police Communications Manager, Police Administrative Budget Manager, Police Administrative Manager, Jail Administrator, Correctional Manager, and Police Systems Manager. (The former titles of Police Lieutenant and Police Captain may continue to be used by the City for such purposes as salary surveys and compensation comparisons for the titles of Police Commander and Deputy Chief of Police, respectively). #11140v2 55F-11 ARTICLE II 2.0 NON-DISCRIMINATION CLAUSE 2.1 The City and the Association agree that they shall not discriminate against any employee in violation of State or Federal law. The City and the Association shall reopen any provision of this Memorandum of Understanding (hereinafter called the "MOU) for the purpose of complying with any order of a Federal or State agency or court of competent jurisdiction requiring amodification or change in any provision or provisions of this MOU in compliance with State or Federal anti -discrimination laws. 2.2 Whenever reference is made to the masculine gender, it shall be understood to include the feminine gender, unless expressly stated otherwise. 4 #11140v2 55F-12 ARTICLE III 3.0 ATTENDANCE, WORKDAY, WORKWEEK & WORK SCHEDULE 3.1 Attendance. Employees covered by this MOU shall be in attendance at their work during hours prescribed by the Police Chief or his or her designee(s) and shall not absent themselves during prescribed hours without authorization from the Police Chief or his or her designee. Employees shall not be required to submit a Leave of Absence Request for absences of two (2) hours or less. 3.2 Alternative Work Schedules. A. All represented employees, except those Commanders assigned as Watch Commanders or assigned to positions designated by the Police Chief as special exemptions, shall be permitted, at the employee's option, to work a 4/10 work schedule. Each workday shall consist of ten (10) hours of work and thirty (30) minutes unpaid mealtime. Said schedule shall beset by the Police Chief and subject to annual review by the Police Chief. B. All represented employees (except those Commanders assigned as Watch Commanders) not assigned to the 4/10 work schedule shall work a 9/80 work schedule. Employees assigned to the 207(k) 9/80 work schedule shall work either five (5) nine -hour workdays in the first seven (7) day span and three (3) nine -hour and one (1) eight -hour workdays in the second seven (7) day span, or alternatively three (3) nine -hour workdays and one (1) eight -hour workday in the first seven (7) day span and five (5) nine -hour workdays in the second seven (7) day span. Each nine (9) hour workday shall consist of nine (9) hours of work and thirty (30) minutes unpaid mealtime. The eight (8) hour workday shall consist of eight (8)hours of work and thirty (30) minutes of unpaid mealtime. C. Police Commanders assigned to the Field Operations Division as Watch Commanders will continue to be assigned to a 3/12 — 4/12 work schedule. The minimum work day for these employees will consist of 11 hours and 30 minutes of work, with 30 additional minutes for meals. A minimum work period shall consist of two (2) consecutive weeks, with three (3) shifts of 11 hours and 30 minutes in one (1) week and four (4) shifts of 11 hours and 30 minutes in the second week. D. For purposes of computing holiday, vacation, and sick leave accruals, an eight (8) hour day shall be the basis for computation. 5 #11140v2 55F-13 ARTICLE IV 4.0 SALARIES 4.1 Basic Compensation Plan. There is hereby established a basic compensation plan for all members of the Association who are now employed or will in the future be employed in any of the designated classifications of employment listed in this MOU. 4.2 Salary Schedule. The basic salary schedule, as periodically updated and published by the City is comprised of four (4) steps or rate ranges of pay for sworn (CalPERS "Safety") employees and five (5) steps or rate ranges ofpay for non -sworn (CAPERS "Miscellaneous") employees. Effective July 1, 2019, a Step "E" (approximately 5% increase from Step "D") will be added to the sworn classifications in this unit. The basic salary schedule for sworn (CalPERS "Safety") employees will be increased to five (5) steps or rate ranges of pay. The steps within each range are identified by the letters "A" through "E" inclusive for sworn (CalPERS "Safety") classifications and "AA" through "D" inclusive for non -sworn (CalPERS "Miscellaneous") classifications, with Step "A" being the lowest step for sworn (CalPERS "Safety") and Step "AA" being the lowest step for non -sworn (CalPERS "Miscellaneous") classifications. The assignment of classes to salary rate ranges during the terns of this MOU is listed in the City's salary schedule, as periodically updated and published by the City. 4.3 Salaries. A. The base salaries of employees covered by this MOU shall be adjusted as follows: 1. Effective July 1, 2018, classifications covered by this MOU shall receive a retro-active base salary increase of five (5) salary rate ranges (approximately 2.5%). 2. Effective January 1, 2019, classifications covered by this MOU shall receive a retro-active base salary increase of five (5) salary rate ranges (approximately 2.5%). 3. Effective July 1, 2019, classifications covered by this MOU shall receive a retro-active base salary increase of eight (8) salary rate ranges (approximately 4%). 6 #11140v2 55F-14 4. Effective July 1, 2020, classifications covered by this MOU shall receive a base salary increase of eight (8) salary rate ranges (approximately 4%). 5. Effective July 1, 2020, the City agrees, after implementation of the 4% base salary increase effective July 1, 2020 (as noted as #3 of this section) to maintain ten (10) salary rate ranges (approximately 5%) between the classes of Top Step Sergeant including all pay additives available to this classification and Police Commander "D" Step including Supervisory Post Additive (minimum 5%) and Bilingual Pay Additive. 6. The City and Association agree that upon the expiration of this MOU and during the period of good faith negotiations for a subsequent contract, salary and benefits shall continue at the then current rate. Although there are some retroactive compensation adjustments included in this 2018-2021 MOU, all compensation adjustments provided for in this MOU shall apply only to those employees who are employed on the day in which the City Council approves this MOU. This applies to compensation adjustments in any Article of this MOU. B. The parties agree that the City may, at its sole discretion, alter its payroll practices to eliminate the salary and wage step increases system as set forth in its current payroll matrix, as outlined in the City's salary schedule, as periodically updated and published by the City, and replace them with an equivalent percentage system. For example, a five (5) salary rate range increase would not be computed as set forth on the current matrix, but would instead be exactly 2.5%, rounded up to or down to the nearest penny. This system would apply to all salary increases as set forth in this MOU, including Article fV ("Salaries"), Article V ("Assignment and Other Special Pay Additives") and the rate ranges assigned to the classifications represented by this bargaining unit. There shall be no negative consequences to any represented employee by such conversion. C. The City agrees, during the terns of this MOU, to maintain thirty-four (34) salary rate ranges (17%) between the classes of Deputy Chief of Police and Police Commander. 4.4 Application of Basic Compensation Plan. All employees working in classifications of employment covered by this MOU shall be compensated at a monthly rate, as set forth in the City's salary schedule, as periodically updated and published by the City. 4.5 Beginning Rates. An employee appointed to one of the designated sworn (CalPERS "Safety") classifications of employment listed in this MOU maybe placed by the appointing authority at Step "A," Step `B," Step "C", or Step "D" within the applicable rate range in the #11140v2 55F-15 schedule to which the class has been allocated by Resolution of the City, provided that such employee shall be assigned such salary step upon the commencement of his or her service in said classification and such assignment having once been made shall remain in effect until the said employee shall be entitled to advance to the next salary step in accordance with the further provisions of the Article. An employee appointed to one of the designated non -sworn (CalPERS "Miscellaneous") classifications of employment listed in this MOU maybe placed by the appointing authority at Step "AA", Step "A", Step `B", or Step "C" within the applicable salary rate range as provided above. 4.6 Service. The word "service" as used in this MOU shall be deemed to mean continuous, full- time service in the classification in which the employee is being considered for salary advancement, service in ahigher classification or service in a classification allocated to the same salary rate range and having generally similar duties and requirements. Employees hired after the first (V) working day of the month shall not be credited with "time in service" for that month when determining the length of service required for salary step advancement. A lapse of service by an employee for aperiod of time longer than ten (10) calendar days by reason of resignation, quit, or discharge, shall serve to eliminate the accumulated length of service time of such employee for the purpose of this MOU and any such employee reentering the service of the City shall be considered as a new employee, except that he or she may be reemployed within two (2) years and placed in the same salary step in the appropriate salary rate as he or she was at the time of termination of employment. "Resignation, quit, or discharge" for purposes of this section shall mean leaving City service altogether and not movement within City employment by way of transfer, promotion, or demotion between and among any City departments. 4.7 Advancement Within Ranges. The following regulations shall govern salary advancement within rate ranges: A. For any employee covered by this MOU who has been initially appointed to a step lower than Step "E," advancement to the next higher step (Step "A" from Step "AA," Step `B" from Step "A," Step "C" from Step `B " Step "D" from Step "C," or Step "E" from Step "D" respectively) shall be granted for continued satisfactory and efficient service by said employee in the effective performance of the duties of his or her position. The effective date of an increase from Step "AA" to Step "A," if granted shall be the first (V) day of the month following the completion of six (6) months of service at Step "AA." The effective date of such step increase from Step "A," Step `B," Step "C," Step "D", or Step "E" if granted, shall be the first (I") day of the month following the completion of one (1) year of service at the step to which said employee is being advanced. 8 #11140v2 55F-16 Such merit advancement shall require the following: 1. There shall be on file in the Office of the Executive Director of Human Resources a copy of each periodic efficiency orperformance report required to be made on the employee by the Civil Service Rules and Regulations and/or the City Manager during the period of service time of such employee subsequent to his or her last salary advancement. 2. The Police Chief, at least twenty (20) calendar days prior to the anticipated completion of such employee's required length of service, shall file with the City Manager a statement recommending the granting or denial of the step increase and supporting such a recommendation with specific reasons therefore. The employee shall be notified of the reasons therefore. 3. No advancement in salary above the lowest step in the salaryrate range of the designated classification shall become effective until approved by the City Manager, except when placement on a salary step above the lowest step in the applicable salary rate range results from promotion under the provisions of Section 4.9 of this Article. B. When any such employee has not been approved for advancement to the next higher salary step, he or she may be reconsidered for advancement to the next higher step above his or her then current step after the completion of three (3) months of additional service and shall be reconsidered for such advancement after the completion of six (6) months of additional service. 4.8. Performance Based Salary Adjustments: Each Non -Sworn employee covered by this MOU who has attained Step ` D" may be eligible to receive an annual performance bonus as a one-time monetary incentive payment based on apercentage of current annual rate of base salary in accordance with the following criteria in Section 4.8A-C below. Effective July 1, 2019 through December 31, 2020, eligible Sworn employees covered by this MOU who have attained Step "D" or "E" may be eligible to receive an annual performance bonus and/or a merit step advancement as defined in Section 4.7 of this MOU. On December 31, 2020, this provision will sunset. Beginning January 1, 2021, Sworn employees covered by this MOU may be eligible only for an annual performance bonus who have attained Step E. Annual performance bonuses are a one-time monetary incentive payment based on apercentage of current annual base salary in accordance with the criteria in Section 4.8A-C below. 9 #11140v2 55F-17 A. Performance Levels 1. For overall performance rated as `5' Significantly Exceeds Expectations, a one-time monetary incentive payment of five percent (5%). 2. For overall performance rated as `4' Exceeds Expectations, a one-time monetary incentive payment of two and one-half percent (2.5%). 3. For overall performance rated as `3' Meets Expectations, no monetary incentive payment. 4. For overall performance rated as `2' Below Expectations, no monetary incentive payment. 5. For overall performance rated as `1' Significantly Below Expectations, no monetary incentive payment. B. Upon an employee failing to receive arating of "Significantly Exceeds Expectations" in their Annual Performance Evaluation, the supervisor shall promptly prepare a written document which details objectives the employee must meet in order to receive a "Significantly Exceeds Expectations" rating for that evaluation period and provide that document to the employee. The employee's evaluation will be held in abeyance for a period no longer than 90 days, allowing the employee time to attempt to achieve the objectives. During this time any Performance Based Salary Adjustment for an "Exceeds Expectations," if awarded, shall not be processed. If the employee fails to achieve arating of "Significantly Exceeds Expectations" within the 90dayperiod, he/she will not be eligible for the "Significantly Exceeds Expectations" bonus for that rating period. C. Application of Guidelines 1. Any one-time incentive payment granted under this plan is not an increase in base salary and no salary rate range applicable to any Association employee covered by this MOU shall be changed or deemed to have been changed by reason of such payment. However, such incentive payment for Classic Ca1PERS members as allowable under CCR Section 571awill be reported to Ca1PERS as special compensation for calculation towards retirement. 2. hi the event that Ca1PERS determines that such payments do not meet the definitions listed in CCR Section 571a as special compensation to be reported 10 #11140v2 55F-18 to CalPERS, the City will convert the incentive payment for eligible employees to a meritorious step on the salary range as set forth in section 4.8C (7) below. 3. Any Association employee that is deemed to be a "New CAPERS Member" is not eligible to have the incentive payment reported to CalPERS as special compensation. See, Government Code section 7522.34(c) and PERS circular 200-064-17 dated December 6, 2017, a bonus is not "PERSable" compensation for new members. 4. Any Association employee that is off on IOD or other leave of absence whose Performance Appraisal date occurs while off work will have their appraisal date adjusted when returning to work for the time not worked. The employee will not be eligible for the incentive bonus payment until completing the required time in their regular position necessary to be evaluated per current departmental policy. 5. Performance based monetary incentive payment amounts for Association personnel shall be recommended by the employee's Supervisor and requires the approval of both the Police Chief and City Manager. 6. The Police Chief shall be responsible for the development and administration of detailed administrative procedures and guidelines for the consistent and effective application of the Association performance appraisal evaluation criteria. Such procedures and guidelines shall define how performance objectives, measure and standards are developed; when and how performance reviews are to be carried out; how overall performance ratings will be determined; and how performance based monetary incentive payment options are to be exercised. If it is determined by PERS that the "Bonus" is not eligible to be included as PERSable compensation, the City shall convert the bonus to two (2) additional merit based steps at increments of 2.5% for the last year that the employee earned the Bonus. The Association understands and agrees that these steps would be merit based and employees must maintain a Significantly Exceeds Rating to receive or maintain the 5% or Exceeds expectations rating to receive or maintain the 2.5%. Employees who do not receive Significantly Exceeds rating or Exceeds Expectations rating will be returned to Step 4 of the Association salary schedule. 4.9 Promotional Salary Advancement. When an employee is promoted to aposition in ahigher classification from a position in a lower classification, he or she shall be reassigned to the 11 #11140v2 55F-19 lowest step in the appropriate salary rate range for the higher classification that gives the employee a minimum increase of one (1) salary step (approximately 5%) over his or her current base salary step (plus any pay for performance bonus if said employee was at top step in their current classification) and exclusive of any pay additive or additives such as shift differential, assignment pay, special skill pay or the like. 4.10 Demotion. When an employee is demoted to aposition in a lower classification, his or her salary rate shall be fixed in the appropriate salary rate range for the lower classification in accordance with the following provisions: A. The salary rate shall be reduced by at least one (1) step. B. The new salary rate must be within the appropriate salary rate range. C. The new salary rate shall not be higher than the salary step to which the employee would have been entitled had his or her service time in the higher classification been spent in the lower classification. 4.11 Reallocation of Salary Rate Ranges. Any employee who is employed in a classification which is reallocated to a different salary rate range from that previously assigned shall be retained in the same salary step in the new salary rate range as he or she had previously held in the prior rate range and shall retain credit for length of service in such step towards advancement to the next higher step. 12 #11140v2 55F-20 ARTICLE V 5.0 ASSIGNMENT & OTHER SPECIAL PAY ADDITIVES 5.1 Bilingual Assignment Pay. An employee who speaks both English and either Spanish, Samoan, Vietnamese or other languages designated by the Police Chief, will be paid a monthly assignment pay differential in accordance with the criteria and amounts set forth below: A. Any Deputy Chief of Police or Police Captain who has been certified by the Executive Director of Human Resources as having satisfactorily demonstrated conversational fluency in both languages shall be paid a monthly differential of one hundred seventy-five ($175) above his or her then current base monthly salary step. B. Any other member of the Association who works in a position where it has been determined by the Police Chief that bilingual proficiency is essential to carry out duties and responsibilities of a critical and/or emergency nature without ready access to backup assistance, or positions where bilingual public contact is a major and essential element of the work being performed, as determined by the Police Chief or his or her designee, shall be paid a monthly differential of one hundred seventy five ($175) above his or her then current base monthly salary step, upon certification by the Executive Director of Human Resources that this person has satisfactorily demonstrated conversational fluency in both languages. 13 #11140v2 55F-21 ARTICLE VI 6.0 EDUCATIONAL INCENTIVE PROGRAM 6.1 Effective July 1, 2019, all eligible members ofPMA currently receiving Educational Incentives listed in Section 6.1A—I (as described below) as of July 1, 2019 will be "grandfathered in" to continue to receive those incentives but no other members of the association will be able to participate in this educational incentive. hi no event shall the application of this Educational Incentive program described in Section 6.1 result in an employee being eligible to earn more than ten percent (10%) above his or her then current base monthly salary step. A. FBI National Academy. Any employee covered by this MOU who successfully completes the FBI National Academy shall be paid at a rate set ten (10) salary rate ranges (approximately 5%) above his or her then current base monthly salary step. B. California Command College. Any employee covered by this MOU who successfully completes the California Command College shall be paid at arate set ten (10) salary rate ranges (approximately 5%) above his or her then current base monthly salary step. C. LAPD Leadership Program. Any employee covered by this MOU who successfully completes the LAPD Leadership Program shall be paid at a rate set five (5) salary rate ranges (approximately 2.5%) above his or her then current base monthly salary step. D. Police Executive Research Forum WERE) Senior Management Institute for Police. Any employee covered by this MOU who successfully completes the Senior Management Institute for Police shall be paid at arate set five (5) salary rate ranges (approximately 2.5%) above his or her then current base monthly salary step. E. FBI National Academy (LEEDS Program). Any employee covered by this MOU who successfully completes the FBI LEEDS Program shall be paid at a rate set five (5) salary rate ranges (approximately 2.5%) above his or her then current base monthly salary step. International Association of Chiefs of Police. Any employee covered by this MOU who successfully completes the Leadership in Police Organizations Program shall be paid at a rate set five (5) salary rate ranges (approximately 2.5%) above his or her then current base monthly salary step. G. Homeland Security Executive Leaders Program. Any employee covered by this 14 #11140v2 55F-22 MOU who successfully completes the Homeland Security Executive Leaders Program shall be paid at a rate set five (5) salary rate ranges (approximately 2.5%) above his or her then current base monthly salary step. H. Advanced Leadership Program. The advanced leadership courses listed below represent curriculum that exceed minimum training mandates for law enforcement managers. The subject matter addresses a variety of critical topics associated with advanced organizational development and the role of leaders within the organization. All courses are applicable to sworn and civilian managers. Any employee covered by this MOU who successfully completes a cumulative total of 112 hours of the below listed advanced leadership courses shall be paid at a rate set five (5) salary rate ranges (approximately 2.5 %) above his other then current base monthly salary step. Leadership Courses Hours Command Institute for Law Enforcement Executives F.B.I. — LEEDA 40 Contemporary Leadership Issues (F.B.I. — LEEDA) 32 Executive Development Course (P.O.S.T.) 80 Management Civilian Seminar Part I(P.O.S.T.) 24 Management Civilian Seminar (Part 11) P.O.S.T. 24 Organizational Leadership (P.O.S.T.) 40 Police Management Seminar Advanced P.O.S.T. 24 Supervisor Leadership Institute (F.B.I. — LEEDA) 40 POST Management Update 24 POST Supervisory Update 24 FBI-LEEDA Executive Survival 32 Role of the Police Chief 40 POST Supervisory/Leadership Update 24 Effective Executive Communication 24 Police Management Seminar Advanced 24 Civilian Management Seminar 40 Advanced Civilian Management 24 Additional Courses. Any other course, 24 hours or longer, which focuses on developing leadership skills or increasing knowledge of contemporary law enforcement issues of amanagement/executive nature, or which enhances knowledge of community policing strategies or trends, shall be reviewed and approved by the Chief of Police after he/she ensures that the above criteria are met. 6.2 Educational Incentive Program: Effective July 1, 2019 for all members covered by this MOU, including Current PMA members, employees hired or promoted into the 15 #11140v2 55F-23 PMA unit on or after July 1, 2019, shall not be eligible for the Educational Incentives Program described in Section 6.1 A -I (above) but shall now be eligible for the Education Incentives listed in this section of this MOU. Those that were previously receiving incentives in Section 6.1 A -I that qualify for the provisions in this section on or after July 1, 2019, shall not be eligible for both, only the greater benefit of the two. A. SWORN ONLY Sworn employees may only qualify for one (1) Education Incentive Level at one time and not intended to be compounded with one another. Level 1 - Any sworn employee covered by this MOU who successfully obtains his/her Supervisory POST certificate, shall be paid at a rate set ten (10) salary rate ranges (approximately 5 %) above his or her then current base monthly salary step (cap=5%). 2. Level 2 - Any sworn employee covered by this MOU who successfully obtains his/her Supervisory POST AND California Command College OR FBI National Academy shall be paid at twenty (20) salary rate ranges (approximately 10%) above his or her then current base monthly salary step (cap=10%). 3. Level 3 - Any sworn employee covered by this MOU who attains their MA/MS Degree AND Supervisory POST shall be paid at twenty (20) salary rate ranges (approximately 10%) on above his or her then current base monthly salary step (cap 10%). 4. Level 4- Any sworn employee covered by this MOU who attains their MA/MS Degree AND Supervisory POST AND California Command College OR FBI National Academy shall be paid at thirty (30) salary rate ranges (approximately 15%) on above his or her then current base monthly salary step (cap 15%). B. NON -SWORN 1. Any non -sworn employee covered by this MOU who successfully attains a Masters of Art or Master of Science degree shall be paid at arate set ten (10) salary rate ranges (approximately 5%) above his or her then current base monthly salary step (cap=5%). 16 #11140v2 55F-24 ARTICLE VII 7.0 TRAINING & EDUCATIONAL ASSISTANCE PROGRAM 7.1 Purpose. A. To encourage the employees of the City of Santa Ana to take college courses and special training courses, which will better enable them to perform their present duties and prepare them for increased responsibilities. B. To provide financial assistance to eligible employees for education and training. C. To establish eligibility requirements, conditions and procedures whereby such assistance may be provided. 7.2 Eligibility (Updated effective Julv 1, 2019). A. Application for tuition reimbursement will be considered only from full-time, regular City employees covered by this MOU who have completed probation. B. Reimbursement is not authorized for courses for which the employee is receiving financial assistance from other sources such as the G.I. Bill, scholarships, etc. C. Applications will be approved only for courses directly related to the employee's job or directly related to apromotional position in the employee's occupational specialty. D. Courses not ostensibly related to the employee's job, but which are required in the course plan to qualify for a degree that is directly related to his job, may be reimbursable only after all required, occupationally -related courses have been completed E. Prior to receiving tuition reimbursement, employees must submit documentary proof of having received a grade of not less than "C" for the course. If objective ratings are not rendered for a specific course, then a certificate of successful completion must be submitted. F. Approval will be limited to courses given by accredited colleges and universities, city colleges or adult education courses under the sponsorship of a Board of Education and certain non -collegiate training seminars approved by the Police Chief. Other workshops, seminars, conferences and similar activities not identifiable as aformal course of instruction within the curriculum of arecognized educational institution do not fall within the purview of this program but may be authorized and funded by the 17 #11140v2 55F-25 Police Department with prior approval of the Police Chief. 7.3 Reimbursement (updated effective July 1, 2019). A. Reimbursement will be based on the cost of tuition or registration fees and all required texts and related material for each course. Additional expenses such as meals and parking fees are not reimbursable. If, however, an employee is required by the Police Chief to attend aparticular course or seminar, the expense shall be borne entirely by the Department. B. Costs for required textbooks are eligible for one hundred percent (100%) reimbursement subject to the following conditions: 1. That a duplicate of the required textbook(s) was unavailable for loan from the Department library prior to the commencement of coursework; and 2. That any textbook(s) purchased by the City shall be submitted to the employee's Departmental library in order that such textbook(s) may be made available to all employees. C. Tuition and registration costs are eligible for one hundred percent (100%) reimbursement up to a maximum total of two thousand dollars ($2,000) per fiscalyear (including non-P.O.S.T. reimbursable courses and approved non -collegiate seminar training courses). Reimbursement for non -collegiate seminar training courses require the prior approval of the Police Chief and shall be limited to two (2) such courses per year and a maximum of $500 per course. 7.4 Procedures. A. An employee who desires to seek tuition reimbursement under the provisions of this Article must complete, in duplicate, an Application for Training and Educational Assistance form and submit it to the Police Chief. B. The Police Chief will recommend approval or disapproval and forward the application to the Human Resources Department. C. The Executive Director of Human Resources will approve or disapprove the application for the City. One (1) copy will be returned to the employee and the duplicate will be retained by the Human Resources Department. It is advisable that the applicant accomplish the procedure so far described prior to the inception of the 18 #11140v2 55F-26 course or disbursement of personal funds in order to ascertain the eligibility of the intended course of instruction for reimbursement under the provisions of this policy. D. The employee will submit his or her copy of the approved application to the Human Resources Department within three (3) months after he or she has completed the course and received his or her final grade with appropriate receipts for tuition and textbook costs. These will be returned to the employee upon request. Applications not submitted to the Human Resources Department within three (3) months following completion of the course become void. E. Upon receipt of the application and required documentation, the Executive Director of Human Resources will compute the amount of reimbursement, authenticate the application and forward it to the Police Chief. F. The Police Chief will then authorize the Finance and Management Services Department to reimburse the employee the approved amount out of the budget of the Police Department. 19 #11140v2 55F-27 ARTICLE VIII 8.0 OVERTIME 8.1 Compensation for Overtime. Employees in any of the designated classes of employment listed in this MOU are not eligible for monetary compensation for overtime work or for compensatory time off with pay for overtime work, unless so required by the Fair Labor Standards Act, or any other State or Federal laws. 20 #11140v2 55F-28 ARTICLE IX 9.0 HOLIDAYS 9.1 Legal Holidays observed by full-time permanent and probationary employees of the City of Santa Ana are as follows: o January I`- New Year's Day o Third (3Td) Monday in January - hi observance of Martin Luther King, Jr's Birthday o Third (3Td) Monday in February - hi observance of Presidents' Day o Last Monday in May - hi commemoration of Memorial Day o July 4d' - hi observance of Independence Day o First (I") Monday of September - hi observance of Labor Day o November l ld' - hi observance of Veteran's Day o Fourth (01) Thursday in November - hi observance of Thanksgiving Day o The Friday immediately following Thanksgiving Day o Last working day before Christmas Day, unless Christmas Day falls on Thursday, in which instance, the day following Christmas Day shall be observed in lieu thereof. o December 25d' - hi observance of Christmas Day o One (1) Floating Holiday - Any workday selected by the employee with prior permission of the employee's supervisor. o Every day proclaimed by the Mayor of the City as aholiday for City employees. Any holiday which falls on a Sunday will be observed on the following Monday. Any holiday which falls on a Saturday will be observed on the Friday preceding the holiday. 9.2 Full-time permanent and probationary employees covered by this MOU shall be entitled to receive twelve (12) working days off, eight (8) hours per day, during the calendar year in lieu of the holiday benefits specified in Section 9.1, supra. Therefore, employees with alternative work schedules shall be credited with ninety-six (96) hours of Holiday Time at the beginning 21 #11140v2 55F-29 of every calendar year in lieu of twelve (12) holidays in the year. For purposes of computing holiday accruals, an eight (8) hour day shall be the basis for computation. Said substitute holidays may be taken at any time during the calendar year with prior permission of the employee's supervisor and subject to the operational needs of the Department. However, if an employee who separates from the service of the City has taken time off for holidays in advance of the date or day the holidays actually occur, he or she must pay the City the cash value for such used but unearned holiday time off benefits prior to or at the time of separation. 9.3 A employee must actually work at least one (1) day preceding the day a holiday listed in Section 9.1, supra, actually occurs in order to receive credit for such holiday during the month in which it occurs. An employee separating from the service of the City must actually work at least one (1) day following the day a holiday listed in Section 9.1, supra, actually occurs in order to receive compensation for the holiday. A newly appointed employee must complete six (6) months of continuous full-time service in order to receive credit for the Floating Holiday listed in Section 9.1 above. 9.4 Holiday time off may be taken in 30-minute increments. 9.5 Holiday benefits may not be carried over from one (1) calendar year to the next. 9.6 Leave Cash Oration. Employees covered by this MOU may cash out a combination of holiday, vacation, and management vacation leaves, up to a maximum of 260 hours in a calendar year. A. Holiday Leave: Employees may receive cash compensation, computed on a straight time basis, up to a maximum of eighty (80) hours of their holiday leave benefits, including the floating holiday, set forth in Section 9.2 above. B. Vacation Leave: 1. Employees may receive cash compensation, computed on a straight time basis, for up to a maximum of 150 hours of earned, unused vacation leave benefits, set forth in Sections 10.2D herein. 22 #11140v2 55F-30 2. Effective December 31, 2019, "must -use" vacation earned in the current calendar year over the max carry-over limit will be cashed out as specified in Article 10.2 C 2 and 3. This requires an employee to take at a minimum eighty (80) hours of vacation leave within the calendar year in order to receive cash out of max carry over hours. If employee does not take eighty (80) hours of vacation leave in the calendar year, the employee will not receive cash -out or carry-over into next calendar year as indicated in Section 10.2 C.2. C. Management Vacation Leave: Employees may receive cash compensation, computed on a straight time basis, up to a maximum of 150 hours of earned, unused management vacation leave benefits, set forth in Section 10.3 herein. Employees covered by this MOU shall accrue 100 hours of management vacation per year. Such cash option may be eliminated or modified to the extent it is construed as overtime under Department of Labor Guidelines implementing provisions of the Fair Labor Standards Act. D. Association members who notify the City, in writing, of their intent to retire within 12 calendar months shall be allowed to cash out any and all eligible leave bank balances, including sick leave, upon request. Employees shall receive payment as soon as practical, and no longer than 30 days after the request has been made. If an employee cashes out his or her eligible leave bank balances prior to retirement and subsequently remains employed one year after their initial notice of intent to retire, said employee shall be ineligible to accrue 100 hours of management vacation the next calendar year. 23 #11140v2 55F-31 ARTICLE X 10.0 VACATION 10.1 Purpose. It is the policy of the City to grant employees vacation leave in order to provide them with a break in their regular work schedule and this purpose will be used as a guide in the administration of the provisions of this Article. 10.2 Vacation. A. Effective January 1, 2016, the regular and longevity vacation accruals of bargaining unit members were combined into one single vacation bank. The accrual rates remained the same. Members shall accrue the combined vacation with pay on a monthly basis as set forth in the following table. Completed Years Annual Vacation Accrued Monthly Accrual Rate 1 120 10.00 2 120 10.00 3 120 10.00 4 120 10.00 5 120 10.00 6 124 10.33 7 128 10.67 8 132 11.00 9 136 11.33 10 140 11.67 11 144 12.00 12 148 12.33 13 152 12.67 14 156 13.00 15 160 13.33 16 168 14.00 17 176 14.67 18 184 15.33 19 192 16.00 20 or more 200 16.67 B. Vacation time off may be taken in increments as small as one (1) hour, with 24 #11140v2 55F-32 fractional usage rounded upward to the next higher multiple of one (1). C. Computing Regular Vacation. 1. In computing vacation, each municipal holiday that occurs during the vacation, and that falls on a day which the employee would have worked had he or she not been on vacation, shall be deducted from the computation so that one (1) additional day of vacation shall be allowed to the employee. Should an employee be confined to a hospital for sickness or injury while on authorized vacation, each full day of such confinement, when confirmed by aphysician's statement and approval of the Police Chief, may be deducted from the computation of vacation expended and charged against the employee's accumulated sick leave. 2. No employee may carry over from one (1) calendar year to the next, more than the maximum vacation carryover as set forth in the following table. Beginning December 31, 2019, and each December 3 1 " thereafter, any vacation not used beyond the maximum carryover amount from the current calendar year will be cashed out at the employee's base rate of pay by the City at the end of the current calendar year provided that the employee takes a minimum of eighty (80) hours of accrued vacation leave time off in that calendar year. 3. Any employee that does not take a minimum of eighty (80) hours of vacation leave hours during the calendar year beyond the maximum carryover amount as described in this section 10.2.C.2., the hours beyond the maximum carry over amount from year to year will be forfeited, meaning that no pay shall be received for such unused vacation at any time. This provision constitutes a waiver of any rights to vested vacation benefits under California Labor Code section 227.3. #11140v2 Completed Years Max Carryover 1 120 2 240 3 240 4 240 5 240 6 244 7 252 8 260 9 268 10 276 25 55F-33 11 284 12 292 13 300 14 308 15 316 16 328 17 344 18 360 19 376 20 392 21 400 22 400 23 400 24 400 25 400 4. Employees may or may not be allowed or required to accumulate or split vacations. The time at which an employee shall take his or her vacation shall be determined by seniority within rank, with due regard for the needs of the service. For purposes of computing vacation accruals, an eight (8) hour day shall be the basis for computation. D. Leave Cash Orations. Refer to Section 9.6.B.1-2 of this MOU for details. 10.3 Management Vacation Benefit. All employees covered by this MOU will be granted one hundred (100) hours of management vacation per calendar year over the vacation schedules. Employees may accrue a maximum of 480 hours of such Management Vacation. 10.4 Effect of Extended Sick Leave on Vacation Accrual. An employee that is absent on paid sick leave or unpaid leave for aperiod of time greater than fifteen (15) consecutive calendar days in any one (1) calendar month shall not accrue vacation credits during that month. 26 #11140v2 55F-34 ARTICLE XI 11.0 OTHER LEAVES OF ABSENCE 11.1 Sick Leave. A. Definition. Except as otherwise provided below, sick leave shall be deemed to mean absence from duty of an employee because of illness or injury that prevents the employee from performing the duties of his or her position, and shall be deemed to include time in quarantine resulting from exposure to a contagious disease. B. Accrual. Each employee shall be entitled to, and shall earn, eight (8) hours of sick leave for each full calendar month of service in which he is employed by the City with full pay; provided, however, any absence on sick leave for a period of time greater than fifteen (15) consecutive calendar days in any one (1) calendar month shall not be considered to be service entitling an employee to earn sick leave as aforesaid. Subject to the other provisions in this Article, sick leave shall accrue to the credit of each employee to the extent that it is not used. Notwithstanding the foregoing, an employee on leave of absence for service -connected illness or injury who is covered by the provisions of Labor Code Section 4850, shall continue to accumulate eight (8) hours of sick leave for each full calendar month of service for which he or she is employed by the City with full pay during said absence for service - connected illness or injury. For purposes of computing sick leave accruals, an eight (8) hour day shall be the basis for computation. C. Authorized Only When Necessary. Sick leave is not aright which an employee may use at his or her discretion, but shall be allowed only in cases of necessity and actual sickness or disability, or as authorized in Subsection J below. When an accepted industrial illness or injury has caused a non -sworn employee's absence, for which benefits are required under the State Workers' Compensation Insurance and Safety Act, paid sick leave will be allowed such employee during the first three (3) days of the statutory waiting period. If the workers' compensation related illness or injury continues past the initial three (3) consecutive days, the employee will have the three (3) used sick days recredited to his or her account. Paid sick leave will continue until the fourth (01) day when the City pays the employee workers' compensation benefits for such illness or injury. If the employee does not have sufficient accumulated sick leave at the commencement of such industrial illness or injury, they will be advanced sick leave for this purpose. Subsequently, the City will deduct an equal amount previously advanced from any sick leave accrued by the employee until the total amount is recovered. If the employee terminates before recovery of all advanced sick leave, the City will deduct the unrecovered cost 27 #11140v2 55F-35 of sick leave from such terminated employee's final paycheck, to the extent possible. The City may authorize employees to use sick leave, vacation, or compensatory time for approved workers' compensation medical appointments as specified herein. The City may authorize use of such leave for City approved medical appointments whenever such appointments cannot be secured outside the employee's regular workday, and salary continuation or workers' compensation benefits are not available. D. Limit. The maximum total accumulation of sick leave with pay shall be 2,000 hours. Sick leave usage of less than a full day shall be charged in minimum increments of one (1) hour, with fractional usage rounded upward to the next higher multiple of one (1). E. Extended. The City Manager may grant leave up to six (6) months without pay to an employee who has exhausted all of his accrued sick leave if a licensed physician indicates that the employee will be sufficiently recovered to return to his employment within a six (6) month period. Prior to the expiration of the additional time, the employee may return to his position provided that the employee has acertificate from a licensed physician stating that the employee is able to perform all the duties of his position without qualification. In addition to the above, the City Manager may grant a further extension not to exceed a total of one (1) year without pay. F. Extension by Use of Vacation. After an employee's sick leave has been exhausted, he or she may be granted permission to take any earned vacation he or she may have accrued. G. Notice. The employee taking sick leave shall notify his or her immediate supervisor as established by the Police Department regulations. When the absence is more than three (3) consecutive working days, the employee must present to the Police Chief a physician's certificate stating that, in the physician's opinion, the employee could not report to work because of such illness or injury and that the employee is sufficiently recovered to safely return to work. Such certificate shall be transmitted to the Human Resources Department with the report of the employee's return to work. A physician's certificate or other satisfactory written evidence of actual illness or injury may be required after an absence of any duration less than three (3) days. H. Denial. No employee shall be entitled to sick leave with pay while absent from duty because of sickness or injury purposely self-inflicted or caused by willful misconduct; or, sickness or disability sustained while engaged in employment other than employment by the City, for monetary gain or other compensation, or by reason of engaging in business or activity for monetary gain or other compensation. 28 #11140v2 55F-36 Excess Usage. If sick leave is used in excess of that due and available to an employee, such excess sick leave will, first, be deducted from any available vacation leave benefit; finally, deducted from the next scheduled salary payment. J. Personal Necessity Leave. Each employee shall be afforded the opportunity to use up to 48 hours of sick leave per calendar year, on a non -cumulative basis, as personal necessity leave. All of this personal necessity leave may be used to attend to an illness of a child, parent, spouse, or registered domestic partner of the employee. As used in this section, a child means abiological, foster, or adopted child, a stepchild, a legal ward, or a child of a person standing in loco parentis; and a parent means a biological, foster, adoptive parent, a stepparent, or a legal guardian of an employee or the employee's spouse or registered domestic partner, or aperson who stood in loco parentis when the employee was a minor child. This section also applies to the employee's grandparent, grandchild, or sibling. California's Healthy Workplaces/Healthy Families Act of 2014 (AB1522) also known as California's Paid Sick Leave Law, required the City to provide paid sick leave to eligible employees upon oral or written request, within the parameters of the law, for the following purposes: Diagnosis, care, or treatment of an existing health condition of, or preventative care for an employee or an employee's qualified family member; Specified purposes for an employee who is a victim or domestic violence, sexual assault, or stalking. Up to three (3) days of this personal necessity leave may be used: (a) to attend to a serious accident to members of the employee's immediate family; (b) childbirth; (c) to cope with imminent danger to the employee's home or other valuable property; or (d) when the existence of external circumstances beyond the employee's control make it impractical for him or her to report for duty. For the purposes of this section only, a "day" shall be defined as the number of hours of work that an employee is required to work according to his or her specific workday schedule. K. Payment for Unused Sick Leave. (effective upon adoption of this MOU). 1. Payment criteria and limitations. Upon non -disciplinary termination of employment after ten (10) years of cumulative full-time service with the City, each qualified employee shall be entitled to the following cash out provisions below: a. After ten (10) years, but less than 15 years of service, the employee shall be entitled to 50% of the amount of unused sick leave benefits credited to 29 #11140v2 55F-37 his or her Retirement Health Savings (RHS) account upon the effective date of separation, not to exceed a maximum limit of 640 hours. b. After fifteen (15) years, but less than 20 years of service, the employee shall be entitled to 50% of unused sick leave benefits credited to his or her Retirement Health Savings (RHS) account upon the effective date of separation, not to exceed a maximum limit of 800 hours. c. After twenty (20) years, but less than 25 years of service, the employee shall be entitled to 66.67% of unused sick leave benefits credited to his or her Retirement Health Savings (RHS) account upon the effective date of separation, not to exceed a maximum limit of 1,067 hours. d. After twenty-five (25) years of service or more, the employee shall be entitled to 100% of the amount of unused sick leave benefits credited to his or her Retirement Health Savings (RHS) account upon the effective date of separation, not to exceed a maximum limit of 1,600 hours. 2. A lump sum payment shall be made to the beneficiaries of any eligible employee whose death occurs while such employee is an active employee of the City, such payment to be in the amount of two-thirds (2/3) of the total sick leave benefit credited to the employee's account at the time of his or her death, and at the rate of pay effective on the date of the death. 11.2 Bereavement Leave. An employee shall be granted up to three (3) days leave without loss of pay in case of death of a member of the employee's immediate family. For purposes of this Section only, a "day" shall be defined as the number of hours of work that an employee is required to work according to his/her specific workday schedule. Such leave is designated as bereavement leave. "Immediate family" as used in this section is limited to: A. Any relative by blood or marriage who is a member of the employee's household; B. A parent, parent -in-law, spouse, child, brother, sister, grandparent or grandchild of the employee, regardless of residence; C. Any other relative of the employee by blood or marriage where it can be established by the employee that as a result of such relative's death, the employee's presence is required. 11.3 Military Leave. A. Proof of Orders and Reinstatements. An employee shall be granted military leave if 30 #11140v2 55F-38 he or she furnishes the Executive Director of Human Resources satisfactory proof of his or her order to report for duty. Upon return and upon showing of proof of actual service pursuant to such orders, he or she will be reinstated as provided in Section 9- 143 of the Civil Service Rules and Regulations of the City of Santa Ana. B. Temporary. Members of the reserve forces of the United States or the National Guard, granted temporary leave when ordered to duty, in accordance with the Military and Veterans Code, will be granted leave with pay not to exceed thirty (30) working days in each calendar year after one (1) years' service with the City upon presenting satisfactory proof of orders to and from such temporary active duties. 11.4 Jury and Witness Leave. When an on -duty employee is called to serve as a juror or witness in any court action, he or she shall be allowed to leave for the time actually required for such service without loss of pay. Each on -duty employee called for such service shall present to the Police Chief for examination the subpoena calling him or her to such service and shall pay into the City Treasury the fees collected for such service, with the exception of reimbursement for transportation expenses, if any. 11.5 Examination Leave. Employees participating in examinations conducted during their normal working hours for positions in the competitive service of the City of Santa Ana will be granted leave with pay for the time actually required without loss of any accrued vacation time off benefits. 11.6 Unauthorized Absence. Unauthorized absence from duty for any duration of time may be considered cause for dismissal. 11.7 Authorized Absence Without Pay - Short Term. Absence without pay, not to exceed five (5) consecutive working days, may be authorized by the Police Chief. Absence without pay, not to exceed fifteen (15) calendar days, may be authorized by the Department with the approval of the City Manager. Such an absence may be authorized only if, in the judgment of the Police Chief, it serves the best interest of the City. 11.8 Authorized Absence Without Pay - Long Term. Upon receipt of awritten request from an employee having permanent status plus action by the Police Chief recommending approval of the request, the City Manager may grant a leave of absence without pay for up to six (6) months. An employee returning to duty with the City shall inform the Police Chief and the Executive Director of Human Resources of his or her intention at least thirty (30) calendar days prior to the expiration of the six (6) months period or a shorter period of the full six (6) months if not taken. Upon receipt of such notice, the Police Chief will take steps necessary to restore the employee to his or her former position. 31 #11140v2 55F-39 11.9 Industrial Leave. A. Each "safety member" employee covered by the provisions of Labor Code Section 4850 who is compelled to be absent from duty because of an illness or injury covered by the State of California Workers' Compensation Insurance and Safety Act shall, in lieu of temporary disability compensation payable under the aforementioned Act, continue to be paid his or her normal salary and accrue other benefits in accordance with the provisions of Labor Code Section 4850. B. Any period of time during which an employee is required to be absent from his or her position by reason of an industrial injury or industrial illness for which he or she is entitled to receive compensation shall not be considered abreakin continuous service for the purpose of his or her right to salary adjustments or to the accrual of vacation, seniority and any other benefits. 11.10 Administrative Leave Policy. The City Manager is authorized to grant, at his or her discretion, paid or unpaid administrative leave for employees covered by this MOU. 11.11 Catastrophic Leave Donation. In order to assist employees otherwise granted leave of absence without pay by the City Manager because of catastrophic non -industrial medical condition or injury, the City and Association agree to implement a Catastrophic Leave Donation procedure. Nothing herein shall be construed to alter City policies and procedures as provided in the Charter or ordinances of the City of Santa Ana or other provisions of this MOU with regard to granting unpaid leaves of absence. The Catastrophic Leave benefit will be provided for non -industrial injury or sickness only. The leave shall cover the uncompensated time prior to the employee becoming eligible for Long Term Disability (L.T.D). benefits. A. Guidelines. It shall be understood that all donations under this procedure are voluntary and subject to taxation for the recipient. 1. Employees may donate vacation or compensatory time or one in lieu holiday to the eligible employee. hi no event shall sick leave be donated. 2. Employees shall be provided a two -week period to submit donations. Donations received after this two -week period shall not be processed. The two -week period for each case shall be designated by the Police Chief or his designee as provided herein below. 32 #11140v2 55F-40 3. Donations shall be for a minimum of two (2) hours and a maximum of eight (8) hours per donor. All donations must be made in two (2) hour increments, except in lieu holidays must be for eight (8) hours. 4. Any authorization of donations not made in accordance with the procedures outlined in Section C, subparagraph 2 below, will not be processed. 5. All donations shall be irrevocable. 6. In the event the recipient returns to work before leave donations have been exhausted, any balance on the books shall be accrued by the recipient and designated as sick leave. B. Eligibility. Regular, full-time employees shall be eligible for Catastrophic Leave donations if the following criteria are met: 1. When it is reasonably foreseeable that all accrued time on the books, such as sick leave, compensatory time, vacation, and in lieu holidays, will be exhausted and the employee's illness will continue past the time when the employee will be on paid status. 2. The Police Chief or his/her designee has approved a written request for donations accompanied by a medical statement from the employee's attending physician. The attending physician's statement must verify the employee's need for an extended medical leave and an estimate of the time the employee will be unable to work. C. Procedure. Upon receipt of a valid request for donations from an eligible employee, the Police Chief or his or her designee shall post a notice of the eligible employee's need for donations on bulletin boards accessible to employees. No confidential medical information shall be included in the posted notice. Employees wishing to donate time to an eligible employee must sign his or her authorization of the transfer of such donated time and provide: 1. His/her name, department name, and employee number. 2. The number of hours of compensatory or vacation time of the donation within the limitations of Section A, subparagraph 3 above. 33 #11140v2 55F-41 #11140v2 3. The name, department and employee number of the recipient. 4. A statement indicating that the donor understands such donation of time is irrevocable. 34 55F-42 ARTICLE XII 12.0 EMPLOYEE INSURANCE 12.1 Health Insurance. The City shall contribute an allowance towards the employee's Cafeteria Benefit plan for health insurance premiums for affected employees and their dependents under The Public Employees' Medical & Hospital Care Act (PEMHCA) which governs the California Public Employees' Retirement System (CalPERS) Health Insurance Programs pursuant to the provisions below. A. The City will provide a monthly contribution to health insurance premiums at the following rates: • Employee Only $654.00 • Employee +1 $1,307.00 • Employee + Family $1,700.00 B. Any contribution necessary to maintain benefits under any health insurance program provided by the City for its employees and their eligible dependents in excess of the amount of the City contribution to the Cafeteria Benefit Plan specified above shall be borne entirely by the employee. C. For each such employee who is covered under a spouse's non -City sponsored health plan, the City will pay the employee a cash -in -lieu payment (subject to taxation as wages) each month in an amount equal to one hundred percent (100%) of the monthly premium amount for the City's lowest "employee -only" coverage, if said employee waives, in writing, City -paid coverage. If an employee waives City provided coverage, said employee shall provide proof of medical insurance coverage in a non -City -sponsored health plan. Said waiver shall include aprovision warning such employee that reentry into any of the City -sponsored plans is allowed only at open enrollment, unless there is a qualifying event, and may require proof of insurability for such employee and/or family. 12.2 Dental Insurance. The City agrees to contribute towards the Cafeteria Benefit Plan the payment of premiums for dental insurance plans provided by the City for employees covered by this MOU and their eligible dependents on the following basis: A. One hundred percent (100%) of the premium cost for "employee -only" coverage. B. Up to one hundred ten dollars ($110) per month per employee for "family" coverage. 35 #11140v2 55F-43 Any contribution necessary to maintain benefits under said dental plans in excess of the amount of the City contribution to the cafeteria plan specified above shall be borne entirely by the employee. For each such employee who is covered under a spouse's non -City sponsored dental plan, the City will pay the employee a cash -in -lieu payment (subject to taxation as wages) each month in an amount equal to one -hundred percent (100%) of the City's contribution, if the employee waives, in writing, City -paid coverage. Such waiver shall include a provision warning such employee that reentry into any City -sponsored plan is allowed only at open enrollment, unless there is a qualifying event, and may require proof of insurability for such employee and/or family. 12.3 Disability Insurance. The City shall continue to pay one hundred percent (100%) of the premium cost for a long terns disability insurance plan for employees covered by this MOU as said plan. Effective January 1, 2020, Police Management employees covered by this MOU shall receive a monthly benefit of sixty-six and two-thirds percent (66 2/3%) of their base monthly salary (to a maximum monthly benefit of $7,500). 12.4 Life Insurance. The City shall continue to pay one hundred percent (100%) of the premium cost for terns life insurance coverage under the policy it maintains on behalf of its officers and employees in order to provide employees covered by this MOU with life insurance coverage in an amount equal to twice such employee's annual rate of salaryto a maximum of three hundred thousand dollars ($300,000), provided said affected employees can provide evidence of insurability of coverage above one hundred fifty thousand dollars ($150,000) if so required by the terms and conditions of said terns life insurance policy. In the event any such employee is determined to be ineligible for said insurance coverage, the City will attempt to provide as much coverage as may be obtained at reasonable cost without having to provide evidence of insurability. 12.5 The City shall retain the right to change health, dental and life insurance carriers, administer the insurance benefits provided thereunder, and select and/or change any excess or supplemental insurance carriers as a part of any self-insurance plan during the terns of this MOU, provided that employees covered by this MOU continue to receive equivalent benefits and provided that the parties have met and conferred before the changes have been made. 12.6 Cafeteria Benefit Plan. The City provides a Cafeteria Benefit Plan adopted in accordance with the provisions of Internal Revenue Code § 125 for employees covered by this MOU. Affected employees will be eligible to receive cash (subject to taxation as wages) through the Cafeteria Benefit Plan if they either opt -out of receiving one of the optional benefits provided through the plan or if they choose optional benefits that do not cost as much as the maximum dollar amount they have received through the plan. 36 #11140v2 55F-44 If two City employees are married, at least one of the two employees must maintain insurance coverage. The amount of money that can be redesignated by the employee waiving coverage is limited to the value of the "employee -only" level within each type of insurance. hi the event the City experiences an adverse impact in rates due to utilization of the redesignation option, the City and PMA agree to meet and confer over the impact. 12.7 Medical Retirement SubsidyPlan. The City provides the "Vantage Care" Retirement Health Savings Plan ("RHS"), which designated ICMA-RC as the administrator of the plan. A. The City shall contribute two and three-quarter percent (2.75%) of base salary, plus pay additives. Effective July 1, 2019, the City shall contribute four (4%) percent of base salary, plus pay additives each pay period into the individual accounts of Association members established with the City's plan administrator ICMA-RC. 1. Employees covered by this MOU shall continue to contribute one half of one percent (.50%) of base salary, plus pay additives, each pay period into their individual RHS accounts established with plan administrator ICMA-RC. 2. hi addition to the contributions referenced above, an Association member may contribute unused sick leave, vacation, and other benefits to the trust as defined by the plan guidelines. 3. The program is not intended to create any form of lifetime insurance subsidy, benefit or entitlement. 12.8 Vision Insurance. The City shall maintain in effect its existing vision care plan through EyeMed, for employees covered by this MOU. This plan is voluntary on behalf of the employee and shall be fully funded by the participating employee. 37 #11140v2 55F-45 ARTICLE XIII 13.0 RESERVED 38 #11140v2 55F-46 ARTICLE XIV 14.0 RETIREMENT 14.1 General. The terms of the existing contract between the City and California Public Employees' Retirement System (CalPERS) governing the City retirement benefits of employees covered by this MOU are incorporated by reference herein. The City shall continue to make contributions to CalPERS in accordance with its contract with CalPERS for employees covered by said contract as amended. 14.2 Deferred Retirement. The City will continue to make payment to CalPERS on behalf of each affected employee, in an amount necessary to pay one hundred percent (100%) of his or her individual employee retirement contribution. Such payments shall be credited to the individual employee's CAPERS account. Such payments are not increases in base salary and no salary rate ranges applicable to any of the employees covered by this MOU shall be changed or deemed to have been changed by reason thereof. As a result, the City will not treat these payments as ordinary income and, thus will not withhold Federal or State income tax from said payments. The City has received an opinion or ruling from the Internal Revenue Service confirming that these payments are deferred compensation, and not ordinary income. For the purpose of reporting an employee's compensation to CAPERS, the City shall include these payments as if they were part of the employee's base salary. hi the event that the City receives a ruling from the Internal Revenue Service that such payments are ordinary income of the employees instead of deferred compensation, the City's obligation to make such payments shall discontinue and in place thereof the base salary of each said employee shall forthwith be increased by eighteen (18) salary rate ranges (approximately 9%) for "safety member" employees covered under the 3% at age 50 CalPERS formula and sixteen (16) salary rate ranges (approximately 8%) for all "miscellaneous member" employees covered under the 2.7% at age 55 CalPERS Formula. 14.3 1959 Survivor's Benefit. The City shall provide CalPERS fourth level of 1959 Survivor's Benefits to all eligible employees in the unit. 14.4 Pre -Retirement Optional Settlement 2 Death Benefit. The City shall provide the Pre - Retirement Optional Settlement 2 Death Benefit to all employees covered by this MOU. 14.5 2.7% at 55 Service Retirement Benefit for Classic Miscellaneous Members. The City agrees to continue to provide Classic Miscellaneous employees covered by this MOU who are defined as Classic Members under the California Public Employees' Pension Reform Act 39 #11140v2 55F-47 (PEPRA) of 2013 with the 2.7% at 55 Service Retirement benefit. Payment of 2.7% at 55 Service Retirement Benefit. Classic Miscellaneous employees covered by this MOU shall pay eight percent (8%) of CalPERS reportable compensation toward the employer cost of the 2.7% at 55 enhanced retirement formula. This payment shall be implemented as cost -sharing pursuant to Government Code section 20516(f). Pre -Taxable Benefit. To the extent permitted by CalPERS and Internal Revenue Service regulations, this eight percent (8%) employee contribution shall be implemented through payroll deductions on a pre-tax basis. 2% at 62 Retirement Benefit for New Miscellaneous Members. The City agrees to provide Miscellaneous employees covered by this MOU who are defined as New Members under PETRA, with the 2% at 62 Service Retirement benefit. The California Public Employees' Pension Reform Act (PEPRA) went into effect on January 1, 2013. The parties agree that if there is any other clean up or other retirement legislation which goes into effect during this MOU and if there are provisions of that legislation which, by law, automatically goes into effect, either party may request to negotiate over the legislation, including over the impact. Final compensation for New Miscellaneous Members will be based on the highest annual average compensation earnable during aperiod of at least thirty-six (36) consecutive months preceding the effective date of his or her retirement per Government Code Section 7522.32. Effective July 1, 2013, employees covered under the 2% at 62 retirement formula for Miscellaneous shall pay one half of the nornial cost rate, as established by CalPERS. 14.6 3% at 50 Service Retirement Benefit for Classic Safety Members. The City agrees to continue to provide Classic Safety employees covered by this MOU who are defined as Classic Members under the California Public Employees' Pension Reform Act (PEPRA) with the 3% at 50 Service Retirement benefit. Payment of 3% at 50 Service Retirement Benefit. Effective January 1, 2018, Classic Safety employees covered by this MOU shall pay twelve percent (12%) of CalPERS reportable compensation toward the employer cost of the 3% at 50 enhanced retirement formula. This payment shall be implemented as cost -sharing pursuant to Government Code Section 20516(f). Pre -Taxable Benefit. To the extent permitted by CalPERS and Internal Revenue Service regulations this twelve -percent (12%) employee contribution shall be implemented through payroll deduction on a pre-tax basis. 40 #11140v2 55F-48 2.7% k, 57 Retirement Benefit for New Safety Members. The City agrees to provide Safety employees covered by this MOU who are defined as New Members under PEPRA with the 2.7% (0),57 Service Retirement benefit. The California Public Employee's Pension Reform Act (PEPRA) went into effect on January 1, 2013. The parties agree that if there is any other clean up or other retirement legislation which goes into effect during this MOU and if there are provisions of that legislation which, by law, automatically goes into effect, either party may request to negotiate over the legislation, including over the impact. Final compensation for New Safety Members will be based on the highest annual average compensation earnable during a period of at least 36 consecutive months preceding the effective date of his or her retirement. per Government Code Section 7522.32. Effective July 1, 2013, employees covered under the 2.7% @ 57 retirement formula for Safety shall pay one half of the normal cost rate, as established by CalPERS. 14.7 Military Service Credit as Public Service. "Safety" employees and "miscellaneous" employees may elect to purchase up to four (4) years of service credit for any continuous active military or merchant marine service prior to employment. The employee must contribute an amount equal to the contribution for current and prior service that the employee and the employer would have made with respect to that period of service per Government Code Section 21024. 14.8 Credit for Unused Sick Leave at Retirement. All sworn and non -sworn employees covered by this MOU can have unused accumulated sick leave at the time of retirement converted to additional service credit at the rate of 0.004 years of service credit for each day, eight (8) hours per day, of unused sick leave (i.e., 200 days of sick leave equals .80 additional years of service credit), pursuant to regulations prescribed byPERS. Effective upon adoption of this MOU, the maximum total unused sick leave that can be converted shall be two -hundred fifty days (250) eight (8) hours working days equal to two thousand (2000) hours. Any accumulated sick leave in excess of 2000 hours shall be forfeited. The City must report only those hours of unused sick leave that were accrued by the employee during the normal course of employment. This section applies to members whose effective date of retirement is within four (4) months or 120 days of separation from employment. (Government Code Section 20965) 41 #11140v2 55F-49 ARTICLE XV 15.0 TECHNOLOGY STIPEND 15.1 The City shall provide a $75 a month Electronic Device Stipend ("Stipend") for those Association employees whose positions require the regular use of a cell phone and/or tablet and who choose to use their own personal devices for business -related conversations and activities. These employees may be eligible to receive a Stipend to compensate for business - related costs incurred while using their individually -owned electronic devices. Eligibility for the stipend requires the employee to return to the City any City issued electronic device for which the employee will be substituting his or her personal device. 42 #11140v2 55F-50 ARTICLE XVI 16.0 EXPANDED RESIDENCY 16.1 The City shall continue to permit employees covered by this MOU to reside outside the limits of Orange County, so long as such residency is not an unreasonable distance nor requires an unreasonable response time to the particular employee's place of employment. Any affected employee who desires to take advantage of the opportunity to reside outside of Orange County shall first request permission to do so from the Police Chief. Said request shall be granted by the Police Chief if it is determined that the intended residence is not an unreasonable distance nor requires an unreasonable response time to the employee's place of employment. Should the Police Chief refuse any such request, the employee shall have the right to appeal said determination to the City Manager for reconsideration. 43 #11140v2 55F-51 ARTICLE XVH 17.0 CONTROLLED PARKING AND TAKE HOME VEHICLE PRIVILEGES 17.1 Parking. The City shall provide non -sworn employees covered by this MOU with free parking for personal vehicles during on -duty hours in controlled parking facilities in the Civic Center area. 17.2 Take Home Vehicle. All employees in the classifications of Deputy Chief of Police and Police Commander shall receive a City -owned and maintained vehicle for traveling between the employee's residence and the Police Department or other business -related location, as necessary in the performance of his or her duties. 44 #11140v2 55F-52 ARTICLE XVIII 18.0 DISCIPLINE 18.1 An employee covered by this MOU may only be disciplined in accordance with the standards and procedures and subjects to all rights of appeal set forth in Section 1000d of the City Charter and Municipal Code Sections 9-9, 9-10, 9-118.1 et. seq. 18.2 hi addition, a new section shall be added to the Municipal Code to provide as follows: A. hi the event an employee is ordered to absent himself from the job based on probable cause and it is subsequently determined by the Police Chief, the City Manager, Personnel Board or a court of competent jurisdiction, that cause did not exist for the ordered absence, the employee shall have restored to him anypaid leaves of absence against which such absence may have been charged, and he shall be granted a retroactive leave of absence with pay for the time during which he was prohibited from performing the duties of his position, less any compensation paid to him by the City during such ordered absence. B. hi the event an employee is reduced, suspended, and/or discharged, and upon appeal the City Manager, Personnel Board or a court of competent jurisdiction does not sustain such reduction, suspension, and/or discharge, the employee shall be entitled to his base rate of salary including all additives, vacation, and sick leave as if such unsustained reduction, suspension, or discharge had not been invoked. However, in no event shall an employee be entitled to any salary credit for vacation and sick leave for any period of time covered by a suspension sustained on appeal or for any period of time waived by the employee as a condition to the granting of a continuance of any hearing on appeal. C. If, during an absence for which an employee is paid pursuant to this Section, he earned any money which he would not have earned had he continued to perform the duties of his position, such sum shall be deducted from the salary otherwise payable to him pursuant to this Section. 45 #11140v2 55F-53 ARTICLE XIX 19.0 GRIEVANCE REVIEW PROCEDURE 19.1 Definition of a Grievance. A grievance shall be defined as a timely complaint by an employee or group of employees of the Association concerning the interpretation or application of specific provisions of this MOU, or of the rules and regulations governing personnel practices or working conditions of the City, except, however, those matters specifically assigned to the jurisdiction of the Personnel Board by those provisions of the City Charter and the Civil Service Rules and Regulations. No employee shall suffer any reprisal because of filing or processing of a grievance or participation in the Grievance Review Procedure. 19.2 Informal Process. A. An employee must first attempt to resolve the grievance on an informal basis through discussion with his or her immediate supervisor without undue delay, but in no case, beyond aperiod of ten (10) calendar days after the occurrence of the alleged incident giving rise to the grievance, or when the grievant knew or should have reasonably become aware of the facts given rise to the grievance. B. Every effort shall be made to find an acceptable solution to the grievance through this informal means at the most immediate level of supervision. C. hi order that this informal procedure may be responsive, both parties involved shall expedite this process. If, within five (5) working days, amutually acceptable solution has not been reached at the informal level, the employee and/or the employee's designated representative shall then set forth the grievance in writing, indicate the nature of the action desired, sign it, and submit it to the Police Chief. At this point, the grievance review process becomes formal. Should the grievant and/or his or her designated representative fail to file awritten grievance, and in the manner specified above, within ten (10) working days after first discussing the grievance with the employee's immediate supervisor, the grievance shall be barred and waived. 19.3 Formal Process. A. If a grievance is notresolved through the informal process, and awritten grievance is filed within the time limits set forth above, the grievant's immediate supervisor shall add his or her comments and any justification he or she considered proper, sign it, and forward it to the Police Chief without undue delay or, in no case, more than ten (10) calendar days. 46 #11140v2 55F-54 B. If the grievant files a written grievance to the Police Chief in the manner and within the time limits specified, then a conference shall be held at the request of the employee or the Police Chief. C. Police Chief shall inform the employee of his or her action within ten (10) calendar days of the conference referenced in subsection (B) above. The original of the grievance form and the Chief s decision shall be filed in the Personnel Records ofthe Department. D. If no satisfactory settlement has been reached at the Department level, the employee may, within ten (10) calendar days after being informed by the Police Chief of his or her decision on the matter, and the reasons thereof, submit the grievance in writing to the City Manager, or his or her duly authorized representative, for determination. Failure of the grievant to take this action will constitute a waiver and bar to the grievance, and the grievance will be considered settled on a basis of the Police Chiefs response. F. The City Manager or his or her duly authorized representative, after a careful review, shall render a final decision on the merits of the grievance, in writing, and return it to the grievant within thirty (30) calendar days after receiving the grievance. A copy of the written grievance to the City Manager, or his or her duly authorized representative, and of the City Manager's or his representative's written decision shall be filed in the Personnel Records of the Department and the grievant's personnel jacket maintained in the Human Resources Department. F. After the procedures set forth in this Article have been exhausted, the grievant, the Association, and the City shall have all rights and remedies to pursue said grievance under the law. 47 #11140v2 55F-55 ARTICLE XX 20.0 DUES DEDUCTION AND INDEMNIFICATION 20.1 Dues Deduction. The City shall deduct dues, on a regular basis, from the pay of all employees recognized to be represented by the Association, who voluntarily authorize such deduction, in writing, on a form to be provided for this purpose by the City. The City shall remit such funds to the Association within thirty (30) days following their deduction. 20.2 Indemnification. The Association agrees to hold the City harmless and indemnify the City against any claims, causes of action, or lawsuits instituted by a member or members of the Association arising out of the deductions or transmittal of such funds to the Association, except the intentional failure of the City to transmit, to the Association, monies deducted from the employees pursuant to this Article. 48 #11140v2 55F-56 ARTICLE XXI 21.0 CITY RIGHTS 21.1 The City reserves, retains, and is vested with, solely and exclusively, all rights of Management which have not been expressly abridged by specific provision of this MOU or by law to manage the City, as such rights existed prior to the execution of this MOU. The sole and exclusive rights of Management, as they are not abridged by this MOU or by law, shall include but not be limited to the following rights: A. To manage the City generally and to determine the issues of policy. B. To determine the existence or non-existence of facts which are the basis of the Management decision. C. To determine the necessity of organization of any service or activity conducted by the City and expand or diminish services. D. To determine the nature, manner, means, and technology, and extent of services to be provided to the public. E. To determine methods of financing. F. To determine types of equipment or technology to be used. G. To determine and/or change the facilities, methods, technology, means, and size of the workforce by which the City operations are to be conducted. H. To determine and change the number of locations, relocations, and types of operations, processes, and materials to be used in carrying out all City functions including but not limited to the right contract for or subcontract any work or operation of the City. L To assign work to and schedule employees in accordance with requirements as determined by the City, and to establish and change work schedules and assignments. J. To relieve employees from duties for lack of work or similar nondisciplinary reason, subject to the provisions of the City Charter, Municipal Code, Federal and State law and this MOU. K. To establish and modify productivity and performance programs and standards. 49 #11140v2 55F-57 L. To discharge, suspend, demote, or otherwise discipline employees for proper cause in accordance with the provisions set forth in the City Charter and Santa Ana Municipal Code. M. To determine job classifications and to reclassify employees. N. To hire, transfer, promote and demote employees for nondisciplinary reasons in accordance with this MOU. O. To determine policies, procedures and standards including, but not limited to, quality and quantity standards and to require compliance therewith. P. To establish employee performance standards including, but not limited to, quality and quantity standards and to require compliance therewith. Q. To maintain order and efficiency in its facilities and operations. R. To establish and promulgate and/or modify rules and regulations to maintain order and safety in the City which are not in contravention with this MOU. S. To take any and all necessary action to carry out the mission of the City in emergencies. 21.2 Except in emergencies, or where the City is required to make changes in its operations because of the requirements of law, whenever the contemplated exercise of Management's rights shall impact on a significant number of employees of the bargaining unit, the City agrees to meet and confer in good faith with representatives of the Association regarding the impact of the contemplated exercise of such rights prior to exercising such rights, unless the matter of the exercise of such rights is provided for in this MOU. 21.3 Layoffs. During the terns of this MOU, the City agrees to meet and confer regarding both the decision and the impact of layoffs to the ranks of Police Commander or Deputy Chief of Police, respectively. 21.4 Transfer of Bargaining Unit Work. As required by the Meyers-Milias-Brown Act, the City agrees to meet and confer prior to the implementation of said transfer as follows: A. Transfer of bargaining unit work from an Association classification to a class not represented by the Association; or B. Transfer of work from a classification outside the Association to a classification represented by the Association. 50 #11140v2 55F-58 ARTICLE XXII 22.0 STRIKES AND WORK STOPPAGES 22.1 Prohibited Conduct. A. The Association, its officers, agents, representatives, and/or members agree that during the terns of this MOU, they will not cause or condone any unlawful strike, workout, slowdown, sick-out, or any other unlawful job action by withholding or refusing to perform services. B. Any employee who participates in any conduct prohibited in Subsection A above shall be subject to suspension, demotion or dismissal by the appointing authority. 22.2 Association Responsibility. hi the event that the Association, its officers, agents, representatives, or members engage in any of the conduct prohibited in Subsection A, Section 22.1 above of this Article, the Association shall immediately instruct any persons engaging in such conduct that their conduct is in violation of this MOU and unlawful, and they must immediately cease engaging in the conduct prohibited and return to work 51 #11140v2 55F-59 ARTICLE XXIII 23.0 SOLE AND ENTIRE AGREEMENT 23.1 It is the intent of the parties hereto that the provisions of this MOU shall supersede all prior agreements and memoranda of agreement, or memoranda of understanding, or contrary salary and/or personnel rules and regulations or administrative codes, provisions of the City, oral and written, expressed or implied between the parties, and shall govern the entire relationship and shall be the sole source of any and all rights which may be asserted hereunder. This MOU is not intended to conflict with Federal or State law or the City Charter. 23.2 The City will continue to administer its employee relations and its personnel policies and procedures in accordance with duly adopted ordinances and resolutions, and the affected employees will continue to be governed thereby during the terns of this MOU. 52 #11140v2 55F-60 ARTICLE XXIV 24.0 WAIVER OF BARGAINING DURING THE TERM OF MOU 24.1 During the terns of this MOU, the parties mutually agree that they will not seek to negotiate or bargain with regard to wages, hours and terms of conditions of employment, whether or not covered by this MOU or in the negotiations leading thereto, unless required by specific provision of this MOU, and irrespective of whether or not such matters were discussed or were even within the contemplation of the parties hereto during the negotiations leading to this MOU. Regardless of the waiver contained in this Article, the parties may, however, by mutual agreement, in writing, agree to meet and confer about any matter during the terns of this MOU. 53 #11140v2 55F-61 ARTICLE XXV 25.0 SEVERABILITY PROVISION 25.1 Should any provision of this MOU be found to be inoperative, void, or invalid by a court of competent jurisdiction or by statue, all other provisions of this MOU shall remain in full force and effect for the duration of this MOU, provided that if any such affected provisions invalidate or void any benefits of employees covered hereunder, the parties shall forthwith commence negotiations to replace the invalidated benefits with benefits of comparable value. 54 #11140v2 55F-62 ARTICLE XXVI 26.0 TERM OF MOU 26.1 The terns of this MOU shall be from July 1, 2018 through June 30, 2021. 55 #11140v2 55F-63 ARTICLE XXVII 27.0 RATIFICATION AND EXECUTION 27.1 The City and the Association have reached an understanding as to certain recommendations to be made to the City Council for the City of Santa Ana and have agreed that the parties hereto will jointly urge the City Council to adopt a new wage and salary resolution which will provide for the changes contained in said joint recommendations. The City and the Association acknowledge that this MOU shall not be in full force and effect until ratified by the membership of the Association and adopted by the City Council of the City of Santa Ana. Subject to the foregoing, this MOU is hereby executed by the authorized representatives of the City and the Association and entered into this V day of October, 2019. CITY OF SANTA ANA, a Municipal Corporation of the State of California Dated: By: MAYOR Dated: By: Dated: ATTEST: CLERK OF THE COUNCIL APPROVED AS TO FORM: a , ^ CITY ATTORNEY #11140v2 CITY MANAGER 0 EXECUTIVE DIRECTOR OF HUMAN RESOURCES 56 55F-64 This 2018-2021 SAPMA Memorandum of Understanding has been ratified by the membership of the Santa Ana Police Management Association. Dated: PRESIDENT, SANTA ANA POLICE MANAGEMENT ASSOCIATION 57 #11140v2 55F-65 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 1, 2019 TITLE: AUTHORIZE STAFF TO PREPARE DOCUMENTS FOR PROPOSED WATER AND SEWER RATE ADJUSTMENTS AT A COST NOT TO EXCEED $75,000 {STRATEGIC PLAN NO. 6, 1H} /s/ Kristine CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: rTT1MTMJ_1.f6AWW ❑ As Recommended ❑ As Amended ❑ Ordinance on 111 Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize and direct staff to prepare all required documents necessary to proceed with notification of proposed water and sewer rate adjustments in compliance with Proposition 218 requirements, including, but not limited to, the following: a) Prepare and mail proposed rate adjustment notices to all Santa Ana property owners in compliance with Proposition 218 requirements at a cost not to exceed $75,000; b) Schedule a public hearing at a future Council meeting, on or after November 19, 2019; c) Prepare all other documents required to proceed with proposed water and sewer rate adjustments. d) Explore the feasibility of implementing a water and sewer low-income assistance program. DISCUSSION Background The City owns and operates a water distribution system and a sewer collection system that provides services to a community of nearly 350,000 residents and 5,000 businesses. The City water system consists of approximately 480 miles of water mains, 10 reservoirs, 7 pumping stations, and 20 active wells. The City sewer system consists of 398 miles of main lines, 8,000 manholes, and 2 lift stations. The cost to keep these critical assets operational and invest in their replacement comes from the water and sewer rates charged to and collected from the community they serve. The California Constitution, via Proposition 218, ensures that all revenue collected from water and sewer charges is used for water and sewer operations and infrastructure -related expenses. 65A-1 Authorize Staff to Prepare Documents for Proposed Water and Sewer Rate Adjustments October 1, 2019 Page 2 The City last performed a Cost of Service and Rate study in 2014. The last adopted rate adjustment took effect on July 1, 2018. Due to various factors, including the drought conditions experienced in recent years, the rate revenue collected for both the water and sanitary sewer enterprises has been far below that which is necessary keep up with needed capital improvement projects. Currently 20% of the water distribution infrastructure is past its useful life and an estimated 70% will reach its useful life by 2040. Similarly, the sewer system requires an average of 4 miles of pipe replacement a year for the next 100 years but currently only about 1 mile of replacement a year can be afforded. On February 5, 2018, the City Council directed staff to perform a comprehensive rate study for both the water and sanitary sewer enterprises. On July 3, 2018, upon completion of a competitive bid process, the City awarded a contract to Stantec to develop a financial plan, cost of service study, and rate structure analyses for water, recycled water, and sewer rates. The objective of the study was to ensure the financial stability of both water and sewer enterprises while ensuring that the rates are in compliance with applicable law (namely, California's Proposition 218 requirements). Capital Improvement Program The City's Water Resources Division has determined that both the water and sewer utilities need significant investment in the repair and rehabilitation of its aging infrastructure. The Water Enterprise has completed a Water Master Plan which identifies critical projects that will average nearly $15 million in annual capital spending for the next 20 years. Over the past 4 years the City has spent an average of less than $4 million annually. The water and sewer systems are already showing signs of distress. In the past year alone, the systems experienced 21 water main breaks, 173 water service leaks, 132 sewer laterals were repaired, and 2 pump stations and 6 groundwater wells were downed due to mechanical and/or electrical failures. While the Public Works Agency has excelled in making cost-effective repairs and rehabilitations, continued deferral of capital project investment will eventually result in the complete failure and loss of critical assets. The proposed projects predominately focus on groundwater well improvements, pipe replacement and a major Advanced Metering Infrastructure (AMI) Project. With this increase in capital spending, the Water Enterprise will require a higher level of staffing to manage the projects (as many as an additional 8 full-time positions). Planned capital spending for the Sewer Enterprise includes pipe replacement at rate of 4 miles of aging pipe per year and the construction of a new $7 million pump station (which will be paid for with developer fees). This signifies an increase in average annual capital spending from under $1 million to over $6 million for the next 20 years. With this increase in capital spending, the Sewer Enterprise will require a higher level of staffing to manage the projects (as many as an additional 3 full-time positions). 65A-2 Authorize Staff to Prepare Documents for Proposed Water and Sewer Rate Adjustments October 1, 2019 Page 3 Financial Plan The rate study proposes to primarily cash finance the above re -investments in critical water and sewer infrastructure, with the exception of the AMI project. Cash financing is more appropriate to pay for average/typical capital spending levels. Cash financing avoids the cost of interest and ensures that a utility is not creating undue burden on future ratepayers through the accumulation of debt. For the AMI Project, some grant funding has already been secured and additional debt financing is being sought. Debt financing is appropriate for one-time, large capital projects (such as the AMI Project) that are anomalies compared to normal capital spending levels. Debt financing in those cases allows the utility to avoid unnecessary "rate shock" and helps spread the cost of large projects over a longer period. It also ensures that future ratepayers who benefit from the project will also pay for the project. As part of the analysis, existing reserve levels were examined. Recommended reserves include an Operating & Maintenance Reserve target equal to 90 days (3 months) of annual operating expenses; an Emergency Reserve set a $4 million (for both the Water and Sewer Enterprises); and a Repair, Renewal, and Replacement Capital Reserve equal to 50% of average annual projected capital spending. Rate Design Over the past decade the legal requirements surrounding utility rate setting in California have evolved. Namely the courts have made rulings with respect to California Constitution Article XIII C and D (commonly known as Proposition 218) that have created a higher "cost of service" standard for rate setting than has historically been practiced by public utilities. Simply put, the burden of proof is on utilities to demonstrate that all aspects of water and sewer rates are directly proportionate to the cost of providing service. This means aligning fixed revenue (fixed charges) with fixed costs, and variable revenue (usage rates) with variable costs. In addition, Stantec looked at opportunities to strengthen revenue stability for both utilities, which were found to rely too heavily on usage rates, making the utilities susceptible to revenue volatility. Currently, the City's water utility recovers approximately 17% of revenues through the fixed base charge while the sewer utility collects approximately 13% through fixed charges. These rates were not found to be aligned with the utilities' actual fixed costs, which were found to be closer to 40% for the water utility and nearly 100% for the sewer utility. The proposed water rates are structured to directly align the water utility's variable costs (i.e., water purchases and electricity) with the water usage rates ("Water Usage Charge"). By extension, the water utility's fixed costs (i.e., salaries, capital spending, maintenance, and overhead) will be aligned with the fixed water charges ("Water Utility Charge"). Sewer rates ("Sewer Utility Charge") are proposed to be fixed for all customers based on the size of their meter and the type of customer, since some customers (e.g., commercial accounts) return a larger percentage of their water to the sewer than others (e.g., single-family residences) which have higher irrigation needs. The Fats Oils and Grease (FOG) Charge for food service accounts will increase by 68% in order to better reflect the cost of the FOG Control Program. 65A-3 Authorize Staff to Prepare Documents for Proposed Water and Sewer Rate Adjustments October 1, 2019 Page 4 The proposed rate revenue adjustments outlined below support the recommended CIP plans and allow both enterprises to meet their respective financial goals: Typical Bill Impact The financial impact of the proposed revenue adjustments and rate structure changes on the typical customer was carefully evaluated. The overall increase in the combined typical bill of a single-family residential customer will be $4.92 per month (based on the average 1,257 cubic feet of water used per month by typical single-family residences). When compared to neighboring cities, the typical Santa Ana customer will continue to pay a similar amount, on average, for water and sewer services as compared to its neighboring cities such as Garden Grove, Brea, Fullerton and Orange. Low-income Assistance Program While the proposed rate structure will provide rate relief to numerous multifamily accounts, the rate -setting requirements of applicable law (namely, California's Proposition 218) disallows the use of rate revenue to fund a low-income water and/or sewer rate assistance program. Any such program needs to be funded through an outside source of revenue. Staff will explore viable options for funding a low-income subsidy program and report findings to Council at a future date. 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 H (complete water/waste water rate study to ensure adequate resources to capture critical long-term capital needs). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. 65A-4 Authorize Staff to Prepare Documents for Proposed Water and Sewer Rate Adjustments October 1, 2019 Page 5 FISCAL IMPACT $75,000 has been budgeted and is available for expenditure in Fiscal Year 2019-20 in the Water Admin Engineering -Miscellaneous Operating Expense and Sanitary Sewer Service - Miscellaneous Operating Expense accounts (Nos. 06017645-63001 and 05617640-63001) to cover any costs incurred for preparing and mailing the notices. Fiscal Accounting Unit— Fund Accounting Unit, Account Amount Year Account No. Description Description FY19-20 06017645-63001 Water WaterAdmin/Engineering, $37,500 Misc. Operating Expenses FY19-20 05617640-63001 Sanitary Sewer Sanitary Sewer Service, Misc. $37,500 Service Operating Expenses Total Amount $75,000 APPROVED AS TO FUNDS AND ACCOUNTS Fuad S. Sweiss, PE, PLS Kathryn Downs, CPA Executive Director Executive Director Public Works Agency Finance and Management Services Agency FSS/NS/RR Exhibits: 1. Cost of Service Report — Please click on link: https://www.santa-ana.org/sites/default/files/pw/documents/Water-and- sewe r-rates-Cost-of-Service-Re po rt. pdf 2. 2019 Rate Study Presentation 3. Proposition 218 Compliant Notice of Proposed Rate Adoption 65A-5 EXHIBIT 1 IS AVAILABLE AT: ana.orq/si https://www.santa- s/default/files/pw/d( ate r-a nd-sewe r-rates-Cost-of-Se rvi ce- Report.pdf 65A-6 Continued from September 17, 2019, City Council Meeting Water Rate Study Recommendations 1 2019 Water Rate Study Drivers Schedule: ✓ The previous rate study was completed in 2014 ✓ The last adopted rate adjustments were for FY 2019 (last year) Legal: ✓ Recent court decisions have "raised the bar' for transparency and cost -to - service requirements for water rates (Prop 218). Rate Structure: ✓ Revenue was significantly lower than forecasted during drought years • System Investment Needs: October 1, 2019 ✓ 20% of the water distribution infrastructure is past its useful life ✓ 70% of the existing infrastructure will reach its useful life by 2040 ✓ A Water Master Plan was developed to identify system deficiencies and develop a capital program 2 2 Stantec Consulting & Hildebrand Consulting,5A-7 1 EXHIBIT 2 Water Rate Study Recommendations October 1, 2019 91 11 Survey - Residential Water Users (typical monthly water use with 5/8" x 3/4" meter) $- $10.00 $20.00 $30.00 $40.00 $50.00 $60.00 $70.00 $80.00 Laguna Beach Placentia Brea Yorba Linda Garden Grove Fullerton La Habra Santa Ana (Proposed) La Mirada Santa Ana (Current) Buena Park Orange Water Enterprise Revenue FY2018 Actuals Rate Revenue Fixed Rate Revenue $ 8,392,030 Variable Rate Revenue $ 45,154,453 Total Revenue $ 53,546,483 Other Revenue: Other Operating Income $ 826,226 Interest Income $ 553,964 Non -Operating Income $ 1,187,776 Total Other Revenue $ 2,567,966 TOTAL REVENUE $ 56,114,449 dity ns per Month) 4 Stantec Consulting & Hildebrand Consultint5A-8 2 Water Rate Study Recommendations October 1, 2019 Water Enterprise Expenses FY2018 Actuals i z% Purchased Wate rand Electncity $23,694,899 cl—W.I., Salaries and Benefits $6,165,137 Comm:ice x% Other Vanable O&M $421 ,375 Fixed Operations & Maintenance Costs $9,616,819 01h.,V.6.msosm Cl can W ater Compl lance $1,347,355 Fixed Overhead $8,567,409 Debt Serxice $1,361 ,525 Capital Expenditures $6,274,059 Totals $57,448,577 5 q 5 Stantec Consulting & Hildebrand Consultint5A-9 3 Water Rate Study Recommendations October 1, 2019 G Water Enterprise Master Plan Capital Spending Forecast $20 10-year total: $143.6 million $18 — Projects include: $16 • Drilling newwells $14 • Rehabilitating existing wells • Rehabilitating pump stations u, $12 • Rehabilitating tanks ° $10 • AMI project funded with debt Historical 2 $a - spending • Will create 8 full time jobs (@ $185K/ FTE) $6 $4 — — $2 ti6 i" ti$ 'r°' s' titi titi tip tih ti6 ti� ti� l9 4J 4, FJ F, FJ FJ 4y A"' Fa F� Fl t, F, 4J 7 • _ • _ ■ Non -Rate Revenue a Existing Rate Revenues e Rate Revenue from Increases ■ 08M Expenses 8 Transfers • • • - • ■ Debt Service ■ Cash -Funded CIP • • $1M - . - .-. •. - $1m • Sa $60 ni Ise EED $40 $ZI $0 $50 ii —Minimum Reserves — Ending Fund Balance ----Target Reserves $0 FY2018 FY2019 FY2020 FY2021 FY2022 FY2023 FY2024 FY2025 FY2026 FY2027 FY2028 FY2029 FY2030 - - JU.1 Jul.1 Jul.1 Jul.1 Jul.1 Jul.1 2.O% 2.0% 2.0% 2.0% 2.0% 2.0% Estimated Debt Issuances - - $8.7M - $11.7M - - - - - - - 8 I Stantec Consulting & Hildebrand ConsultiU5A-1 0 4 Water Rate Study Recommendations October 1, 2019 Proposed Water Rate Design Approach 1. Enhance connection between water rates and the cost to provide water service Water usage rates are directly tied to the cost of purchased and pumped water... ... this will result in increased fixed revenue and decreased variable revenue 2. Update Pass -Through Provision Automatic updates to rates to reflect changes in wholesale water costs 3. Minor modifications to meter equivalency schedule Bringing the meter equivalency schedule in line with industry standards Reflects the hydraulic capacity of the respective meter sizes. n G Rate Structure Cost Categories Commodity Costs Driven by the volume of water sold Water purchases Pumping electricity Associated genera I & administrative 1 Water Usage Charge (variable) 10 66% Revenue 10 0 Utility Costs Driven by the size of the utility infrastructure Salaries & benefits Operations & maintenance Capital Associated general & administrative 1 Water Utility Charge (fixed) 34%revenue I l Current fixed revenue: 16.2% Stantec Consulting & Hildebrand Consult"65A_1 1 5 Water Rate Study Recommendations October 1, 2019 Proposed Tiered Water Usage Rates Unit Cost of Water ($/AF) Volume (AF) Tier 1 Tier 2 Recycled Water Tier 1 Allocations* Increase Tier 1 allocation with meter size Current Recommended Account Size: Tier 1 Allocation: • • • *Allocation sizes are designed to result in all Tier 1 sales toequal OCWD purchases 12 12 Stantec Consulting & Hildebrand Consult15A-1 2 6 Water Rate Study Recommendations October 1, 2019 Recommended Water Rate Schedule Year Monthly Water Utility Charge (fixed) Meter Size Current Proposed 5/8" X 3/4" $6.95 $20.51 3/4" $15.10 $30.76 1" $28.65 $51.27 11/2" $44.93 $102.53 2" $82.90 $164.04 3" $137.15 $358.84 4" $272.78 $645.91 6" $435.53 $1,332.83 Multi -Family Residential is currently charged $4.75 per dwelling unit. 13 Water Usage Charges Tier 1 $3.02 � $2.03 Tier 2 $3.59 $4.79 Recycled Water $2.42 $2.15 Tier 1 Water Usage Allocation (CCF per Month) Single Family* 22 10.5 , WIti-Family** 22 8.5 Non -Residential* 22 31.0 * Proposed Ter 1 allocation allocated per equivalent meter ** Proposed Ter 1 allocation per dwelling unit Example Monthly Water Bills Single Family Homes with5/8" X3/4" meter Low Water User (5 HCF) Current Proposed $22.05 $30.66 Increase of $8.61 14 Typical Water User (10.5 HCF) Current Proposed $38.66 $41.82 Increase of $3.16 13 High Water User (25 HCF) Current Proposed $84.16 $111.28 Increase of $27.12 14 Stantec Consulting & Hildebrand Consult15A-1 3 7 Water Rate Study Recommendations October 1, 2019 Monthly Water Bill Impacts Single Family Customers (all meter sizes, 35,991 accounts) $o 1 $0 to $4 — $4 to $8 58 to $12 ® $12 to$16 — m a $16 to $20 — ��' S20 to $24 _ 'v 524 to$28 - m 528 to $32 ■ .a V $32 to $36 ' $36 to $40 ' $40 to.$44 >544 ' 0% 101/ 20% 30% 400/ Percent of Accounts 15 Monthly Water Bill Impacts Multi -Family (All meter sizes, 3,713 accounts) <$-600 0 1 $-600 to $-525 $-525 to SA50 m 5-450 to$-375 m $-375 to $-300 U a $-300 to $-225 $-225 to $-150 $-150 to $-75 m $-75 to $0 L U $0 to $75 $75 to $150 ■ $150 to $225 ' > $ 225 . 0% 20% 40% 60% Percent of Accounts 16 15 16 Stantec Consulting & Hildebrand Consult15A-14 8 Water Rate Study Recommendations October 1, 2019 Survey - Residential Water Users (typical monthly water use with 5/8" x 3/4" meter) Laguna Beach Placentia Brea Yorba Linda Garden Grove Fullerton La Habra Santa Ana (Proposed) La Mirada Santa Ana (Current) Buena Park Orange 17 W. $- $10.00 $20.00 $30.00 $40.00 $50.00 $60.00 $70.00 $80.00 Rate Study Achievements dity ns per Month) 1 7 ✓ Enhanced connection between water rates and the cost to provide water service Improves fairness and legal defensibility ✓ Increased revenue stability through higher fixed rates Stabilizes revenue and makes rates "drought tolerant' ✓ Rate revenue increases will meet the needs of system deficiencies Addresses deferred maintenance and allows the utility to implement efficient asset management practices 18 Stantec Consulting & Hildebrand Consult15A-111 5 9 Water Rate Study Recommendations October 1, 2019 Next Steps • Request City Council to direct Staff to send Proposition 218 Notification • 45-day waiting period • Public Hearing on or after November 19, 2019 to adopt rates • Rates are active on January 1, 2020 19 19 Stantec Consulting & Hildebrand Consult15A-1 6 10 Sewer Rate Study Recommendations October 1, 2019 1 2019 Sewer Rate Study Drivers Schedule: • The last rate study was completed in 2014 • The last adopted rate adjustments were for FY 2019 (last year) Legal: • Recent court decisions have "raised the bar" for transparency and cost -to - service requirements for water rates (Prop 218). Rate Structure: • Revenue is being un-necessarily affected by drought events System Needs: Sewer system has significant capital investment needs. • Currently averaging less than 1 mile of sewer line replacement per year • Proposed plan jumps sewer line replacement to an average of 4 miles a year 2 2 Stantec Consulting & Hildebrand Consult15A-1 7 1 Sewer Rate Study Recommendations October 1, 2019 91 11 Survey - Residential Sewer Users (typical monthly water use with 5/8" X 3/4" meter) $- $2.00 $4.00 $6.00 $8.00 $10.00 $12.00 $14.00 Garden Grove Huntington Beach Orange Brea La Habra Yorba Linda Santa Ana (Current) Santa Ana (Proposed) Sewer Enterprise Revenue FY2018 Actuals Rate Revenue Fixed Rate Revenue $ 1,053,874 Variable Rate Revenue $ 5,290,773 Total Revenue $ 6,344,647 Other Revenue: O Other Operating Income $ 2,605 Interest Income $ 223,019 Non -Operating Income $ 33,882 Other Revenue $ 259,506 Restricted Revenue Connection Fees $ 1,480,855 Total Restricted Revenue $ 1,480,855 TOTAL REVENUE $ 8,085,008 Sewer onth) 3 Stantec Consulting & Hildebrand Consult 15A_,118 2 Sewer Rate Study Recommendations October 1, 2019 5 Sewer Enterprise O&M Expenses FY 2018 Estimate Fixed 0v 10: Minarcapital Outlay 38% Salaries and Benefits $1,821,741 Fixed Operations & Maintenance Costs $2,392,588 Minor Capital Outlay $183,568 Fixed Overhead $519,266 Capital Expenditures $194,350 Totals S5.111 .514 Sewer Enterprise Capital Spending Forecast Ill Capital Expenditures 38% Projects include: • Immediately ramp up to 7 $16 connection Fee Funded miles of pipe replacement to $14 Rate Funded 10-year total: $83.Omillion draw down on the $23M from $12 OCSD $10 • Leveling off at 3.5 miles of z $6 Historical pipe replacement thereafter $6 spending • San Lorenzo Pump Station in P 9mom FY 2020 ($71y) $4 IMMEN • Will create 3 full time jobs $z . (@ $185K/ FTE) $' — _ ,Y,ybb , Ayb ,�9 10 ti~ 1ti ,y^i ,LP 19 1b tit ,yb 19 ap0 ,Zk *Assumes a cost of $1.5 million per mile of pipe) a Stantec Consulting & Hildebrand Consult15A-111 9 3 Sewer Rate Study Recommendations October 1, 2019 7 G $35 ■ Non -Rate Revenue E f R t R $30 ® xis ing a e evenues ® Rate Revenue from Increases - $25 ■ 0&M Expenses & Transfers $P0 ■ Cash -Funded CIP S} 61 $15 ` $10 _ dd c $5 9 gM ---Target Reserves —Ending Fund Balance —Minimum Reserves $30 9 szo _____________________________________ FT 2016 FT 2019 FT 2020 FT2021 FT 2022 FT 2023 FT 2020 FT 2025 FT 2026 FT 202] FT 2026 FT 2029 FT 2030 Avenge SingleF milypelMonM 9.0% 9.0% 9.0% 9.0% 3.0% 3.0% Proposed Sewer Rafe Design Modifications 1. Create 3 customer classes to account for a Return -to -sewer factor • 50% Single Family Residential • 80% Multi -Family Residential • 90% Non -Residential 2. Minor Modifications to meter equivalence factors • Bringing the meter equivalency schedule in line with industry standards 3. Fixed utility charges only • Use of fixed charges only is recommended, as all utility expenses are fixed costs • Utility charges are scaled largely based on meter size I 0 Stantec Consulting & Hildebrand Consult15A-20 4 Sewer Rate Study Recommendations October 1, 2019 Fixed Revenue Cost Categories � o 001 II 'TT' Goo Account Costs (7%) Meter Costs Driven by the cost of Driven by the size of the managing accounts collection system infrastructure • Operations • Billing Maintenance • CustomerSennce Capital Sewer Utility Charge Total fixed revenue: 100% (vs. 17% currently) II G G Proposed Rate Structure Current Rates Proposed Monthly Single Mulfi-Family rr Meter Size 5/8" X 3/4" Family $5.60 Non-Residenfial Residential $8.40 $9.33 Fixed (I ly): 3/4" $7.93 $12.12 $13.52 $1.68 1" $12.59 $19.57 $21.90 11/2" $24.23 $38.20 $42.85 Volumetric: 2" $38.20 $60.55 $68.00 $0.43 / CCF 3" $82.43 $131.32 $147.62 4" $147.62 $235.63 $264.96 6" $303.61 $485.21 $545.74 8" $559.71 $894.97 $1,006.73 10" $885.66 $1,416.49 $1,593.43 10 10 Stantec Consulting & Hildebrand Consult15A-21 5 Sewer Rate Study Recommendations October 1, 2019 11 12 Monthly Sewer Bill Impacts Single Family Residential (5/8" X 3/4" meter, 35,915 accounts) < $-40 $-40 to $-30 S-30 to $-25 m $-25 to $-20 $-20 to $-15 $-15 to $-10 s $-10 to $-5 $-5 to $0 $0 b3 $5 $5 b $10 n $10 096 K% 20% 30/0 Percent of Accounts no Example Monthly Sewer Bills Single Family Homes (with typical water usage of 10.5 HCF) 6/8 x 3/4" Meter 3/4" Meter 1" Meter Current Proposed Current Proposed Current Proposed $6.20 $5.60 $ 6.20 $7.93 $6.20 $12.59 Decrease of $0.60 Increase of $1.73 Increase of $6.39 12 Stantec Consulting & Hildebrand Consult15A-22 6 Sewer Rate Study Recommendations October 1, 2019 13 14 Survey - Residential Sewer Users (average monthly water use, 5/8" X 3/4" meter) $- $2.00 $4.00 $6.00 $8.00 $10.00 $12.00 $14.00 Garden Grove Huntington Beach Orange Brea La Habra Yorba Linda Santa Ana (Current) Santa Ana (Proposed) I --CoI----0 - Fixed mmodity , ICurrent Proposed (with 3% increase) FOG Charge onth( Charge is designed to pay for the extra cost of monitoring accounts with fats, oils & grease abatement measures (primarily food establishments). • Annual cost of program: $673,000 • 1,372 Accounts • FOG Charge: $40.92 per month, (currently $24.38) 13 14 Stantec Consulting & Hildebrand Consult15A-23 7 Sewer Rate Study Recommendations October 1, 2019 Rate Study Achievements ✓ Enhanced connection between sewer rates and the cost to provide water service Improves fairness and legal defensibility ✓ Increased revenue stability through fixed rates Stabilizes revenue and makes rates "drought tolerant' ✓ Rate revenue increases will meet the needs of system deficiencies Addresses deferred maintenance and allows the utility to implement efficient asset management practices 15 Next Steps • Request City Council to direct Staff to send Proposition 218 Notification • 45-day waiting period • Public Hearing on or after November 19, 2019 to adopt rates • Rates are active on January 1, 2020 16 15 16 Stantec Consulting & Hildebrand Consult15A-24 8 Concerning proposed changes to the City of Santa Ana water and sewer rate structure and adjustments to water service, sewer service and consumption charges. IMPORTANT INFORMATION ABOUT YOUR WATER RATES The Santa Ana City Council will hold a public hearing at the time, date, and location specified above to consider a proposed five-year schedule of increases to the City's water rates and sewer charges. If adopted, proposed rate increases and charges will become effective on July 1, 2019; July 1, 2020; July 1, 2021; July 1, 2022; July 1, 2023, respectively. The public hearing will be conducted per California Constitution Article XIII D, Section 6 (also known as "Proposition 218"). This notice is being sent to all property owners and customers whose parcels receive water and/or sewer service from the City of Santa Ana, who would be impacted by imposed rates and charges. All members of the public are invited to attend the public hearing. Additionally, under California State Law, all of the City's property owners and customers of record may submit a written protest to the proposed rate changes. Only one protest per parcel is permitted. Please refer to the "How Can I Participate?" section of this document for instructions on submitting a formal written protest against the proposed action. You may also appear at the public hearing at the date and time specified above. More information, including a rate estimator, is available online at: www.Santa-Ana.org/pw/Water-and-Sewer. The City of Santa Ana is dedicated to providing reliable and cost- effective water and sewer service to its customers at rates that do not exceed the cost of service, while maintaining essential water and sewer infrastructure. The City hired an independent, third -party consultant to determine that cost of service. The City of Santa Ana is proposing changes to its water and sewer rate structures and charges. Customers who may be impacted by these changes are receiving this notice. We are seeking feedback to help the City Council make the right choice for the City of Santa Ana and its ratepayers. EXPIRING RATE SCHEDULE $ $ The City's existing 5-year rate schedule was established in 2014. A new schedule of rates is needed to ensure the City is Ofairly and equitably recovering the costs of providing service, using industry best practices and meeting legal requirements. AGING SYSTEM The City of Santa Ana maintains a complex system of pipelines and facilities to provide safe, reliable water and sewer service to customers. As the system ages, resources are needed to keep these assets in good working condition and benefit rate payers by making timely re -investments in critical infrastructure. FINANCIAL HEALTH The City of Santa Ana's Public Works Agency must ensure adequate revenue to meet its financial requirements, including bond repayments and maintaining cash reserves for a strong credit rating. 65A-26 The City of Santa Ana welcomes your participation and input throughout the process as the City Council considers the changes explained in this Notice. If you have questions or comments about the proposed rates, you can: CALL OR VISIT. The cost -of -service study and other information on the proposed adjustments and increases are available for review at the City's Public Works Department and on our website: www.Santa-Ana.org/pw/Water-and-S ewer. WRITE. Written protests may be mailed to The City of Santa Ana, Attention: City Clerk, P.O. Box 1988, M31, Santa Ana, CA 92701, or delivered in -person to City Hall, 20 Civic Center Plaza, Santa Ana. ATTEND THE be submitted at the Public Hearing on [Date] at 5:45 p.m. in the City Council Chambers at 20 Civic Center Plaza, Santa Ana, CA 92701. All members of the public will have an opportunity to speak and give testimony regarding the proposed water recycled water and sewer and rate adjustments at the Public Hearing; however, only written protests will count toward a majority protest. Written protests must be received before the conclusion of the Public Hearing. I DESCRIPTION OF PROPOSI The proposed rate structure for water service has four customer classes: single-family residential, multi -family residential, non-residential, and recycled water users. The proposed sewer rate structure also has four customer classes: single-family residential, multi -family residential, non-residential, and FOG customers. I AT 111 n C'NA WATER RATE STRUCTURE The proposed water rate structure is comprised of two components: a fixed monthly service charge (the "Water Utility Charge"), and the variable water consumption charge (the "Water Usage Charge"). Four customer classes would be established — Single Family, Multi -Family, Non -Residential and Recycled Water users. Commodity costs would be distributed among them based on each customer classes' total water use. Commodity costs for recycled water would be allocated 100 percent to those customers. Utility costs would be allocated to each respective customer class based on meter size. Water usage charges would have two tiers based on the source of the water and its availability. The Tier 1 rate would recover the cost of groundwater extraction, the electricity for producing and distributing that water, and some other costs. Tier 2 would recover the costs of purchasing imported water, the electrical costs for distributing that volume of water. The allocation of water in each tier would be based on the amount of water supply that is available from each respective source. SEWER RATE STRUCTURE The variable Sewer Commodity Charge and fixed Service Charge would be replaced by a single fixed Sewer Utility Charge, based on the size of the water meter and customer class. FIXED CHARGES are independent of the amount of water used. They cover non -fluctuating costs such as capital projects, transmission, distribution, meters and service. VARIABLE CHARGES are calculated based on the amount of water moving through a customer's meter. These charges cover expenses such as purchased water, electricity and treatment chemicals. 65A-28 ED RATE STRUCTURES If the proposed rate changes are approved by the City Council, all water and sewer services will be billed at the rates set forth in the tables on the following pages: r Current Effective Rate January 1, (Per CCF*) 2020 TIER 1** $3.02 $2.03 $2.17 $2.31 $2.36 TIER 2*** $3.59 $4.79 $5.13 $5.46 $5.57 RECYCLED $242 $2.15 $2.30 $2.45 $2.50 WATER *1 CCF=748 Gallons **See tier allocation table. *** Tier 2 is any amount of water used over the amount allocated in Tier 1 Meter Size 5/8" x 3/4" 3/4" 1" 1 1/2" 2" 3" Current Allocation 0-22CCF O-22CCF 0-22CCF 0-22CCF 0-22CCF 0-22CCF Proposed Single Family Residential Allocation 0 - 10.50 CCF 0-15.75CCF 0 - 26.25 CCF 0 - 52.50 CCF 0 - 84.00 CCF 0 - 183.75 CCF Proposed Non -Residential Customer Allocation 0 - 31.00 CCF 0 - 46.50 CCF 0 - 77.50 CCF 0 - 155.00 CCF 0 - 248.00 CCF 0 - 542.50 CCF Effective Effective Effective Effective July 1, 2020 July 1, 2021 July 1, 2022 July 1, 2023 $2.41 $5.68 $2.55 'RW - Proposed Multi -Family Customer Allocation 0 - 8.50 CCF - 0-12.75CCF 0 - 21.25 CCF 0 - 42.50 CCF 0 - 68.00 CCF 0 - 148.75 CCF 4" 0 - 22 CCF 0 - 330.75 CCF 0 - 976.50 CCF 0 - 267.75 CCF 6" 0 - 22 CCF 0 - 682.50 CCF 0 - 2,015.00 CCF 0 - 552.50 CCF 81, 0 - 22 CCF 0 - 1,260.00 CCF 0 - 3,720.00 CCF 0 - 1,020.00 CCF Meter Size Current Effective January 1, Effective Effective Effective Effective Charges 2020 July 1, 2020 July 1, 2021 July 1, 2022 July 1, 2023 5/8" x 3/4" $6.95 $20.51 $21.94 $23.37 $23.84 $24.31 3/4" $15.10 $30.76 $32.91 $35.05 $35.75 $36.47 1" $28.65 $51.27 $54.85 $58.42 $59.59 $60.78 11/2" $44.93 $102.53 $109.70 $116.83 $119.17 $121.55 2" $82.90 $164.04 $175.52 $186.93 $190.67 $194.48 3" $137.15 $358.84 $383.96 $408.92 $417.10 $425.44 4" $272.78 $645.91 $691.12 $736.04 $750.76 $765.78 6" $435.53 $1,332.83 $1,426.12 $1,518.82 $1,549.20 $1,580.18 8" $435.53 $2,460.60 $2,632.84 $2,803.97 $2,860.05 $2,917.25 Current Multi -Family Residential Charge Per Unit: $4.75 SINGLE FAMILY RESIDENTIAL Meter Size Current Effective January 1, Effective Effective Effective Effective Charges 2020 July 1, 2020 July 1, 2021 July 1, 2022 July 1, 2023 ` 5/8" x 3/4" $5.60 $5.88 $6.41 $6.99 $7.62 3/4" $7.93 $8.33 $9.08 $9.90 $10.79 1" $12.59 $13.22 $14.41 $15.71 $17.12 $1.68 + 11/2" (Number $24.23 $25.44 $27.73 $30.23 $32.95 of CCF 2rr 0 426)x $38.20 $40.11 $43.72 $47.65 $51.94 1 3 $82.43 $86.55 $94.34 $102.83 $112.08 (1 CCF 4" = 748 $147.62 $155.00 $168.95 $184.16 $200.73 gallons) 6" $303.61 $318.79 $347.48 $378.75 $412.84 8" $559.71 $587.70 $640.59 $698.24 $761.08 10" $885.66 $929.94 $1,013.63 $1,104.86 $1,204.30 (1 Mp id MULTI -FAMILY RESIDENTIAL Eff t ive Current ec Effective Effective Effective Effective Meter Size January 1, Charges 2020 5/8" x 3/4" $8.40 3/4" $12.12 1" $19.57 $1.68 + 11/2" (Number $38.20 of CCF x 2 0.426) 60.55 $ 3 $131.32 (1 CCF 4" = 748 $235.63 gallons) 6" $485.21 8" $894.97 10" $1,416.49 NON-RESIDENTI)V,, Current Effective Meter Size Charges January 1, 2020 5/8" x 3/4" $9.33 3/4" $13.52 V, $21.90 $1.68 + 11/2" (Number $42.85 of CCF x 2 0.426) 68.00 $ 3" $147.62 (1 CCF 4" = 748 $264.96 gallons) 6 $545.74 8" $1,006.73 10" $1,593.43 July 1, 2020 July 1, 2021 July 1, 2022 July 1, 2023 $8.82 $12.73 $20.55 $40.11 $63.58 $137.89 $247.41 $509.47 $939.72 $1,487.31 $9.61 $13.88 $22.40 $43.72 $69.30 $150.30 $269.68 $555.32 $1,024.29 $1,621.17 $10.47 $15.13 $24.42 $47.65 $75.54 $163.83 $293.95 $605.30 $1,116.48 $1,767.08 $11.41 $16.49 $26.62 $51.94 $82.34 $178.57 $320.41 Jr $659.78 `r $1,216.96 $1,926.12 Effective Effective Effective Effective July 1, 2020 July 1, 2021 July 1, 2022 July 1, 2023 $9.80 $10.68 $11.64 $12.69 $14.20 $15.48 $16.87 $18.39 $23.00 $25.07 $27.33 $29.79 $44.99 $49.04 $53.45 $58.26 $71.40 $77.83 $84.83 $92.46 op $155.00 $168.95 $184.16 $200.73 $278.21 $303.25 $330.54 $360.29 $573.03 $624.60 $680.81 $742.08 $1,057.07 $1,152.21 $1,255.91 $1,368.94 $1,673.10 $1,823.68 $1,987.81 $2,166.71 $26.06 + FOG (Number $40.92 $42.97 $46.84 $51.06 $55.66 Customers of CCF x 0.426) Respecto de los cambios propuestos a la estructura de tarifas de agua y alcantarillado, y ajustes a los cargos de consumo, servicio de agua y servicio de alcantarillado de la Ciudad de Santa Ana. El Consejo de la Ciudad de Santa Ana Ilevara a cabo una audiencia publica a la hora, en la fecha y en el lugar especificados anteriormente Para considerar un cronograma propuesto de cinco anos para aumentar las tarifas de aqua y los cargos de alcantarillado de la Ciudad. Si se adopta, los aumentos de tarifas y los cargos propuestos entraran en vigencia el 1 de julio de 2019; 1 de julio de 2020; 1 de julio de 2021; Julio 1,2022; Julio 1,2023, respectivamente. Si se adopta, los aumentos de tarifas y los cargos propuestos entraran en vigencia el 1 de julio de 2019; 1 de julio de 2020; 1 de julio de 2021; Julio 1,2022; Julio 1,2023, respectivamente. Todos los miembros del publico estan invitados a asistir a la audiencia publica. Ademas, de acuerdo con la ley estatal de California, todos los Buenos de propiedades y los clientes del registro de la ciudad pueden presentar una protesta por escrito contra los cambios de tarifa propuestos. Solo se permite una protesta por parcela. Consulte la seccion "iComo puedo participar?" de este documento para conocer las instrucciones para presentar una protesta por escrito formal en contra de la accion propuesta. Tambien puede comparecer en la audiencia publica en la fecha y hora antes especificadas. Encontrara mas informacion, incluida una calculadora de tarifa, en Ifnea en: www.Santa-Ana.org/pw/Water-and-Sewer. I La Ciudad de Santa Ana se dedica a proporcionar un servicio confiable y rentable de aqua y de alcantarillado para sus clientes a tarifas clue no excedan el costo del servicio, a la vez clue mantengan la infraestructura esencial de aqua y alcantarillado. La ciudad contratd a un consultor externo a independiente para determinar el costo del servicio. La Ciudad de Santa Ana propone cambios en sus tarifas y estructuras de tarifas de aqua y alcantarillado. Los clientes que pueden verse afectados por estos cambios reciben este aviso. Esperamos recibir comentarios para ayudar al Concejo de la Ciudad a tomar la decision correcta Para la Ciudad,de Santa Ana y sus contribuyentes. me VENCIMIENTO DEL CRONOGRAMA DE TARIFAS $ El cronograma actual de tarifas de 5 anos de la Ciudad se establecid en 2014. Se necesita un nuevo cronograma de Otarifas para garantizar clue la Ciudad recupere de manera justa y equitativa los costos de proporcionar servicios, utilizando las mejores practicas de la industria y cumpliendo los requisitos legales. SISTEMA ENVEJECIDO La ciudad de Santa Ana mantiene un complejo sistema de ®0 tuberias a instalaciones para proporcionar servicios seguros y confiables de aqua y alcantarillado a los clientes. A medida clue el sistema envejece, se necesitan recursos para mantener estos activos en buenas condiciones de trabajo y beneficiar a los pagadores de tasas al realizar reinversiones oportunas en infraestructura critica. FINANCIERA La Age La Agencia de Obras PGblicas de la Ciudad de Santa Ana debe garantizar ingresos suficientes para cumplir con sus requisitos financieros, incluidos los reembolsos de bonos y el mantenimiento de reservas en efectivo para una calificacion crediticia sdlida. 65A-33 • 1 • • 1 La Ciudad de Santa Ana agradece su participacidn y aporte durante todo el proceso mientras el Concejo de la Ciudad considera los cambios explicados en este Aviso. Si tiene alguna pregunta o comentario sobre las tarifas propuestas, puede: LLAMAR O CONSULTAR EN LINEA. El estudio del costo del servicio y otra informacidn sobre los ajustes y aumentos propuestos estan disponibles Para su revision en el Departamento de Obras PGblicas de la Ciudad y en nuestro sitio web: www.Santa-Ana.org/pw/Water-and-Sewer. ESCRIBIR. Las protestas escritas pueden enviarse por correo a la Ciudad de Santa Ana. Atencidn: Secretaria de la Ciudad, P.O. Box 1988, M31, Santa Ana, CA 92701, o entregarse en persona al Ayuntamiento, 20 Civic Center Plaza, Santa Ana. ASISTIR A LA AUDIENCIA PUBLICA: Las protestas escritas tambien pueden entregarse en la audiencia pGblica el [Fecha] a las 5:45 p. m. en las Salas del Concejo de la Ciudad en 20 Civic Center Plaza, Santa Ana, CA 92701. Todos los miembros del pGblico tendran la oportunidad de hablar y dar testimonio con respecto a los ajustes propuestos para las tarifas de agua, de agua reciclada y de alcantarillado en la audiencia pGblica; sin embargo, solo las protestas por escrito se consideran en una protesta mayoritaria. Las protestas por escrito deben recibirse antes del final de la audiencia oublica. DESCRIPCION DE LAS ESTRUCTI La estructura tarifaria propuesta para el servicio de agua tiene cuatro clases de clientes: usuarios residenciales unifamiliares, residenciales multifamiliares, no residenciales y de agua reciclada. La estructura de tarifas de alcantarillado propuesta tambien tiene cuatro clases de clientes: clientes residenciales unifamiliares, residenciales multifamiliares, no residenciales y FOG. JimKe W LA ESTRUCTURA DE LA TARIFA DE AGUA La estructura de la tarifa de agua propuesta consta de dos componentes: un cargo fijo mensual por servicio (el "Cargo de servicios publicos de agua") y el cargo variable por consumo de agua (el "Cargo por use de agua"). Se establecerian cuatro clases de clientes: usuarios unifamiliares, multifamiliares, no residenciales y de aqua reciclada. Los costos del producto se distribuirian entre ellos en funcion del use total de aqua de cada clase de cliente. Los costos del producto basico para el aqua reciclada se asignarian al 100 por ciento a esos clientes. Los costos de servicios publicos se asignarian a cada clase de cliente respectiva en funcion del tamano del medidor. Los cargos por use de agua tendrian dos niveles basados en la fuente del agua y su disponibilidad. La tarifa de Nivel 1 recuperaria el costo de la extraccion de aqua subterranea, la electricidad para producir y distribuir esa agua, y algunos otros costos. El Nivel 2 recuperaria los costos de comprar aqua importada y los costos electricos para distribuir ese volumen de agua. La asignacion de agua en cada nivel se basaria en la cantidad de suministro de agua disponible de cada fuente respectiva. LA ESTRUCTURA DE LA TARIFA DE ALCANTARILLADO El cargo variable por producto basico de alcantarillado y el cargo fijo por servicio se reemplazarian por un unico cargo por servicios publicos de alcantarillado, basado en el tamano del medidor de agua y la clase de cliente. LOS CARGOS FIJOS son independientes de la cantidad de agua utilizada. Cubren costos no fluctuantes como proyectos de capital, transmision, distribucion, medidores y servicio. LOS CARGOS VARIABLES se calculan en funcion de la cantidad de agua clue pasa a traves del medidor de un cliente. Estos cargos cubren gastos tales agua comprada, electricidad Como y tcjuctosnuimicos de tratamiento. JRAS DE TARIFAS PROPUESTAS Si los cambios de tarifas propuestos son aprobados por el Concejo de la Ciudad, todos los servicios de aqua y alcantarillado se facturaran segtan las tarifas establecidas en las tablas en las siguientes paginas: U Tarifa A partir del A partir del A partir del A partir del A partir del Actual 1 de enero 1 de julio de 1 de julio de 1 de julio de 1 de julio de (Por CCF*) de 2020 2020 2021 2022 2023 ` NIVELI** $3.02 $2.03 $2.17 $2.31 $2.36 $2.41 NIVEL2*** $3.59 $4.79 $5.13 $5.46 $5.57 $5.68 RECICLADA $242 $215 $2.30 $2.45 $2.50 $2.55 AGUA *1 CCF=748 Galones **Consultar tabla de asignad6n de niveles. *** El Nivel 2 es cualquier cantidad de agua utilizada por encima de la cantidad asignada en el Nivel 1 Asignacion Asignacion Asignacion Tamano Asignacion propuesta pare propuesta propuesta pare de l Actual cliente residencial pare cliente no cliente residencial medi -_ unifamiliar residencial multifamiliar 5/8" x 0 - 22 CCF 0 - 10.50 CCF 0 - 31.00 CCF 0 - 8.50 CCF 3/4" O - 22 CCF 0 - 15.75 CCF 0 - 46.50 CCF 0 - 12.75 CCF 1" 0 - 22 CCF 0 - 26.25 CCF 0 - 77.50 CCF 0 - 21.25 CCF 1 1/2" 0 - 22 CCF 0 - 52.50 CCF 0 - 155.00 CCF 0 - 42.50 CCF 2" 0 - 22 CCF 0 - 84.00 CCF 0 - 248.00 CCF 0 - 68.00 CCF 3" 0 - 22 CCF 0 - 183.75 CCF 0 - 542.50 CCF 0 - 148.75 CCF 4" 0 - 22 CCF 0 - 330.75 CCF 0 - 976.50 CCF 0 - 267.75 CCF 6" 0 - 22 CCF 0 - 682.50 CCF 0 - 2,015.00 CCF 0 - 552.50 CCF 81, 0 - 22 CCF 0 - 1,260.00 CCF 0 - 3,720.00 CCF 0 - 1,020.00 CCF 0 Tamano del Cargos A partir del A partir del A partir del A partir del A partir del medidor Actuales 1 de enero 1 de julio 1 de julio 1 de julio 1 de julio de 2020 de 2020 de 2021 de 2022 de 2023 5/8" x 3/4" $6.95 $20.51 $21.94 $23.37 $23.84 $24.31 3/4" $15.10 $30.76 $32.91 $35.05 $35.75 $36.47 1" $28.65 $51.27 $54.85 $58.42 $59.59 $60.78 11/2" $44.93 $102.53 $109.70 $116.83 $119.17 $121.55 2" $82.90 $164.04 $175.52 $186.93 $190.67 $194.48 3" $137.15 $358.84 $383.96 $408.92 $417.10 $425.44 4" $272.78 $645.91 $691.12 $736.04 $750.76 $765.78 6" $435.53 $1,332.83 $1,426.12 $1,518.82 $1,549.20 $1,580.18 8" $435.53 $2,460.60 $2,632.84 $2,803.97 $2,860.05 $2,917.25 Cargo residencial multifamiliar actual por unidad: $4.75 RESIDENCIAL UNIFAMILIAR Tamano del Cargos medidor Actuales 5/8" x 3/4" 3/4" 1" 1 1/2" 2" 3" A $1.68 + (Cantidad de CCF x 0.426) (1 CCF = 7AR A partir del A partir del A partir del A partir del 1 de enero 1 de julio 1 de julio 1 de julio de 2020 de 2020 de 2021 de 2022 $5.60 $5.88 $6.41 $6.99 $7.93 $8.33 $9.08 $9.90 $12.59 $13.22 $14.41 $15.71 $24.23 $25.44 $27.73 $30.23 $38.20 $40.11 $43.72 $47.65 $82.43 $86.55 $94.34 $102.83 QlA % GO Qimm nn Qiao am Q14A l6 A partir del 1 de julio de 2023 $7.62 1 $10.79 $17.12 ! I $32.95 $51.94 $112.08 $200.73 RESIDENCIAL MULTIFAMILIAR Tamano del medidor 5/8" x 3/4" 3/4" 1" 1 1/2" 2" 3" 4" 6" 8" 10" Cargos Actuales $1.68 + (Cantidad de CCF x 0.426) (1 CCF = 748 galones) A partir del 1 de enero de 2020 $8.40 $12.12 $19.57 $ 38.20 $ 60.55 $131.32 $235.63 $485.21 $894.97 $1,416.49 NO RESIDENCIALt r �. Tamano del Cargos A partir del medidor Actuales enero 1 2002020 dee 5/8" x 3/4" $9.33 3/4" $13.52 1" $21.90 11/2" (Cantidad $42.85 de CCF x 2 0.426) 68.00 $ 3 $147.62 (1 CCF 4" = 748 $264.96 galones) 6 $545.74 8" $1,006.73 10" $1,593.43 $26.06 + Clientes (Cantidad FOG de CCF x 0.426) A partir del A partir del A partir del A partir del 1 de julio de 1 de julio 1 de julio 1 de julio 2020 de 2021 de 2022 de 2023 $8.82 $9.61 $10.47 $11.41 $12.73 $13.88 $15.13 $16.49 $20.55 $22.40 $24.42 $26.62 $40.11 $43.72 $47.65 $51.94 $63.58 $69.30 $75.54 $82.34 $137.89 $150.30 $163.83 $178.57 $247.41 $269.68 $293.95 $320.41 Jr $509.47 $555.32 $605.30 $659.78 `t $939.72 $1,024.29 $1,116.48 $1,216.96 4 $1,487.31 $1,621.17 $1,767.08 $1,926.12 ' 1J . Af. A partir del A partir del A partir del A partir del 1 de julio de 1 de julio 1 de julio 1 de julio ,. 2020 de 2021 de 2022 de 2023 40 0 $9.80 $10.68 $11.64 $12.69 $14.20 $15.48 $16.87 $18.39 $23.00 $25.07 $27.33 $29.79 $44.99 $49.04 $53.45 $58.26 $71.40 $77.83 $84.83 $92.46 IF $155.00 $168.95 $184.16 $200.73 $278.21 $303.25 $330.54 $360.29 $573.03 $624.60 $680.81 $742.08 $1,057.07 $1,152.21 $1,255.91 $1,368.94 $1,673.10 $1,823.68 $1,987.81 $2,166.71 $40.92 $42.97 $46.84 $51.06 $55.66 65A-39 Ve nhCrng thay doi dLrac de nghi doi vai ca cau mirc gia nLrac six dung va nLvac thoat cua Thanh pho Santa Ana va nhCrng dieu chinh ve dich vu cap nLvac, dich vu thoat nLvac va le phi tieu thu. Hqi dung thanh pho Santa Ana sd to chUc mot buoi dieu tran tong chung vao ngay gia, dia diem neu tren de' duyet qua lich trinh de nghi tang mUc gia nu'ac six dung va nuac thoat cua Thanh pho trong nam nam. Neu du'ac thong qua, mOc gia va le phi gia tang se c6 hieu luc vao ngay 1 thong 7, 2019; 1 thong 7, 2020; 1 thong 7, 2021; 1 thong 7, 2022; 1 thong 7, 2023, theo thin tv. Buoi dieu tran tong chung du'ac thu'c hien theo Dieu XIII D, Muc 6 (con goi la "Ludt 218") cua Hien phap California. Thong bao nay du'c giri den tat ca cac sa hCru chu dat dai va khach hang c6 nhCrng to dat dang nhaan dich vu nu'ac sir dung va/ hoac dich vu thoat nu'ac qua Thanh pho Santa Ana va la nhCrng ngu'ai se bi anh hu'ang bai sp, thay doi mOc gia nu'ac va le phi nay. Moi thanh ph -an tong chung du'ac mai tham du' buoi dieu tran tong chung nay. Ngoai ra, theo Luat Tieu bang California, tat ca cac sa hCru chu dat dai va khach hang cua Thanh pho hien c6 trong ho sa sir dung dich vu c6 quye-n giri thu, vie-t tren giay thong doi nhCrng thay doi ve- mOc gia du'ac de nghi. Moi mot to dat chi du'ac mot thu, thong doi. Vui long xem phan 76i tham dy, bang cach nao?" trong tai lieu nay de- du'ac hu'ang dan ve- cach viet thu, chinh th0c tren giay thong doi nhCrng thay doi da de nghi. Quy vi cung c6 the tru'c tiep tham du' buoi dieu tran tong chung nay vao ngay gia neu tren. Thong tin chi tie-t, gom ca tong cu u'ac tinh mOc gia, du'ac trinh bay tren trang mang: www.Santa-Ana.org/pw/Water-and-Sewer. Thanh pho Santa Ana quyet tam cung cap dich vu nu'ac six dung va thoat nu'ac tin tu'bng va gia ca phai chang cho khach hang vai m0c gia khong vu'at qua chi phi dich vu nhu'ng cong luc van duy tri ca sa ha tang nu'ac va cong ranh thiet yeu. Thanh pho da tuyen mot co van de tam nhan doc lap de xac dinh chi phi dich vu nay. Thanh pho Santa Ana dang de nghi mot so s&a doi doi vai ca cau m0c gia nu'ac s& dung va nu'ac thoat. Khach hang nao cd the bi anh hu'ang bai nhixng thay doi nay nhan du'ac thong bao nay. Chung toi mong quy khach hang dong gdp y kien nham aiuo Hoi dona thanh pho auvet dinh tot deo cho Thanh pho Santa Ana va khach hang. i0 4 LICH TRINH MIYC GIA SAP HET HAN Lich trinh m0c gia nam nam hien tai cua Thanh pho da du'ac du'a ra tir nam 2014. Do dd Thanh pho can mot lich trinh gia mai de bao dam la Thanh pho, qua su' s& dung cac thong le tot nhat trong nganh va dap Ong moi doi hdi phap ly, thu lai du'ac chi phi cung cap dich vu mot cach dong deu va cong bang. HE THONG CO KY Thanh pho Santa Ana hien co mot he thong du'ang ong va ca sa phOc tap de cung cap dich vu nu'ac s& dung va dich vu thoat nu'ac an town, tin twang cho khach hang. Vi he thong cang ngay cang cG va vi muon tiep tuc hoat dong mot cach hoan hao va mang lai ich den cho khach hang, Thanh pho can them nguon tai chanh de dau tu' lai kip thai vao ca sa ha tang quan trong. TINH TRANG TAI CHANH Sa Cong chinh cua Thanh pho Santa Ana phai co du doanh thu de dap Ong cac nhu cau tai chanh cua ca quan, gom ca thanh town na trai phieu va du'trix tien mat de du'ac xep hang 65A-41 I Thanh pho Santa Ana han hanh chao don su' tham gia va dong gdp y kien cua quj vi trong suot tien trfnh nay trong luc Hoi dong thanh pho cOu xet nhCrng thay doi du'ac giai thfch trong Thong bao nay. Neu quj vi co dieu gf thac mac hoac co nhan xet gf ve mivc gia de nghi, quy vi co the: b GOI DIEN THOAI HOAC TRU'C TIEP DEN VAN PHONG. Quj vi co the xem thong tin ve cong trfnh nghien cOu ve chi phi dich vu va nhCrng thong tin khac ve cac dieu chfnh va tang le phi de nghi tai Sa Cong chfnh Thanh pho va tren trang mang cua chung toi: www.Santa-Ana.org/pw/Water-and-SeweL GUI THU. Quj vi co the giai thu' chung doi ve The City of Santa Ana, Attention: City Clerk, P.O. Box 1988, M31, Santa Ana, CA 92701, hoac tan tay mang den tda thi tru'bng City Hall, 20 Civic Center Plaza, Santa Ana. THAM DU BUOI DIEU TRAN CONG CHUNG: Thu chung doi viet tren giay cong co the du'ac nop trong Buoi dieu tran cong chung, ngay XX, Iuc 5 gio, 45 chieu tai Nghi tru'ang Hoi dong thanh pho tai 20 Civic Center Plaza, Santa Ana, CA 92701. Tat ca moi ngu'ai trong cong dong se co ca hoi phat bieu va trfnh bay lien quan den de nghi dieu chfnh m0c gia nuac, nu'ac tai s& dung va nu'ac thoat trong Buoi dieu tran cong chung; tuy nhien, chi co thu chung doi viet tren giay chfnh th0c mai du'ac tfnh vao tru'ang hap da so chung doi. Thu chung doi viet tren giay phai du'ac nhan tru'ac khi Buoi dieu tran cong chung ket thuc. MO TA CO' CAU MU'C GIA Ca cau m0c gia de- nghi cho nu'ac six dung gom co hai thanh phan: le phi dich vu co dinh hang thang (' Le phi tien ich nu'ac") va le phi tieu thu nu'ac thay doi (' Le phi six dung nurbc"). Bon hang khach hang durac thanh lap - Ngu'ai dung nu'ac thuoc mot gia dinh rieng, nhieu gia dinh, ca sb khong phai nha b va nu'ac tai s& dung. Chi phi tien nghi se durac phan phoi trong nhixng hang nay can cO tren tong so lurang nu'ac moi hang khach hang s& dung. Chi phi tien ich cho nu'ac tai s& dung se durac phan phoi 100% cho khach hang trong hang nay. Chi phi tien ich se durac phan phoi cho moi hang khach hang theo c& cua dong ho. D Ca CAU MU'C GIA NU'O'C SU' DUNG Ca cau mOc gia de nghi cho nu'bc sO dung gom c6 hai thanh ph -an: le phi dich vu co dinh hang thbng (" Le phi tien ich nu'bc") vb le phi tieu thu nu'bc thay doi (" Le phi sO dung nu,bc"). Bon hang khach hang du'ac thanh lap - Ngu'ai dung nu'bc thuoc mot gia dinh rieng, nhieu gia dinh, ca sb khong phai nha b vb nu'bc tbi sO dung. Chi phi tien nghi se du'ac phan phoi trong nhirng hang nay can cU tren tong so lu'ang nu'bc moi hang khach hang sO dung. Chi phi tien ich cho nu'bc tbi sO dung se du'ac phan phoi 100% cho khach hang trong hang nay. Chi phi tien ich se du'ac phan phoi cho moi hang khach hang theo ca cua dong ho. Gib le phi sO dung nu'bc se c6 hai bac tuy theo nguon nu'bc vb lu'ang nu'(rc san c6. MOc gib Cap 1 by dung de thu lai chi phi khai thbc nu'bc ngam, chi phi dien de- san xuat vb phan phoi nu'bc do vb mot so chi phi khbc. MOc gib Cap 2 by dung de- thu lai chi phi mua nu'bc nhap vbo ttv ben ngobi. chi phi dien cho viec phbn phoi khoi lu'ang nu'bc do. Viec phbn phoi nu'bc cho moi cap se can co tren mLPc cung cap nu'bc c6 san ttv moi nguon twang Ong. Ca CAU MU'C GIA NU'O'C THOAT Gib le phi tien ich cho nu'bc thobt thay doi vb gib le phi dich vu co dinh se du'ac thay the vbi chi mot gib le phi tien ich nu'bc thobt co dinh, can cO theo ca cua dong ho nu'bc vb hang khach hang. W GIA LE PHI CO DINH doc lap vbi so lu'ang nu'bc s& dung. Nhirng le phi nay dung de- thanh town cac chi phi co dinh, khong thay doi nhu cac du an von, tai nu'bc, phan phoi, dong ho nu'bc va dich vu. GIA LE PHI THAY DOI du'ac tinh theo so lu'ang nu'bc di ngang qua dong ho cua khach hang. Nhirng chi phi nay dung de- thanh town cho nhirng chi phi nhu, tie-n mua nu'bc, dien va h6a chat loc nu'bc. 65 A flE NGHI Neu de nghi thay doi mCrc gia di.vac Hoi dong thanh pho chap thuan, tat ca cac dich vu nv&c va nv&c thoat se dvcyc lap hda dan theo mue gia neu trong cac bang & nhCrng trang sau: • Mirc gia Hi¢u "'ngay Hi¢u "'ngay Hi¢u" ngay 'T "' ngay Hi¢u "' ngay hien tai 1 gieng 1, 1 thang 7, 1 thang 7, 1 thang 7, 1 thang 7, (M6i CCF*) 2020 2020 2021 2022 2023 ' CAP 1** $3.02 $2.03 $2.17 $2.31 $2.36 $2.41 CAP 2*** $3.59 $4.79 t $5.13 $5.46 $5.57 $5.68 NUOCTPI $242 $2,15 $2.30 $2.45 $2.50 $2.55 SU DUNG *1 CCF=748 ga-I6ng (khoang 4 lit) **Xem bang Iwang nuac phan ph6i cua m6i cap. *** Cap 2 la Iwang nuac siv dung vuat qua luting nuac duac phan ph6i a Cap 1 TF • i Luang nubc phan Luang nubc phan Luang nubc phan C& Luang nubc - phoi de nghi cho ph6i de nghi cho ph6i de nghi cho phan ph6i d"ong h6 hien tai nha to nhan m6t ca s& kh6ng ph6i khu nha (r gia dinh nha to nhan nhieu gia dinh 518" x 0 - 22 CCF 0 -10.50 CCF 0 - 31.00 CCF 0 - 8.50 CCF 314" 314" 0 - 22 CCF 0 -15.75 CCF 0 - 46.50 CCF 0 -12.75 CCF V 0 - 22 CCF 0 - 26.25 CCF 0 - 77.50 CCF 0 - 21.25 CCF 1 112" 0 - 22 CCF 0 - 52.50 CCF 0-155.00 CCF 0 - 42.50 CCF 2" 0 - 22 CCF 0 - 84.00 CCF 0 - 248.00 CCF 0 - 68.00 CCF 3" 0 - 22 CCF 0-183.75 CCF 0 - 542.50 CCF 0-148.75 CCF 4" 0 - 22 CCF 0 - 330.75 CCF 0 - 976.50 CCF 0 - 267.75 CCF 6" 0 - 22 C 0 - 682.50 CCF 0 - 2,015.00 CCF 0 - 552.50 CCF W. 0 - 22 CCF 0-1,260.00 CCF 0 - 3,720.00 CCF 0-1,020.00 CCF kich thu,bc Le phi Hi¢u lu�c ngay Hi¢u lurc ngay Hi¢u lurc ngay Hi¢u ILvc ngay Hi¢u ILvc ngay met hies tai 1 gieng 1, 1 thang 7, 1 thang 7, 1 thang 7, 1 thang 7, 2020 2020 2021 2022 2023 518" x 314" $6.95 $20.51 $21.94 $23.37 $23.84 $24.31 314" $15.10 $30.76 $32.91 $35.05 $35.75 $36.47 V. $28.65 $51.27 $54.85 $58.42 $59.59 $60.78 1 112" $44.93 $102.53 $109.70 $116.83 $119.17 $121.55 2" $82.90 $164.04 $175.52 $186.93 $190.67 $194.48 3" $137.15 $358.84 $383.96 $408.92 $417.10 $425.44 4" $272.78 $645.91 $691.12 $736.04 $750.76 $765.78 6" $435.53 $1,332.83 $1,426.12 $1,518.82 $1,549.20 $1,580.18 8.. $435.53 $2,460.60 $2,632.84 $2,803.97 $2,860.05 $2,917.25 Gia le phi hien tai cua m6i dan vi cua khu nha d+nhieu gia dinh: $4.75 NHA TU NHAN MOT GIA DINH kich thu,bc Le phi met hien tai 518" x 314" 314" V 1 112" 3" $1.68 + (S6 of CCF x 0.426) (1 CCF 4^ = 748 ga-long) 6" W. 10" Hft luc ngay Hi¢u lurc ngay Hi¢u lurc ngay Hi¢u lurc ngay Hi¢u lurc ngay 1 gieng 1, 1 thang 7, 1 thang 7, 1 thang 7, 1 thang 7, 2020 2020 2021 2022 2023 $5.60 $5.88 $6.41 $6.99 $7.62 $7.93 $8.33 $9.08 $9.90 $10.79 $12.59 $13.22 $14.41 $15.71 $17.12 $24.23 $25.44 $27.73 $30.23 $32.95 $38.20 $40... $43.72 $47.65 $51.94 $82.43 $86.55 $94.34 $102.83 $112.08 $147.62 $155.00 $168.95 $184.16 $200.73 $303.61 $318.79 $347.48 $378.75 $412.84 $559.71 $587.70 $640.59 $698.24 $761.08 $885.66 $929.94 $1,013.63 $1,104.86 $1,204.30 KHU NHA O' NHIEU GIA DINH kich thu,bc Le phi Hieu ILvc ngay Hieu lurc ngay Hieu lurc ngay Hieu lurc ngay Hieu lurc ngay met hies tai 1 gieng 1, 1 thang 7, 1 thang 7, 1 thang 7, 1 thang 7, 2020 2020 2021 2022 2023 518" x 314" $8.40 $8.82 $9.61 $10.47 $11.41 314" $12.12 $12.73 $13.88 $15.13 $16.49 V $19.57 $20.55 $22.40 $24.42 $26.62 1 112" $1.68 + $38.20 $40.11 $43.72 $47.65 $51.94 (So of CCF 2" x 0.426) $60.55 1 $63.58 1 $69.30 1 $75.54 $82.34 3" (1 CCF $131.32 $137.89 $150.30 $163.83 $178.57 748 4" g= g) $235.63 $247.41 $269.68 $293.95 $320.41 6" $485.21 $509.47 $555.32 $605.30 $659.78 W. $894.97 $939.72 $1,024.29 $1,116.48 $1,216.96 10.. $1,416.49 $1,487.31 $1,621.17 $1,767.08 $1,926.12 CC' SO'�Y\HONG VAI NHA CY b J kich thu,bc Le phi Hieu lurc ngay Hieu lurc ngay Hieu luc ngay Hieu luc ngay Hieu luc ngay met hien tai 1 gieng 1, 1 thang 7, 1 thang 7, 1 thang 7, 1 thang 7, 2020 2020 2021 2022 2023 518" x 314" $9.33 $9.80 $10.68 $11.64 $12.69 314" $13.52 $14.20 $15.48 $16.87 $18.39 V $21.90 $23.00 $25.07 $27.33 $29.79 $1.68 + 1 112" (So of $42.85 $44.99 $49.04 $53.45 $58.26 CCF x 2" 0.426) 1 $68.00 1 $71.40 1 $77.83 1 $84.83 $92.46 3 $147.62 $155.00 $168.95 $184.16 $200.73 (1 CCF 4" = 748 $264.96 $278.21 $303.25 $330.54 $360.29 a Ion g g) 6" $545.74 $573.03 $624.60 $680.81 $742.08 W. $1,006.73 1 $1,057.07 $1,152.21 1 $1,255.91 $1,368.94 10.. $1,593.43 $1,673.10 $1,823.68 $1,987.81 $2,166.71 Khach hang $26.06 + FOG (So CCF x $40.92 $42.97 $46.84 $51.06 $55.66 0.426) O w Q U �04 < WaawQ aU) IL az < A �R AMS 0 `z_ r LU 5W L 65A-47 LU J 0 LU 2 U z LU LU 5- w ¢ En " d En w a a w H a� ¢ 0< u +r `YJ i � J V V) REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 1, 2019 TITLE: PUBLIC HEARING — GENERAL PLAN AMENDMENT NO. 2019-02 TO CHANGE THE GENERAL PLAN LAND USE DESIGNATION FROM LOW -DENSITY RESIDENTIAL (LR-7) TO GENERAL COMMERCIAL (GC) FOR A NEW 3,705- SQUARE FOOT MEDICAL OFFICE BUILDING LOCATED AT 402 NORTH EUCLID STREET {STRATEGIC PLAN NO. 3,21 /a/ Kristine Ridge CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on ls' Reading ❑ Ordinance on 2od Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Approve General Plan Amendment No. 2019-02 to redesignate the property at 402 North Euclid Street from Low -Density Residential (LR-7) to General Commercial (GC). PLANNING COMMISSION ACTION At its regular meeting on August 26, 2019, the Planning Commission by a vote of 4:0 (Commissioner Rivera and Commissioner Cano absent) adopted a resolution approving Variance No. 2014-04 as conditioned and recommended that the City Council adopt a resolution approving General Plan Amendment No. 2019-02 for the property located at 402 North Euclid Street. The Planning Commission made no changes to the recommendation outlined in the attached staff report (Exhibit 2). DISCUSSION Paul Kim with Source Architecture Inc., representing CN Square Office Building development, is requesting approval of a general plan amendment to change the land use designation for the property at 402 North Euclid Street from Low -Density Residential (LR-7) to General Commercial (GC). As part of the overall project, a variance to allow a reduction in lot size and a reduction in the required setbacks was also requested and approved at the Planning Commission meeting. The variance request was made in order to facilitate construction of a new 3,705-square foot medical office building. Staff is recommended approval of the requests due to the project's consistency with the goals of the city's General Plan and its conformance with the intent of the existing zoning district. In addition, the project will provide new business opportunities and it has been designed to minimize impacts on neighboring properties, specifically the single-family residential properties to the west. 75A-1 General Plan Amendment No. 2019-02 October 1, 2019 Page 2 The applicant is applying for a general plan amendment in order to re -designate the property proposed for development to General Commercial (GC). The amendment will facilitate the construction of a 3,705-square foot medical office building on a vacant parcel of land. The General Commercial designation applies to commercial corridors and areas that are highly visible and are critical arterial transportation corridors. The subject property is proposed to be changed from a Low - Density Residential (LR-7) land use designation to GC. The change will make the property's General Plan land use designation consistent with the current zoning of the site, which is C-1. Currently, the Euclid Street corridor has properties with inconsistent general plan designations and zoning districts but are developed with commercial uses. This amendment will create consistency with those additional properties in the vicinity that are already developed with a commercial use. In addition, these properties are currently improved with commercial uses including professional and medical office buildings, eating establishments, and mixed retail and service uses that provide neighborhood facilities and services to the nearby residential properties to the east and west of the Euclid Street corridor. The general plan amendment will provide consistency with the existing uses and will make the properties consistent with the zoning district. Figure 1: Existing GPA Designation Map Figure 2: Proposed GPA Designation Map ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act (CEQA), a Class 3 Categorical Exemption under Environmental Review No. 2017-50 will be filed for this project. Class 3 Exemptions consists of construction and location of limited numbers of new structures. Examples of this exemption include, a store, motel, office, restaurant or similar commercial or institutional structure in an urbanized area, not involving the use of significant amounts of hazardous substances, and not exceeding 10,000 square feet in floor area on sites zoned for such use. Further, all necessary public services and facilities must be available and the surrounding area cannot be environmentally sensitive. 75A-2 General Plan Amendment No. 2019-02 October 1, 2019 Page 3 Table 1: Public Notification & Community Outreach Public Notification & Community Outreach Notification by mail was mailed to all property owners/occupants Notification by mail within 500 feet of the project site, and interested parties, on Required Measures September 20, 2019. Newspaper posting Newspaper posting was published in the Orange County Reporter on September 20, 2019. Sunshine Meeting A Sunshine Ordinance Community Meeting was held on October 17, 2017 at 7:00 p.m. in accordance with the provisions of the City's Sunshine Ordinance. A total of 5 members of the public attended. The public inquired about the type of use for the proposed building and whether the adjacent neighborhood would experience any impacts during construction or at completion. The applicant provided all the required information to the City after the meeting. The Riverview West Neighborhood Association was contacted to identify any areas of concern due to the proposed project. At the time this report was written, no issues of concern were raised regarding this application. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #3 - Economic Development, Objective #2 (create new opportunities for business/job growth and encourage private development through new General Plan and Zoning Ordinance policies). ECONOMIC DEVELOPMENT The project will generate property tax revenue and services for the community. Property and business tax revenue will increase as the property will be developed with a new commercial building. The project will be issued building permits that would allow the construction of the building, the parking lot, and landscaping. According to the applicant, the estimated cost of construction and permits for this project is $500,000. The property owners will also be the tenants for the propert�. The two doctors are proposing to relocate their current practice to the subject site from an adjacent City. With the two separate businesses in full operation, it is expected to generate 10 new employment opportunities. Minh Thai Executive Director Planning and Building Agency IOaa S'.1 R FCA12019110-1-19\402 N. EuGid St SPA 19-2\RFCA for GPA No. 2019-02 ON Square Office Buiding at 402 N. Eudid Sireei Exhibits: 1. Resolution Approving General Plan Amendment No. 2019-02 2. Planning Commission Staff Report and Exhibits 75A-3 4:/:1NIII ISl LS 10.01.19 RESOLUTION NO. 2019-xx A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING GENERAL PLAN AMENDMENT NO. 2019-02 TO AMEND THE GENERAL PLAN LAND USE DESIGNATION TO GENERAL COMMERCIAL IN ORDER TO FACILITATE CONSTRUCTION OF A MEDICAL OFFICE BUILDING OF THE PROPERTY LOCATED AT 402 NORTH EUCLID STREET 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. Paul Kim (Applicant), representing CN Square Office Building, is requesting approval of General Plan Amendment No. 2019-02 to amend the General Plan land use designation of the property at 402 North Euclid Street from Low -Density Residential (LR-7) to General Commercial (GC) and to update text portions of the City's Land Use Element to reflect this change in order to facilitate construction of a new 3,705-square foot medical office building, associated parking, and landscaping for the property located at 402 North Euclid Street. B. On August 26, 2019, the Planning Commission of the City of Santa Ana held a duly noticed public hearing and voted to recommend that the City Council adopt a resolution adopting Categorical Exemption, Environmental Review No. 2017-50 and approve General Plan Amendment No. 2019-02. C. On October 1, 2019, the City Council of the City of Santa Ana held a duly noticed public hearing to consider all testimony, written and oral, related to General Plan Amendment No. 2019-02, at which time all persons wishing to testify were heard, the project was fully considered, and all other legal prerequisites to the adoption of this Resolution occurred. D. General Plan Amendment No. 2019-02 has been filed to amend the General Plan to change the land use designation of the property at 402 North Euclid Street from Low -Density Residential (LR-7) to General Commercial (GC) and to update text portions of the City's Land Use Element to reflect this change. E. The City Council hereby finds that the proposed General Plan Amendment is compatible with the objectives, policies, and general plan land use Resolution No. 2019-xx Page 1 of 5 75A-4 programs specified in the General Plan for the City of Santa Ana in that: The City of Santa Ana has officially adopted a General Plan. ii. The land uses authorized by the General Plan Amendment, and the General Plan Amendment itself, are compatible with the goals/objectives, policies, general land uses, and programs specified in the General Plan, for the following reasons: 1. The existing General Plan land use designation for the project area is Low -Density Residential (LR-7) which is typically in areas that are located away from main arterial streets and within tracts that provide single-family residential properties, with maximum density of seven units per acre. 2. The proposed General Plan land use designation for the project area is General Commercial (GC) which applies to commercial corridors and major arterial roadways in the City, allows for facilities and services including shopping, recreation, cultural and entertainment activities and the floor area ratio intensity ranges from 0.5 to 1.0. 3. The general plan amendment will support several goals and policies of the General Plan, including the Land Use Element, Economic Development Element, Circulation Element, and Urban Design Element. In specific, General Plan Land Use Element Goal 1 to promote a balance of land uses to address basic community needs. Policy 1.10 to encourage the location of commercial centers at arterial roadway intersections in commercial districts. Land Use Element Goal 2 to promote land uses that enhance the City's economic and fiscal viability. Policy 2.4 supporting pedestrian access with an enhanced pedestrian walkway. Furthermore, the project is consistent with Policy 2.8, to promote rehabilitation of commercial properties, and encourage increased levels of capital investment. Policy 2.9 supporting developments that create a business environment that is safe and attractive. Policy 5.5 to encourage development that is compatible with and supporting of surrounding land uses. The proposed medical building and its operation is compatible with the surrounding commercial and professional businesses. Economic Development Goal 2 to maintain and enhance the diversity of the City's economic base. Specifically, Policy 2.3 to encourage the development of mutually beneficial and supportive business clusters within the community. Economic Development Goal 4 to expand the tax base of local Resolution No. 2019-xx Page 2 of 5 75A-5 government to improve and maintain the level of public services. Policy 4.1 to target business attraction and retention resources towards firms with high positive net revenue implications for local government, particularly those engaged in business -to -business taxable sales transactions. Circulation Element Goal 2 to promote design and construction that facilitates safe utilization of the City's transportation system. Policy 2.1 to limit the number of driveways on arterial streets to reduce vehicular conflict, and facilitate traffic flow. Urban Design Goal 1 to improve the physical appearance of the City through development of districts that project a sense of place, positive community image and quality environmental. Specifically, Policy 1.5 to include enhanced architectural forms, textures, colors, and materials are expected in the design of all projects. 4. The proposed General Plan Amendment will not adversely affect the public health, safety, and welfare in that the General Plan Amendment will not result in incompatible land uses on adjacent properties, inconsistencies with any General Plan goals or policies, or adverse impacts to the environment. F. The City Council has weighed and balanced the General Plan's policies, and has determined that based upon this balancing that General Plan Amendment No. 2019-02 is consistent with the purpose of the general plan. Section 2. In accordance with the California Environmental Quality Act (CEQA) and the CEQA Guidelines, the recommendation is exempt from further review pursuant to Section 15303 (Class 3 "New Construction or Conversion of Small Structures"). The Class 3 Categorical Exemption allows for the construction of new in -fill commercial buildings in a zone which permits commercial land uses if not involving the use of hazardous substances where all necessary public services and facilities are available and the surrounding area is not environmentally sensitive. Based on this analysis, a Notice of Exemption for Environmental Review No. 2017-50 will be filed for this project. Section 3. The City Council of the City of Santa Ana after conducting the public hearing hereby approves General Plan Amendment No. 2019-02. The amendments to the Land Use Element are attached hereto as Exhibit A and incorporated herein by this reference as though fully set forth herein. This decision is based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Request for Council Action dated October 1, 2019, and exhibits attached hereto; and the public testimony, written and oral, all of which are incorporated herein by this reference. Resolution No. 2019-xx Page 3 of 5 75A-6 Section 4. The Applicant shall indemnify, protect, defend and hold the City and/or any of its officials, officers, employees, agents, departments, agencies, authorized volunteers, and instrumentalities thereof, harmless from any and all claims, demands, lawsuits, writs of mandamus, and other and proceedings (whether legal, equitable, declaratory, administrative or adjudicatory in nature), and alternative dispute resolution procedures (including, but not limited to arbitrations, mediations, and such other procedures), judgments, orders, and decisions (collectively "Actions"), brought against the City and/or any of its officials, officers, employees, agents, departments, agencies, and instrumentalities thereof, that challenge, attack, or seek to modify, set aside, void, or annul, any action of, or any permit or approval issued by the City and/or any of its officials, officers, employees, agents, departments, agencies, and instrumentalities thereof (including actions approved by the voters of the City) for or concerning the Project, whether such Actions are brought under the Ralph M. Brown Act, California Environmental Quality Act, the Planning and Zoning Law, the Subdivision Map Act, Code of Civil Procedure sections 1085 or 1094.5, or any other federal, state or local constitution, statute, law, ordinance, charter, rule, regulation, or any decision of a court of competent jurisdiction. It is expressly agreed that the City shall have the right to approve, which approval will not be unreasonably withheld, the legal counsel providing the City's defense, and that Applicant shall reimburse the City for any costs and expenses directly and necessarily incurred by the City in the course of the defense. City shall promptly notify the Applicant of any Action brought and City shall cooperate with Applicant in the defense of the Action. Section 5. This decision rendered by the City Council of the City of Santa Ana is final and is subject to judicial review pursuant to California Code of Civil Procedure section 1094.6. The Planning and Building Agency shall give direct notice to the Applicant of the City Council's decisions and these findings. ADOPTED this day of 2019. APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: `t Lisa Storck Assistant City Attorney Miguel A. Pulido Mayor Resolution No. 2019-xx Page 4 of 5 75A-7 AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, DAISY GOMEZ, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2019-xx to be the original resolution adopted by the City Council of the City of Santa Ana on , 2019. Date: Daisy Gomez Clerk of the Council City of Santa Ana Resolution No. 2019-xx Page 5 of 5 75A-8 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: AUGUST 26, 2019 TITLE: PUBLIC HEARING — GENERAL PLAN AMENDMENT NO. 2019-02 TO CHANGE THE GENERAL PLAN LAND USE DESIGNATION FROM LOW -DENSITY RESIDENTIAL (LR-7) TO GENERAL COMMERCIAL (GC) AND VARIANCE NO. 2019-04 FOR A REDUCTION IN LOT SIZE AND SIDE YARD SETBACK TO CONSTRUCT A NEW 3,705-SQUARE FOOT MEDICAL OFFICE BUILDING LOCATED AT 402 NORTH EUCLID STREET - (STRATEGIC PLAN NO. 3,2) Prepared by Ivan Orozco Executive Director RECOMMENDED ACTION *1Tl : 11:1 h 1V PLANNING COMMISSION SECRETARY APPROVED ❑ As Recommended ❑ As Amended ❑ Set Public Hearing For DENIED ❑ Applicant's Request ❑ Staff Recommendation CONTINUED TO Planni g Ma ger 1. Recommend that the City Council adopt a resolution recommending approval of General Plan Amendment No. 2019-02. 2. Adopt a resolution approving Variance No. 2019-04, as conditioned. Executive Summary Paul Kim with Source Architecture Inc., representing CN Square Office Building development, is requesting approval of a general plan amendment to change the land use designation for the property at 402 North Euclid Street from Low -Density Residential (LR-7) to General Commercial (GC) and a variance to allow a reduction in lot size and a reduction in the required setbacks in order to facilitate construction of a new 3,705-square foot medical office building. Staff is recommending approval of the requests due to the project's consistency with the goals of the city's General Plan and its conformance with the intent of the existing zoning district. In addition, the project will provide new business opportunities and it has been designed to minimize impacts on neighboring properties, specifically the single-family residential properties to the west. Table 1: Proiect and Location Information Item Information Project Address 402 North Euclid Street Nearest Intersection Euclid Street and Fourth Street General Plan Designation Currently: Low -Density Residential LR-7 Proposed: General Commercial GC Zoning Designation Community Commercial (C-1) 75A-9 GPA No. 2019-02, VAR No. 2019-04 August 26, 2019 Page 2 Item Information Surrounding Land Uses North Commercial (Zoning: C1, GP: LR-7 East Commercial (Zoning: C1, GP: LR-7 South Commercial (Zoning: C1, GP: LR-7 West Single -Family Residential (Zoning: R1, GP: LR-7 Property Size 14,859 square feet Existing Site Development The property is currently vacant Use Permissions Commercial Medical Buildin Zoning Code Sections Affected Lot Size and Fronta a SAMC Section 41-373 Lot Setbacks ISAMC Section 41-368, 41-369, 41-370 Project Description The applicant is proposing to develop a vacant lot with a 3,705-square foot office building, a surface parking lot, and associated landscaping. The building will be partitioned into two separate medical tenant spaces, as the proposed tenants are both the property owners and in the medical practice. The building will be located at the southeast corner of the property, nearest to the Euclid Street and Fourth Street intersection. The parking area is located at the rear, behind the building. There will be two proposed driveways for the property, one on Euclid Street and the other located on Fourth Street. The architectural design of the building is modern -contemporary and will feature a variety of materials and physical breaks on the facades to create articulation throughout, in compliance with the Citywide Design Guidelines. Exterior materials include vertical and horizontal metal panels, wood siding, stucco finish, and metal awnings and railings to accent the proposed materials. Table 2: Conformance to Development Standards Standard Required by SAMC Provided Minimum Lot Size 15,000 square feet 14,859 square feet — Variance Required Minimum Lot Frontage 120 feet 240 feet Maximum Building Height 35 feet 27 feet Minimum Front Yard Setback 15 feet 5-10 feet — Variance Required Minimum Side Yard Setback 0 feet Interior/15 feet street side 5-10 feet — Variance Required Minimum Rear Yard Setback 0 feet Complies Minimum Building to Garage Separation 5 feet 18 feet Off -Street Parking 5 spaces/ 1,000 square feet of gross floor area (19 spaces) 19 spaces Project Background There are no available permit records pertaining to any buildings or use of the property. In December of 2015, the property was formally consolidated from three individual vacant lots into one parcel. This was finalized through the recordation of a voluntary lot merger document. The merging of the lots was done in anticipation of the development of the vacant property into a medical building. 75A-10 GPA No. 2019-02, VAR No. 2019-04 August 26, 2019 Page 3 Proiect Analvsis General Plan Amendment The applicant is applying for a general plan amendment in order to re -designate the property proposed for development to General Commercial (GC). According to the General Plan, the General Commercial designation applies to commercial corridors and areas that are highly visible and are critical arterial transportation corridors. The subject property is proposed to be changed from a Low - Density Residential (LR-7) land use designation to GC. The change will make the property's General Plan land use designation consistent with the current zoning of the site, which is C-1. Currently, the Euclid Street corridor has properties with inconsistent general plan designations and zoning districts but are developed with commercial uses. This amendment will create consistency with those additional properties in the vicinity that are already developed with a commercial use and eventually through a comprehensive general plan amendment, those inconsistencies will be clarified. In addition, these properties are currently improved with commercial uses including professional and medical office buildings, eating establishments, and mixed retail and service uses that provide neighborhood facilities and services to the nearby residential properties to the east and west of the Euclid Street corridor. The general plan amendment will provide consistency with the existing uses and will make the properties consistent with the zoning district. Variance for Reduced Lot Size and Front Yards Pursuant to SAMC Section 41-632 (a) (2), a variance application can be filed from the development standards of the zoning district. Variance requests are governed by Section 41-638 (2) of the SAMC. Variances may be granted when it can be shown that there exists a special circumstance related to the property, is necessary for the preservation and enjoyment of substantial property rights, will not be detrimental to the public or surrounding property, and will not adversely affect the General Plan. In analyzing the multiple variance requests, staff believes that the following analysis warrants staff's recommendation of approval for the variance. The zoning code requires a 15-foot landscaped setback along both Euclid Street and Fourth Street. The subject property is already deficient in available land in order to meet the minimum lot size required for development in the Community Commercial (C-1) zoning district. Pursuant to Sec. 41- 373 of the SAMC, lots in the C-1 zoning district require a 15,000 square foot minimum size to develop. The deficiency for the site is by 141 square feet, which equated to less than one (1) percent. Through the review of the project, staff identified that the final design of the building and lot would suffer losses to the size of the building if the 15-foot requirement for the front yard setback was applied. In order forthe applicant to preserve as much property rights to develop the site to its full potential, staff worked with the applicant to design a project that would offer different front yard setback distances. Special consideration would be taken to architectural design of the building, articulation on a vertical and horizontal plane, in order to gain a physical appearance that the building is not located directly on the property line. In some locations the yards will be reduced to 5 feet, requiring a variance. The final 75A-11 GPA No. 2019-02, VAR No. 2019-04 August 26, 2019 Page 4 design is consistent with the Citywide Design Guidelines, which encourages building placement closer to intersections, thereby activating the street frontage with development. Table 3: CEQA. Strategic Plan Alignment, and Public Notification & Community Outreach CEQA, Strategic Plan Alignment, and Public Notification & Community Outreach CEQA CEQA Type Class 3 Categorical Exemption Section 15303 Reason(s) Exempt or Class 3 consists of construction and location of limited numbers of new structures. Analysis Examples of this exemption include, a store, motel, office, restaurant or similar commercial or institutional structure not involving the use of significant amounts of hazardous substances, and not exceeding 2500 square feet in floor area. In urbanized areas, the exemption also applies to up to four such commercial buildings not exceeding 10,000 square feet in floor area on sites zoned for such use, if not involving the use of significant amounts of hazardous substances where all necessary public services and facilities are available and the surrounding area is not environmentally sensitive. Environmental Review No. 2017-50 will be filed for this project. Strategic Plan Alignment Goal(s), Policy or Approval of this item supports the City's efforts to meet Goal #3 — Economic Development, Policies Objective #2 (create new opportunities for business/job growth and encourage private development through new General Plan and Zoning policies Public Notification & Community Outreach A public notice was posted on the project site on August 15, 2019. Notification by mail was mailed to all property owners and occupants within 500 feet of the Required Measures project site on August 15, 2019. Newspaper posting was published in the Orange County Reporter on August 15, 2019. A Sunshine Ordinance Community Meeting was held on- October 17, 2017 at 7:00 p.m. in accordance with the provisions of the City's Sunshine Ordinance. A total of 5 members of the public attended. The public inquired about the type of use for the proposed building and whether the adjacent neighborhood would experience any impacts during construction Additional Measures or at completion. The applicant provided all the required information to the City after the meeting. The Riverview West Neighborhood Association was contacted to identify any areas of concern due to the proposed project. At the time this report was written, no issues of concern were raised regarding this application. Economic Development The project will generate property tax revenue and services for the community. Property tax revenue will increase as the property will be developed with a new commercial building, business taxes will be generated. The project will be issued building permits that would allow the construction of the building, the parking lot, and landscaping. According to the applicant, the estimated cost of construction and permits for this project is $500,000. The property owners will also be the tenants. The two doctors are proposing to relocate their current practice to the subject site from another City in Orange County. With the two separate businesses in full operation, it is expected to generate 10 new employment opportunities. 75A-12 GPA No. 2019-02, VAR No. 2019-04 August 26, 2019 Page 5 Conclusion Based on the analysis provide within this report, staff recommends that the Planning Commission recommend that the City Council approve General Plan Amendment No. 2019-02. Further, staff recommends that the Planning Commission approve Variance No. 2019-04 as conditioned. Ivan arozcdJ� Assistant Plann r II 10: sb S1Planning Commission\2019\8-12-19\402 N Euclid - GPA 2019-02 VAR-2019-04/GPA No. 2019-02 VA No. 2019-04_402 N Euclid_SR.pc.docx Exhibits: 1. CC Resolution for GPA No. 2019-02, ER No. 2017-50 2. PC Resolution for VA No. 2019-04 3. Vicinity Zoning and Aerial Map 4. Site Photo 5. Site Plan 6. Floor Plan 7. Elevations 8. Preliminary Landscape Plan 75A-13 This page left blank intentionally. 75A-14 EXHIBIT 1 75A-15 This page left blank intentionally. 75A-16 LS 10.1.19 RESOLUTION NO. 2019-xx A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING GENERAL PLAN AMENDMENT NO. 2019-02 TO AMEND THE GENERAL PLAN LAND USE DESIGNATION TO GENERAL COMMERCIAL IN ORDER TO FACILITATE CONSTRUCTION OF A MEDICAL OFFICE BUILDING OF THE PROPERTY LOCATED AT 402 NORTH EUCLID STREET 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. Paul Kim (Applicant), representing CN Square Office Building, is requesting approval of General Plan Amendment No. 2019-02 to amend the General Plan land use designation of the property at 402 North Euclid Street from Low -Density Residential (LR-7) to General Commercial (GC) and to update text portions of the City's Land Use Element to reflect this change in order to facilitate construction of a new 3,705-square foot medical office building, associated parking, and landscaping for the property located at 402 North Euclid Street. B. On August 26, 2019, the Planning Commission of the City of Santa Ana held a duly noticed public hearing and voted to recommend that the City Council adopt a resolution adopting Categorical Exemption, Environmental Review No. 2017-50 and approve General Plan Amendment No. 2019-02. C. On October 1, 2019, the City Council of the City of Santa Ana held a duly noticed public hearing to consider all testimony, written and oral, related to General Plan Amendment No. 2019-02, at which time all persons wishing to testify were heard, the project was fully considered, and all other legal prerequisites to the adoption of this Resolution occurred. D. General Plan Amendment No. 2019-02 has been filed to amend the General Plan to change the land use designation of the property at 402 North Euclid Street from Low -Density Residential (LR-7) to General Commercial (GC) and to update text portions of the City's Land Use Element to reflect this change. E. The City Council hereby finds that the proposed General Plan Amendment is compatible with the objectives, policies, and general plan land use Resolution No. 2019-xx Page 1 of 5 75A-17 programs specified in the General Plan for the City of Santa Ana in that: i. The City of Santa Ana has officially adopted a General Plan. ii. The land uses authorized by the General Plan Amendment, and the General Plan Amendment itself, are compatible with the goals/objectives, policies, general land uses, and programs specified in the General Plan, for the following reasons: 1. The existing General Plan land use designation for the project area is Low -Density Residential (LR-7) which is typically in areas that are located away from main arterial streets and within tracts that provide single-family residential properties, with maximum density of seven units per acre. 2. The proposed General Plan land use designation for the project area is General Commercial (GC) which applies to commercial corridors and major arterial roadways in the City, allows for facilities and services including shopping, recreation, cultural and entertainment activities and the floor area ratio intensity ranges from 0.5 to 1.0. 3. The general plan amendment will support several goals and policies of the General Plan, including the Land Use Element, Economic Development Element, Circulation Element, and Urban Design Element. In specific, General Plan Land Use Element Goal 1 to promote a balance of land uses to address basic community needs. Policy 1.10 to encourage the location of commercial centers at arterial roadway intersections in commercial districts. Land Use Element Goal 2 to promote land uses that enhance the City's economic and fiscal viability. Policy 2.4 supporting pedestrian access with an enhanced pedestrian walkway. Furthermore, the project is consistent with Policy 2.8, to promote rehabilitation of commercial properties, and encourage increased levels of capital investment. Policy 2.9 supporting developments that create a business environment that is safe and attractive. Policy 5.5 to encourage development that is compatible with and supporting of surrounding land uses. The proposed medical building and its operation is compatible with the surrounding commercial and professional businesses. Economic Development Goal 2 to maintain and enhance the diversity of the City's economic base. Specifically, Policy 2.3 to encourage the development of mutually beneficial and supportive business clusters within the community. Economic Development Goal 4 to expand the tax base of local Resolution No. 2019-xx Page 2 of 5 75A-18 government to improve and maintain the level of public services. Policy 4.1 to target business attraction and retention resources towards firms with high positive net revenue implications for local government, particularly those engaged in business -to -business taxable sales transactions. Circulation Element Goal 2 to promote design and construction that facilitates safe utilization of the City's transportation system. Policy 2.1 to limit the number of driveways on arterial streets to reduce vehicular conflict, and facilitate traffic flow. Urban Design Goal 1 to improve the physical appearance of the City through development of districts that project a sense of place, positive community image and quality environmental. Specifically, Policy 1.5 to include enhanced architectural forms, textures, colors, and materials are expected in the design of all projects. 4. The proposed General Plan Amendment will not adversely affect the public health, safety, and welfare in that the General Plan Amendment will not result in incompatible land uses on adjacent properties, inconsistencies with any General Plan goals or policies, or adverse impacts to the environment. F. The City Council has weighed and balanced the General Plan's policies, and has determined that based upon this balancing that General Plan Amendment No. 2018-05 is consistent with the purpose of the general plan. Section 2. In accordance with the California Environmental Quality Act (CEQA) and the CEQA Guidelines, the recommendation is exempt from further review pursuant to Section 15303 (Class 3 "New Construction or Conversion of Small Structures"). The Class 3 Categorical Exemption allows for the construction of new in -fill commercial buildings in a zone which permits commercial land uses if not involving the use of hazardous substances where all necessary public services and facilities are available and the surrounding area is not environmentally sensitive. Based on this analysis, a Notice of Exemption for Environmental Review No. 2017-50 will be filed for this project. Section 3. The City Council of the City of Santa Ana after conducting the public hearing hereby approves General Plan Amendment No. 2019-02. The amendments to the Land Use Element are attached hereto as Exhibit A and incorporated herein by this reference as though fully set forth herein. This decision is based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Request for Council Action dated October 1, 2019, and exhibits attached hereto; and the public testimony, written and oral, all of which are incorporated herein by this reference. Resolution No. 2019-xx Page 3 of 5 75A-19 Section 4. The Applicant shall indemnify, protect, defend and hold the City and/or any of its officials, officers, employees, agents, departments, agencies, authorized volunteers, and instrumentalities thereof, harmless from any and all claims, demands, lawsuits, writs of mandamus, and other and proceedings (whether legal, equitable, declaratory, administrative or adjudicatory in nature), and alternative dispute resolution procedures (including, but not limited to arbitrations, mediations, and such other procedures), judgments, orders, and decisions (collectively "Actions"), brought against the City and/or any of its officials, officers, employees, agents, departments, agencies, and instrumentalities thereof, that challenge, attack, or seek to modify, set aside, void, or annul, any action of, or any permit or approval issued by the City and/or any of its officials, officers, employees, agents, departments, agencies, and instrumentalities thereof (including actions approved by the voters of the City) for or concerning the Project, whether such Actions are brought under the Ralph M. Brown Act, California Environmental Quality Act, the Planning and Zoning Law, the Subdivision Map Act, Code of Civil Procedure sections 1085 or 1094.5, or any other federal, state or local constitution, statute, law, ordinance, charter, rule, regulation, or any decision of a court of competent jurisdiction. It is expressly agreed that the City shall have the right to approve, which approval will not be unreasonably withheld, the legal counsel providing the City's defense, and that Applicant shall reimburse the City for any costs and expenses directly and necessarily incurred by the City in the course of the defense. City shall promptly notify the Applicant of any Action brought and City shall cooperate with Applicant in the defense of the Action. Section 5. This decision rendered by the City Council of the City of Santa Ana is final and is subject to judicial review pursuant to California Code of Civil Procedure section 1094.6. The Planning and Building Agency shall give direct notice to the Applicant of the City Council's decisions and these findings. ADOPTED this day of 2019. APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Lisa Storck Assistant City Attorney Miguel A. Pulido Mayor Resolution No. 2019-xx Page 4 of 5 75A-20 AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, DAISY GOMEZ, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2019-xx to be the original resolution adopted by the City Council of the City of Santa Ana on 12019. Date: Daisy Gomez Clerk of the Council City of Santa Ana Resolution No. 2019-xx Page 5 of 5 75A-21 This page left blank intentionally. 75A-22 EXHIBIT 2 75A-23 This page left blank intentionally. 75A-24 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING VARIANCE NO. 2019-04 TO ALLOW A REDUCTION IN MINIMUM LOT SIZE AND SIDE YARD SETBACK IN ORDER TO FACILITATE CONSTRUCTION OF A 3,705-SQUARE FOOT MEDICAL OFFICE BUILDING FOR THE PROPERTY LOCATED AT 402 NORTH EUCLID STREET BE IT RESOLVED BY THE PLANNING COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. Paul Kim with Source Architecture Inc., representing CN Square Office Building (Applicant) is requesting approval of Variance No. 2019-04 to allow the construction of a 3,705-square foot medical building on a vacant substandard lot with reductions in lot size and side yard setback for the property located at 402 North Euclid Street. B. Pursuant to Santa Ana Municipal Code (SAMC) Section 41-638, the Planning Commission is authorized to review and approve variances from the development standards set forth by the Santa Ana Municipal Code. C. On August 26, 2019, the Planning Commission of the City of Santa Ana held a duly noticed public hearing for Variance No. 2019-04. D. The Planning Commission of the City of Santa Ana determines that the following findings, which must be established in order to grant a variance pursuant to SAMC Section 41-638, have been established for Variance No. 2019-04 to allow a reduction in lot size and side yard setback: That because of special circumstances applicable to the subject property, including size, shape, topography, location or surroundings, the strict application of the zoning ordinance is found to deprive the subject property of privileges not otherwise at variance with the intent and purpose of the provisions of this Chapter. The project site has special circumstances related to its size, shape and surroundings. Pursuant to SAMC Section 41-373, the minimum size of a lot in the subject zone should be 75A-25 15,000 square feet. The subject lot measures 14,859 square feet. The site is deficient in size by 141 square feet, which equates to less than one (1) percent. The lot was legally combined through a voluntary lot merger which combined 402 and 406 North Euclid Street into a more developable lot. Furthermore, developing the lot and applying the strict application of the zoning ordinance is found to deprive the subject property of privileges not otherwise at variance with the intent and purpose of the provisions of the zoning code. Requesting that the building provide the necessary side yard setback requirement of 15 feet would drastically reduce the size of the building, thereby making the development of the vacant property unfeasible. 2. That the granting of a variance is necessary for the preservation and enjoyment of one or more substantial property rights. The granting of this variance is necessary for the preservation and enjoyment of substantial property rights. With a limited lot size, denying the Applicant's request to improve the property will deprive the right to construct a commercial building, which is otherwise permitted on other properties within the same vicinity and zone. If the variance is not granted, the property cannot be developed. 3. That the granting of a variance will not be materially detrimental to the public welfare or injurious to surrounding property. The granting of this variance will not be detrimental to the public or surrounding properties. The subject lot was legally created through the merging of two separate vacant lots. Each of the previously separate lots would not meet the minimum lot size or street frontage requirements on which to develop a building. The 402 North Euclid Street parcel was approximately 4,778 square feet in size, while the 406 North Euclid Street parcel was approximately 10,081 square feet. The project has been designed to be compatible with the neighboring commercial buildings. Furthermore, special consideration was placed on the design of the lot, building placement, and perimeter walls in order to guarantee that the proposed development will not be detrimental to the public welfare or injurious to the surrounding properties. 4. That the granting of a variance will not adversely affect the General Plan. Resdution No. 2019-xx Page 2 of 6 75A-26 Along with the application for this variance, a general plan amendment is also being requested by the Applicant. Currently, the subject property has a General Plan Land Use Designation of Low Density Residential (LR-7) which the Applicant is requesting to change to General Commercial (GC). Approving the variance would allow the Applicant to construct a new 3,705 square feet medical building on the vacant lot. Therefore, the project as a whole will not adversely affect the General Plan, but rather support the goals of the city's General Plan. Goal 3.1 of the Land Use Element supports development which provides a positive contribution to neighborhood character and identity and Goal 3.5 encourages new development that is compatible in scale, and consistent with the architectural character of the neighborhood. Section 2. In accordance with the California Environmental Quality Act (CEQA) and the CEQA Guidelines, the recommendation is exempt from further review pursuant to Section 15303 (Class 3 "New Construction or Conversion of Small Structures"). The Class 3 Categorical Exemption allows for the construction of new in -fill commercial buildings in a zone which permits commercial land uses if not involving the use of hazardous substances where all necessary public services and facilities are available and the surrounding area is not environmentally sensitive. Based on this analysis, a Notice of Exemption for Environmental Review No. 2017-50 will be filed for this project. Section 3. The Applicant shall indemnify, protect, defend and hold the City and/or any of its officials, officers, employees, agents, departments, agencies, authorized volunteers, and instrumentalities thereof, harmless from any and all claims, demands, lawsuits, writs of mandamus, and other and proceedings (whether legal, equitable, declaratory, administrative or adjudicatory in nature), and alternative dispute resolution procedures (including, but not limited to arbitrations, mediations, and such other procedures), judgments, orders, and decisions (collectively "Actions"), brought against the City and/or any of its officials, officers, employees, agents, departments, agencies, and instrumentalities thereof, that challenge, attack, or seek to modify, set aside, void, or annul, any action of, or any permit or approval issued by the City and/or any of its officials, officers, employees, agents, departments, agencies, and instrumentalities thereof (including actions approved by the voters of the City) for or concerning the Project, whether such Actions are brought under the Ralph M. Brown Act, California Environmental Quality Act, the Planning and Zoning Law, the Subdivision Map Act, Code of Civil Procedure sections 1085 or 1094.5, or any other federal, state or local constitution, statute, law, ordinance, charter, rule, regulation, or any decision of a court of competent jurisdiction. It is expressly agreed that the City shall have the right to approve, which approval will not be unreasonably withheld, the legal counsel providing the City's defense, and that Applicant shall reimburse the City for any costs and expenses directly and necessarily incurred by the City in the course of the defense. Resdution No. 2019-xx Page 3 of 6 75A-27 City shall promptly notify the Applicant of any Action brought and City shall cooperate with Applicant in the defense of the Action. Section 4. The Planning Commission of the City of Santa Ana, after conducting the public hearing, hereby approves Variance No. 2019-04 as conditioned in "Exhibit A" attached hereto and incorporated as though fully set forth herein for the project located at 402 North Euclid Street. This decision is based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Request for Planning Commission Action dated August 26, 2019, and exhibits attached thereto; and the public testimony, written and oral, all of which are incorporated herein by this reference. ADOPTED this 26th day of August 2019 by the following vote: AYES: Commissioners: NOES: Commissioners: ABSENT: Commissioners: ABSTENTIONS: Commissioners: Mark McLoughlin Chairperson APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Lisa Storck Assistant City Attorney I, SARAH BERNAL, Recording Secretary, do hereby attest to and certify the attached Resolution No. 2019-xx to be the original resolution adopted by the Planning Commission of the City of Santa Ana on August 26, 2019. Date: Sarah Bernal Recording Secretary Resdution No. 2019-xx Page 4 of 6 75A-28 EXHIBIT A Conditions for Approval for Variance No. 2019-04 Variance No. 2019-04 is approved subject to compliance, to the reasonable satisfaction of the Planning Manager, with applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code, and all other applicable regulations. In addition, they shall meet the following conditions of approval: The Applicant must comply with each and every condition listed below prior to exercising the rights conferred by this variance. The Applicant must remain in compliance with all conditions listed below throughout the life of the development project. Failure to comply with each and every condition may result in the revocation of the variance. Planning Division Conditions: Approval of Variance No. 2019-04 is contingent upon City Council approval of General Plan Amendment No. 2019-02. 2. All proposed site improvements must conform to Development Project Review (DP No. 2017-19) and the staff report exhibit. 3. Any amendment to this variance, including modifications to approved materials, finishes, architecture, site plan, landscaping, parking, and square footages must be submitted to the Planning Division for review. At that time, staff will determine if administrative relief is available or if variance must be amended. 4. Prior to submittal into building plan check, a full landscape and irrigation plan is to be submitted for review and approval. The landscape plan shall conform to the commercial landscape standards, Citywide Design Guidelines, and the City's Water Efficient Landscape Ordinance. 5. Within thirty (30) days of approval of this variance, a Property Maintenance Agreement must be recorded against the property. The agreement will be subject to review and applicability by the Planning and Building Agency, the Community Development Agency, the Public Works Agency, and the City Attorney to ensure that the property and all improvements located thereupon are properly maintained, Developer (and the owner of the property upon which the authorized use and/or authorized improvements are located if different from the Applicant) shall execute a Maintenance Agreement with the City of Santa Ana which shall be recorded against the property and which shall be in a form reasonably satisfactory to the City Attorney. The Property Maintenance Agreement shall contain covenants, conditions and restrictions relating to the following: Resdution No. 2019-xx Page 5 of 6 75A-29 (a) Compliance with operational conditions applicable during any period(s) of construction or major repair (e.g., proper screening and securing of the construction site; implementation of proper erosion control, dust control and noise mitigation measure; adherence to approved project phasing etc.); (b) Compliance with ongoing operational conditions, requirements and restrictions, as applicable (including but not limited to hours of operation, security requirements, the proper storage and disposal of trash and debris, enforcement of the parking management plan, and/or restrictions on certain uses, (c) Ongoing compliance with approved design and construction parameters, signage parameters and restrictions as well as landscape designs, as applicable; (d) Ongoing maintenance, repair and upkeep of the property and all improvements located thereupon (including but not limited to controls on the proliferation of trash and debris about the property; the proper and timely removal of graffiti; the timely maintenance, repair and upkeep of damaged, vandalized and/or weathered buildings, structures and/or improvements; the timely maintenance, repair and upkeep of exterior paint, parking striping, lighting and irrigation fixtures, walls and fencing, publicly accessible bathrooms and bathroom fixtures, landscaping and related landscape improvements and the like, as applicable); (e) If Developer and the owner of the property are different (e.g., if the Applicant is a tenant or licensee of the property or any portion thereof), both the Applicant and the owner of the property shall be signatories to the Maintenance Agreement and both shall be jointly and severally liable for compliance with its terms. (f) The Property Maintenance Agreement shall further provide that any party responsible for complying with its terms shall not assign its ownership interest in the property or any interest in any lease, sublease, license or sublicense, unless the prospective assignee agrees in writing to assume all of the duties, obligations and responsibilities set forth under the Property Maintenance Agreement. (g) The Property Maintenance Agreement shall contain provisions relating to the enforcement of its conditions by the City and shall also contain provisions authorizing the City to recover costs and expenses which the City may incur arising out of any enforcement and/or remediation efforts which the City may undertake in order to cure any deficiency in maintenance, repair or upkeep or to enforce any restrictions or conditions upon the use of the property. The maintenance agreement shall further provide that any unreimbursed costs and/or expenses incurred by the City to cure a deficiency in maintenance or to enforce use restrictions shall become a lien upon the property in an amount equivalent to the actual costs and/or expense incurred by the City. Resdution No. 2019-xx Page 6 of 6 75A-30 EXHIBIT 3 75A-31 This page left blank intentionally. 75A-32 7/17/2019 GPA NO. 2019-02 VAR NO. 2019-04, CN SQUARE MEDICAL BUILDING 402 NORTH EUCLID STREET R1 R1 I. �rAllirlill"I r r. R22 •■ R1 to I Santa Ana Boundary "Zoning Zone Eeueripfion Single family Incidence 1u,n-nmev Read— ® snnuman APanment ■ Mottlple-fr mlkF ldence ■ R-itlential Fltz ■ Commercial ResHmad I�■ SP T PI L!■Sp din Ip �■ Pla tlSM1 PPnd Crimler Se 11, MI Ell., Gar, - to om Cnmmomt, Cammercal-mulaum o'm;m Cumm.n4Cammertul ii' ■ Artenel Cmm.ertpl ■ General Commercial -e Iw rglnlneo-dd r� Heave menatnal R1 q■ P.alev{onal MG—mme em..r IN Cpen Space S—ral Agricultural C1 .. s EMI .Y B R.1 R1 R1 - VICINITY ZONING R1 R2 R= N C1 w I R'I m FM 5D1' A 75A-33 (c) 2019 Digital Mao Products. All rights reserved. apps. spatialstream.com/production/dash board/8/9/0/CurrentBuild/html/Reporting.html 1 /1 This page left blank intentionally. 75A-34 EXHIBIT 4 75A-35 This page left blank intentionally. 75A-36 75A-37 This page left blank intentionally. 75A-38 EXHIBIT 5 75A-39 This page left blank intentionally. 75A-40 ,;_I i + + .E + + + + + + +T+T+++{+1+ + + + .. E.T �, E 4++*+ + + + + + ++�+ + +T , T++ EY F f + + +++*+ + + �T �]j *+*+*+*+*+ + + + + + w + o +++ t w :- + + + + + + + : + + + +� + + w t*+0+*:+*+*:+*:+* OQ n 1; + + * 0 + k M1Y + 7' + r I I + _ r1 +1 �J J ' *+ ++ t r+}* }* IJ III +t I I }+ + corvar U.E =,ch r nT I I' • I I I I *+ +s� % rl + uw I I *+ l ul' r' + I *+ Is r + I ' lhE a.':.E k II I +* } ry I II 1 to # f++IN+ I+.,. + *�+ ------ + 1 + +i E++ ++4 +�+++ E+ l6 G/ 9 —n' 75A-41 This page left blank intentionally. 75A-42 EXHIBIT 6 75A-43 This page left blank intentionally. 75A-44 Fourth Street 75A-45 This page left blank intentionally. 75A-46 11:1hiA 75A-47 This page left blank intentionally. 75A-48 §§ /\ « ■|;\(; § \kk®§§®(;|§ : j�;■;;;wlk■§§ \SSSSSyS3ySSy ;\ \ j�}■§§;(lkt2\ . . E§§|§22\§|§■k \SSSSSySSSmSy . � jo � -- � � . . � � w 0 m � . � i EXHIBIT 8 75A-51 This page left blank intentionally. 75A-52 e7, This page left blank intentionally. 75A-54 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: OCTOBER 1, 2019 TITLE: PUBLIC HEARING — ZONING ORDINANCE AMENDMENT NO. 2019-04 AMENDING SECTIONS 41-45, 41-198.200, 41-365, 41- 377, AND 41-424 OF CHAPTER 41 (ZONING) OF THE SANTA ANA MUNICIPAL CODE PROHIBITING CYBER CAFES AS A PERMITTED USE CITY-WIDE {STRATEGIC PLAN NO. 5,41 /s/ Kristine Ridge! CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 111 Reading ❑ Ordinance on 2i1 Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Approve Zoning Ordinance Amendment No. 2019-04 prohibiting cyber cafes as a permitted use city-wide. PLANNING COMMISSION ACTION At its regular meeting on September 9, 2019, and after conducting a public hearing on the item, the Planning Commission recommended that the City Council approve Zoning Ordinance Amendment (ZOA) No. 2019-04 by a vote of 4:0 (Nguyen Absent). DISCUSSION On October 16, 2018, the City Council adopted Urgency Ordinance No. NS-2956 establishing a 45-day moratorium on the approval, commencement, establishment, operation, relocation or expansion of cyber cafes within the City. On November 20, 2018, the City Council extended the moratorium (Ordinance No. NS-2961) for an additional ten months and 15 days to allow staff time to analyze cyber cafes and provide an enforcement plan and recommendations on whether to adopt a regulatory ordinance permitting such establishments, institute operational guidelines, or adopt an outright ban on cyber cafes. Since the adoption of the moratorium, there have been additional incidents at and/or near cyber cafes. One incident involved an altercation and the shooting of a female victim in the parking lot of a business providing internet access and illegal gaming. Another incident involved the arrest of documented gang members by Santa Ana Police Department (SAPD) for firearm violations and gang enhancements at a cyber cafe. 75B-1 Zoning Ordinance Amendment No. 2019-04 October 1, 2019 Page 2 The cyber cafe moratorium has provided staff the ability to consider all aspects of a cyber cafe business. Staff from the Planning Division, Code Enforcement Division and Police Department have analyzed the City's current regulations and reviewed regulations from other cities that have similar cyber cafe uses. In order to protect and preserve the public health, safety and welfare of the City and its residents, staff has determined that an outright prohibition of cyber cafes citywide is the best option to address the myriad of incidents associated to such businesses. The proposed ordinance amendment will prohibit the establishment of new cyber cafes in the City and will prohibit the relocation or expansion of any legally operating cyber cafe. Further, all existing cyber cafes that were legally established prior to the date of the urgency moratorium will be allowed to continue to operate and will be subject to the City's non -conforming ordinance. However, to maintain their legal non -conforming status, all approved businesses must remain compliant with the Santa Ana Municipal Code (SAMC) and State laws. Any violation of the SAMC or State laws will result in the loss of the non -conforming status. The proposed ordinance will not affect those businesses where computer access is incidental to the permitted use, such as reproduction businesses (i.e. FedEx Office and Staples). In addition, this ordinance will not affect cyber learning centers in any manner. As defined in Section 41-46 of the Santa Ana Municipal Code, cyber learning centers are establishments that provide computer access to the general public without monetary charge and which are operated by a government entity, a school district, or by a non-profit organization. STAFF RECOMMENDATION Based on the analysis provided within this report, staff recommends that the City Council approve Zoning Ordinance Amendment No. 2019-04. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. In accordance with the California Environmental Quality Act (CEQA), the subject action is exempt from further review pursuant to Section 15061(b) (3) of the CEQA Guidelines. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #5 — Community Health, Livability, Engagement and Sustainability; Objective #4 (Support neighborhood vitality and livability). 75B-2 Zoning Ordinance Amendment No. 2019-04 October 1, 2019 Page 3 FISCAL IMPACT There is no fiscal impact associated with this action. Minh Thai Executive Director Planning and Building Agency Exhibits: 1. Ordinance approving ZOA No. 2019-04 2. Planning Commission Staff Report 3. Urgency Ordinance No. NS-2961 4. Licensed Cyber Caf6s & Enforcement Status 75B-3 *:1:111111i1 LS 10.1.19 r7:7ii7f�GnC�I��C�1•�1►�3:�:�:� AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING SECTIONS 41-45, 41- 198.200, 41-365, 41-377 AND 41-424 OF CHAPTER 41 (ZONING) OF THE SANTA ANA MUNICIPAL CODE PROHIBITING CYBER CAFES AS A PERMITTED USE CITY-WIDE 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 of Santa Ana has witnessed a proliferation of cyber cafe businesses that has resulted in an increased number of public nuisance complaints emanating from such establishments in recent years, involving the following: (1) A documented increase in crime including serious and violent crimes such as loitering, illegal gambling, illegal drug use and sale, burglaries, assaults, fights, theft, robbery, public intoxication, vandalism, property damage, weapons offenses, and other criminal activities in and around cyber cafe establishments, as well as increased pedestrian traffic, noise, parking violations, and other nuisance activities which have resulted in a documented increase and demand for police responses. (2) The City has experienced serious adverse impacts due to the unique manner in which cyber cafe businesses operate the "sweepstakes" games. Customers occupy a computer for hours which results in waiting lines and people congregating or loitering outside the establishment. The long game times and often late night hours have also increased demand for police response regarding noise complaints, criminal activity including fights, drug sales, and adverse gang activity affecting surrounding residential neighborhoods and commercial centers. (3) Crime statistics and calls for service in the City have increased in areas where cyber cafes have been established. The Santa Ana Police Department (SAPD) identified 460 cyber cafe related incidents occurring between January 2018 and September 2018 throughout the City. These incidents include criminal arrests such as possession of firearms, narcotics and stolen vehicles and parole/probation violations. Since January of this year, SAPID has responded to a noticeable increase of calls for service and officer generated activities. 75B_w Ordinance No. NS-XXXX 'F Page 1 of 7 (4) SAPID has spent a significant amount of resources and time conducting surveillance operations around cyber cafes. It was also found that this type of business primarily attracts clientele involved in criminal activity. Enforcement checks on cyber cafes and of customers entering or leaving such locations often result in drug related arrests, evidence of drug trafficking, illegal gambling and gaming and an influx of individuals on probation, parole, or wanted subjects. There has also been prostitution related activity occurring in nearby parking lots and surrounding areas. (5) Prior to enacting the moratorium, the City had approved eleven (11) Cyber Cafe businesses. A review of city enforcement efforts revealed violations of State and City laws at such businesses. These violations included but were not limited to: illegal gaming machines, illegal cannabis storefronts, and other criminal activities such as prostitution and gun violations. B. On October 16, 2018, the City Council adopted Urgency Ordinance No. NS-2956 establishing a forty-five (45) day moratorium on the approval, commencement, establishment, operation, relocation or expansion of cyber cafes. On November 20, 2018, the City Council extended said moratorium (Ordinance No. NS-2961) for an additional ten (10) month and fifteen (15) day period. C. The Planning Division, Code Enforcement Division and Police Department staff have analyzed the City's current regulations and other cities' regulations pertaining to cyber cafes and have determined that in order to protect and preserve the public health, safety and welfare of the City and its residents, prohibiting cyber cafes city-wide will mitigate one potential path for engaging in these illegal activities. The proposed ordinance amendment will prohibit the establishment of new cyber cafes in the City. D. On September 9, 2019, the Planning Commission held a duly noticed public hearing and voted to recommend that the City Council adopt Zoning Ordinance Amendment No. 2019-04 prohibiting cyber cafes city-wide. E. The City Council, on October 1, 2019, held a duly noticed public hearing on this ordinance and has considered all testimony presented thereto. F. All provisions of the Santa Ana Municipal Code (SAMC) which are repeated herein are repeated solely in order to comply with the provisions of Section 418 of the Charter of the City of Santa Ana. Any such restatement of existing provisions of the Code is not intended, nor shall it be interpreted, as constituting a new action of decision of the City Council, but rather such provisions are repeated for tracking purposes only in conformance with the Charter. 75B_5 Ordinance NPage 2 of 7 Section 2. Section 41-45 (Cyber Cafe) of Chapter 41 of the SAMC is hereby amended to read as follows: Sec. 41-45. — Cyber Cafe. Cyber cafe shall mean an establishment whose primary purpose is to provide that pmvi es rnere than six (6) computers and/or other electronic devices for access to the Internet, e-mail,, v0dee garnes or computer software programs which are networked (via LAN or WAN) or which function as a client/server program, and which seeks compensation in any form from users. Cyber cafe is synonymous with PC cafe, internet cafe or cyber centers, but does not include a cyber learning center as defined in Section 41-46 or recreational or entertainment uses as defined in Section 41-142. Section 3. Section 41-198.200 (Cyber Cafes) of Chapter 41 of the SAMC is hereby amended to read as follows: Sec. 41-198.200. — Cyber Cafes - Prohibited. IMMICT-Irrmr-T.Mr-T". "MI • . •. WIN •1101.. . Section 4. Section 41-365 (Uses Permitted in the C1 District) of Chapter 41 of the SAMC is hereby amended to read as follows: Sec. 41-365. - Uses permitted in the C1 district. The following uses are permitted in the C1 district: (a) Retail and service uses. (b) Professional, administrative and business offices. (c) Automobile parking lots and parking structures. (d) Automobile sales, but excluding truck, trailer, tractor and boat sales. (e) Churches and accessory church buildings. (f) Mortuaries. (g) Theaters. (h) Hospitals, clinics, and sanitariums. 75B_c Ordinance No. NS-XXXX V Page 3 of 7 (i) Animal hospitals and veterinaries. (j) Plant nurseries. (k) Gymnasiums. (1) Golf courses, both regulation and miniature, and driving ranges. (m) Public utility structures, including electric distribution and transmission substations. (n) Restaurants, cafes, and eating establishments, other than those specified in Section 41-365.5. (o) Schools and studios operated for commercial or public purposes. (p) Childcare facilities. (q) Service stations. (r) Automobile servicing. (ts) Tattoo and/or body art establishments, subject to the development and operational standards set forth in Section 41-199.3. Section 5. Section 41-377 (Uses Permitted in the C2 District) of Chapter 41 of the SAMC is hereby amended to read as follows: Sec. 41-377. - Uses permitted in the C2 district. The following uses are permitted in the C2 district. (a) All uses which are permitted in the C1 district pursuant to Section 41-365. (b) Automotive garages including body and fender repair, painting, and engine replacement. (c) Blueprinting, photo -engraving, including all types of reproduction processes. (d) Reserved. (e) Equipment rental yards. (f) Metal shops. (g) Tire recapping. 75B_7 Ordinance No. NS-XXXX Page 4 of 7 (h) Wholesale establishments as follows: (1) Automotive equipment, including parts and supplies for machinery. (2) Drugs, chemicals and allied products excluding explosives and industrial chemicals. (3) Dry goods and apparel. (4) Food products. (5) Farm products. (6) Electrical and plumbing supplies. (7) Office equipment and supplies. (i) Truck, trailer, tractor and boat sales. (j) Research institutions and laboratories. (k) Adult entertainment businesses subject to compliance with the requirements of article XVII of this Chapter. Section 6. Section 41-424 (Uses Permitted in the C5 District) of Chapter 41 of the SAMC is hereby amended to read as follows: Sec. 41-424. - Uses permitted in the C5 district. The following uses are permitted in the C5 district: (a) Administrative and professional offices. (b) Retail and service uses. (c) Automobile parking lots, but excluding the sale or storage of automobiles, trucks, trailers, boats, or tractors, whether new or used. (d) Churches, chapels, mortuaries, and theaters. (e) Government buildings. (f) Restaurants and cafes, other than those specified in Section 41-424.5. (g) Schools and studios operated for commercial or public purposes. 75B_Q Ordinance No. NS-XXXX v Page 5 of 7 (h) Child care facilities. (i) The printing, publishing, and circulation of a newspaper, including plant and office. Q) Two-family dwellings not exceeding one (1) unit per three thousand (3,000) square feet of lot area, provided such units front on a secondary or local street. (Lk) Gymnasiums and health clubs. Section 7. The proposed ordinance has been reviewed with respect to the applicability of the California Environmental Quality Act ("CEQA") and the CEQA Guidelines (California Code of Regulations, Title 14, Section 15000 et 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 (Environmental Review No. 2019-68) will be filed upon adoption of this ordinance. Section 8. 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. Section 9. The City Council of the City of Santa Ana hereby adopts an ordinance amending Sections 41-45, 41-198.200, 41-365, 41-377 and 41-424 of Chapter 41 (Zoning) of the Santa Ana Municipal Code prohibiting the establishment of cyber caf6s as a permitted use Citywide. This approval was based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Request for City Council Action dated October 1, 2019, and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. ADOPTED this day of 12019. Miguel A. Pulido Mayor 75B_e Ordinance No. NS-XXXX 7 Page 6 of 7 APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By:_� Lisa Storck Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, DAISY GOMEZ, 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: Clerk of the Council City of Santa Ana 75B_1 O Ordinance No. NS-XXXX Page 7 of 7 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: SEPTEMBER 9, 2019 TITLE: PUBLIC HEARING —ZONING ORDINANCE AMENDMENT NO. 2019-04 PROHIBITING CYBER CAFES AS A PERMITTED USE CITYWIDE {STRATEGIC PLAN NO. 5,4) Prepared by Jerry C. Guevara Q < Executive Director RECOMMENDED ACTION *:1:11-3111i+a PLANNING COMMISSION SECRETARY APPROVED ❑ As Recommended ❑ As Amended ❑ Set Public Hearing For DENIED ❑ Applicant's Request ❑ Staff Recommendation CONTINUED TO %/1i�_--- - Interim Planning Manager Recommend that the City Council adopt an ordinance approving Zoning Ordinance Amendment (ZOA) No. 2019-04 prohibiting cyber cafes as a permitted use citywide. Project Background There has been a proliferation of cyber cafe businesses in the City and statewide. Such businesses are often connected to illegal gambling and other criminal activities. Some of the illicit operations are in the form of "promotional sweepstakes," in which the business allows customers to play gambling- themed games on computers to win cash prizes. Crime statistics and calls for service in the areas of the City where cyber cafes have been established have increased significantly. The Santa Ana Police Department (SAPD) identified 460 incidents occurring between January 1, 2018 and September 2018 related to cyber cafes. These incidents included violent crime, loitering, illegal gambling, illegal drug use and sales, burglaries, assaults, fights, theft, public intoxication, vandalism, property damage, weapons offenses, and other criminal activities in and around cyber cafes at various locations throughout the City. Some of these incidents have led to criminal arrests for possession of firearms, narcotics, and stolen vehicles and parole/probation violations. Based on these concerns, on October 16, 2018, the City Council adopted Urgency Ordinance No. NS-2956 establishing a 45-day moratorium on the approval, commencement, establishment, operation, relocation or expansion of cyber cafes within the City. On November 20, 2018, the City Council extended the moratorium for an additional ten months and 15 days to allow staff time to analyze cyber cafes and provide an enforcement plan and recommendations on whether to adopt a regulatory ordinance permitting such establishments, institute operational guidelines, or adopt an outright ban on cyber cafes. 75B-11 Zoning Ordinance Amendment No. 2019-04 September 9, 2019 Page 2 Since the adoption of the moratorium, there have been additional incidents at and/or near cyber cafes. One incident involved an altercation and the shooting of a female victim in the parking lot of a business providing internet 'access and illegal gaming. Another incident involved the arrest of documented gang members by SAPID for firearm violations and gang enhancements at an approved cyber cafe. Analysis of the Issues The cyber cafe moratorium has provided staff the ability to consider all aspects of a cyber cafe business. Staff from the Planning Division, Code Enforcement Division and Police Department have analyzed the City's current regulations and reviewed regulations from other cities that have similar cyber cafe uses. In order to protect and preserve the public health, safety and welfare of the City and its residents, staff has determined that an outright prohibition of cyber cafes citywide is the best option to address the myriad of concerns. The proposed ordinance amendment will prohibit the establishment of new cyber cafes in the City and will prohibit the relocation or expansion of any legally operating cyber caf6. Further, all existing cyber cafes that were legally established prior to the date of the urgency moratorium will be allowed to continue to operate and will be subject to the City's non -conforming ordinance. The proposed ordinance will not affect those businesses where computer access is incidental to the permitted use, such as reproduction businesses (i.e. Fed Ex Office and Staples). In addition, this ordinance will not affect cyber learning centers in any manner. As defined in Section 41-46 of the SAMC, cyber learning centers are establishments that provide computer access to the general public without monetary charge and which are operated by a government entity, a school district, or by a non-profit organization. Table 1: CEQA, Strategic Plan Alignment and Public Notification & Community Outreach CEQA CEQA Type Exempt per Section 15061 b 3 Reason(s) In accordance with the California Environmental Quality Act (CEQA), the Exempt or Analysis recommended action is exempt from CEQA per Section 15061(b)(3). 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. As it can be seen with certainty that there is no possibility that this code amendment may have a significant effect on the environment, therefore, the activity is not subject to CEQA. Strategic Plan Alignment Goal(s) and Approval of this item supports the City's efforts to meet Goal No. 5 — Community Policy(s) Health, Livability, Engagement & Sustainability, Objective No. 4 (support neighborhood vitality and livability). Public Notification & Community Outreach Required A notice of hearing was published in the Orange County Register. Measures Additional The proposed amendments are citywide and the project site is not located within the Measures boundaries of one single neighborhood association. 75B-12 Zoning Ordinance Amendment No. 2019-04 September 9, 2019 Page 3 Conclusion Based on the analysis provided within this report, staff recommends that the Planning Commission recommend that the City Council approve Zoning Ordinance Amendment No. 2019- 04_ JG:S:\P Ian n i ngCom m ission\2019\9-9-19\ZOANo.2019-04CyberCafes Exhibit: 1. Proposed Draft Ordinance 75B-13 This page left blank intentionally. 75B-14 EXHIBIT 1 75B-15 This page left blank intentionally. 75B-16 LS 9.9.19 ORDINANCE NO. NS-XXXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING SECTIONS 41-45, 41- 198.200, 41-365, 41-377 AND 41-424 OF CHAPTER 41 (ZONING) OF THE SANTA ANA MUNICIPAL CODE PROHIBITING CYBER CAFES AS A PERMITTED USE CITYWIDE 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 of Santa Ana has witnessed a proliferation of cyber cafe businesses that has resulted in an increased number of public nuisance complaints emanating from such establishments in recent years, involving the following: (1) A documented increase in crime including serious and violent crimes such as loitering, illegal gambling, illegal drug use and sale, burglaries, assaults, fights, theft, robbery, public intoxication, vandalism, property damage, weapons offenses, and other criminal activities in and around cyber cafe establishments, as well as increased pedestrian traffic, noise, parking violations, and other nuisance activities which have resulted in a documented increase and demand for police responses. (2) The City has experienced serious adverse impacts due to the unique manner in which cyber cafe businesses operate the "sweepstakes" games. Customers occupy a computer for hours which results in waiting lines and people congregating or loitering outside the establishment. The long game times and often late night hours have also increased demand for police response regarding noise complaints, criminal activity including fights, drug sales, and adverse gang activity affecting surrounding residential neighborhoods and commercial centers. (3) Crime statistics and calls for service in the City have increased in areas where cyber cafes have been established. The Santa Ana Police Department (SAPD) identified 460 cyber cafe related incidents occurring between January 2018 and September 2018 throughout the City. These incidents include criminal arrests such as possession of firearms, narcotics and stolen vehicles and parole/probation violations. Since January of this year, SAPID has responded to a noticeable increase of calls for service and officer generated activities. 75B-17 Ordinance NPage 1 of 7 (4) SAPID has spent a significant amount of resources and time conducting surveillance operations around cyber cafes. It was also found that this type of business primarily attracts clientele involved in criminal activity. Enforcement checks on cyber cafes and of customers entering or leaving such locations often result in drug related arrests, evidence of drug trafficking, illegal gambling and gaming and an influx of individuals on probation, parole, or wanted subjects. There has also been prostitution related activity occurring in nearby parking lots and surrounding areas. B. On October 16, 2018, the City Council adopted Urgency Ordinance No. NS-2956 establishing a forty-five (45) day moratorium on the approval, commencement, establishment, operation, relocation or expansion of cyber cafes. On November 20, 2018, the City Council extended said moratorium for an additional ten (10) month and fifteen (15) day period. C. The Planning Division, Code Enforcement Division and Police Department staff have analyzed the City's current regulations and other cities' regulations pertaining to cyber cafes and have determined that in order to protect and preserve the public health, safety and welfare of the City and its residents, prohibiting cyber cafes citywide will mitigate one potential path for engaging in these illegal activities. The proposed ordinance amendment will prohibit the establishment of new cyber cafes in the City. D. On September 9, 2019, the Planning Commission held a duly noticed public hearing and voted to recommend that the City Council adopt Zoning Ordinance Amendment No. 2019-04 prohibiting cyber cafes. E. The City Council, on October 1, 2019, held a duly noticed public hearing on this ordinance and has considered all testimony presented thereto. F. All provisions of the Santa Ana Municipal Code (SAMC) which are repeated herein are repeated solely in order to comply with the provisions of Section 418 of the Charter of the City of Santa Ana. Any such restatement of existing provisions of the Code is not intended, nor shall it be interpreted, as constituting a new action of decision of the City Council, but rather such provisions are repeated for tracking purposes only in conformance with the Charter. Section 2. Section 41-45 (Cyber Cafe) of Chapter 41 of the SAMC is hereby amended to read as follows: Sec. 41-45. — Cyber Cafe. Cyber cafe shall mean an establishment whose primary purpose is to provide that provides more than sox (a) computers and/or other electronic devices for access to the Internet, e-mail, videe garnes or computer software programs which are networked (via LAN or WAN) or which function as a client/server 75B-1 Ordinance No. NS-XXXX Page 2 of 7 program, and which seeks compensation in any form from users. Cyber cafe is synonymous with PC cafe, internet cafe or cyber centers, but does not include a cyber learning center as defined in Section 41-46 or recreational or entertainment uses as defined in Section 41-142. Section 3. Section 41-198.200 (Cyber Cafes) of Chapter 41 of the SAMC is hereby amended to read as follows: Sec. 41-198.200. — Cyber Cafes - Prohibited. M. 1121 .. .. .. Section 4. Section 41-365 (Uses Permitted in the C1 District) of Chapter 41 of the SAMC is hereby amended to read as follows: Sec. 41-365. - Uses permitted in the C1 district. The following uses are permitted in the C1 district: (a) Retail and service uses. (b) Professional, administrative and business offices. (c) Automobile parking lots and parking structures. (d) Automobile sales, but excluding truck, trailer, tractor and boat sales. (e) Churches and accessory church buildings. (f) Mortuaries. (g) Theaters. (h) Hospitals, clinics, and sanitariums. (i) Animal hospitals and veterinaries. Q) Plant nurseries. (k) Gymnasiums. (1) Golf courses, both regulation and miniature, and driving ranges. 75B-1 Ordinance No. NS-XXXX Page 3 of 7 (m) Public utility structures, including electric distribution and transmission substations. (n) Restaurants, cafes, and eating establishments, other than those specified in Section 41-365.5. (o) Schools and studios operated for commercial or public purposes. (p) Childcare facilities. (q) Service stations. (r) Automobile servicing. 4s) Tattoo and/or body art establishments, subject to the development and operational standards set forth in Section 41-199.3. Section 5. Section 41-377 (Uses Permitted in the C2 District) of Chapter 41 of the SAMC is hereby amended to read as follows: Sec. 41-377. - Uses permitted in the C2 district. The following uses are permitted in the C2 district. (a) All uses which are permitted in the C1 district pursuant to Section 41-365. (b) Automotive garages including body and fender repair, painting, and engine replacement. (c) Blueprinting, photo -engraving, including all types of reproduction processes. (d) Reserved. (e) Equipment rental yards. (f) Metal shops. (g) Tire recapping. (h) Wholesale establishments as follows: (1) Automotive equipment, including parts and supplies for machinery. (2) Drugs, chemicals and allied products excluding explosives and industrial chemicals. 75B_no Ordinance No. NS-XXXX L Page 4 of 7 (3) Dry goods and apparel. (4) Food products. (5) Farm products. (6) Electrical and plumbing supplies. (7) Office equipment and supplies. (i) Truck, trailer, tractor and boat sales. Q) Research institutions and laboratories. (k) Adult entertainment businesses subject to compliance with the requirements of article XVII of this Chapter. Section 6. Section 41-424 (Uses Permitted in the C5 District) of Chapter 41 of the SAMC is hereby amended to read as follows: Sec. 41-424. - Uses permitted in the C5 district. The following uses are permitted in the C5 district: (a) Administrative and professional offices. (b) Retail and service uses. (c) Automobile parking lots, but excluding the sale or storage of automobiles, trucks, trailers, boats, or tractors, whether new or used. (d) Churches, chapels, mortuaries, and theaters. (e) Government buildings. (f) Restaurants and cafes, other than those specified in Section 41-424.5. (g) Schools and studios operated for commercial or public purposes. (h) Child care facilities. (i) The printing, publishing, and circulation of a newspaper, including plant and office. Q) Two-family dwellings not exceeding one (1) unit per three thousand (3,000) square feet of lot area, provided such units front on a secondary or local street. 75B-21 Ordinance NPage 5 ofx7 (-k) Gymnasiums and health clubs. Section 7. The proposed ordinance has been reviewed with respect to the applicability of the California Environmental Quality Act ("CEQA") and the CEQA Guidelines (California Code of Regulations, Title 14, Section 15000 et 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 (Environmental Review No. 2019-68) will be filed upon adoption of this ordinance. Section 8. 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. Section 9. The City Council of the City of Santa Ana hereby adopts an ordinance amending Sections 41-45, 41-198.200, 41-365, 41-377 and 41-424 of Chapter 41 (Zoning) of the Santa Ana Municipal Code prohibiting the establishment of cyber cafes as a permitted use Citywide. This approval was based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Request for City Council Action dated October 1, 2019, and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. ADOPTED this day of 12019. APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By: Lisa Storck Assistant City Attorney Miguel A. Pulido Mayor 75B-22 Ordinance NPage 6 ofx7 AYES: Councilmembers NOES: Councilmembers /911991F910� IIIIIIIIIIllibrev T.11=Tm NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, DAISY GOMEZ, 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: Clerk of the Council City of Santa Ana %58-23 Ordinance No. NS-XXXX Page 7 of 7 This page left blank intentionally. 75B-24 EXHIBIT 3 LS 11.20.18 ORDINANCE NO. NS-2961 AN EMERGENCY ORDINANCE OF THE CITY OF SANTA ANA MAKING FINDINGS AND EXTENDING THE MORATORIUM ON THE APPROVAL, COMMENCEMENT, ESTABLISHMENT, OPERATION, RELOCATION OR EXPANSION OF CYBER CAFES AND INTERNET ACCESS BUSINESSES WITHIN THE CITY FOR AN ADDITIONAL TEN MONTHS AND FIFTEEN DAYS PENDING STUDY AND ADOPTION OF REGULATORY AND ZONING STANDARDS THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: Section 1. The City Council of Santa Ana hereby finds, determines and declares as follows: A. As in other cities in California, there has been a proliferation of cyber cafes and internet access businesses in the City of Santa Ana. Customers purchase phone time in exchange for opportunities to win chances at internet/network based sweepstakes prizes and money. B. The current provisions of the Santa Ana Municipal Code allow cyber cafes in specific zones, and sets forth the operational standards for such businesses. The provisions of the Santa Ana Municipal Code require review, study, and possible revision in order to respond to recent concerns relating to the impacts of these internet access businesses and cyber cafe uses in the City. C. On October 16, 2018, the City Council adopted Urgency Ordinance No. NS- 2956 establishing a forty-five (45) day moratorium on the approval, commencement, establishment, operation, relocation or expansion of cyber cafes and internet access businesses within the city, through November 30, 2018. D. Since the City Council's approval of the moratorium on October 16, 2018, there have been two additional serious incidents at and/or near cyber cafes and internet access businesses. One involved an altercation and the shooting of a female victim in an adjacent parking lot of a business allowing internet access and possible illegal gaming. The second incident involved the arrest of documented gang members by the Santa Ana Police Department for firearm violations and gang enhancements at an approved cyber cafe. E. In order to address the community's concerns regarding the negative impacts associated with the operation of cyber cafes and internet access businesses, Ordinance No. INS - 2961 75B-25 Page 1 of 7 it is necessary for the City of Santa Ana to continue to study the potential impacts such facilities may have on the public health, safety and welfare. F. While no new regulations have been formulated or proposed in the brief time since the adoption of the moratorium, progress has been made toward identifying key stakeholders and logical next steps. G. City staff, the Santa Ana Police Department, Code Enforcement, and the City Attorney's office are continuing to conduct research into the possible and likely impacts of regulating or outlawing cyber cafes and internet access businesses in the City in order to mitigate such impacts. H. City staff is continuing to gather factual data regarding the adverse impacts experienced by other cities that permit cyber cafes and internet access businesses. This information is currently being processed as a tool to draft provisions for regulating cyber cafes and internet access businesses in the City. I. City staff continues to conduct research into the City's options for regulating cyber cafes and internet access businesses. This research includes a review of many city ordinances in California that either prohibit or regulate cyber cafes and internet access businesses. J. As a result, the City Council desires to extend the moratorium as it applies to cyber cafes and internet access businesses for a period of ten (10) months and fifteen (15) days (Government Code section 65858) to allow staff and the City Council the opportunity to continue to research and select the best course of action for the City's citizens and the community at large. K. The City Council has determined that the circumstances and conditions that led to the adoption of Ordinance No. NS-2956, which are set in the recitals of Ordinance No. NS-2956, have not been alleviated as of the date of this Urgency Ordinance and continue to create the concerns described in Ordinance No. NS-2956. L. Based on the foregoing, the City Council finds that issuing permits, business licenses, or other applicable entitlements to individuals wishing to use their property for the purposes of cyber cafes and internet access businesses, prior to the City's completion of its study of the potential impact of such cyber cafes and internet access businesses, would pose a current and immediate threat to the public health, safety, and welfare, and that a temporary moratorium on the issuance of such permits, licenses, and entitlements is thus necessary. M. Based on the foregoing, the City Council finds that the use of property as a cyber cafe and internet access businesses in any zone of the City prior to the City's completion of its study of the potential impact of such cyber cafes and internet access businesses is a public nuisance and poses a current and immediate threat to the public health, safety, and welfare. Ordinance No. NS - 2961 Page 2 of 7 75B-26 Section 2.Extension of Moratorium and Findings. A. In accordance with the authority granted to the City of Santa Ana under Government Code Section 65858, from and after the date of this Ordinance, no use permit, variance, building permit, business license or other applicable entitlement for use shall be approved or issued for a cyber cafe or internet access business for a period extending through and including October 15, 2019, pending the completion of zoning or other regulations that are needed to alleviate a current and actual threat to the public health, safety and welfare. B. In addition, no property in any zone of the City is to be used for purposes of a cyber cafe or internet access business for a period extending through and including October 15, 2019. The use of any property for such purpose shall be deemed a public nuisance. Any violation of this provision shall be treated as a violation of Section 1-8 of the Santa Ana Municipal Code. C. This Ordinance is an interim urgency ordinance adopted pursuant to the authority granted to the City of Santa Ana by Government Code Section 65858, and is for the immediate preservation of the public health, safety, and welfare. The City Council hereby FINDS and DETERMINES as follows: (1) The City has received an increased number of public nuisance complaints emanating from cyber cafes and internet access businesses in recent weeks, involving the following: (a) Even where cyber cafes and internet access businesses utilize lawful sweepstakes features, these businesses have created adverse impacts on public health, safety and welfare, including a dramatic increase in crime including serious and violent crimes such as loitering, illegal drug use and sales, burglaries, assaults, fights, theft, robbery, public intoxication, vandalism, property damage, weapons offenses, and other criminal activity in and around cyber cafes and internet access business, as well as increased pedestrian traffic, noise, parking violations, and other nuisance activities. These businesses have also resulted in a tremendous increase and demand for police response. (b) The City of Santa Ana and neighboring cities have experienced serious adverse impacts due to the unique manner in which cyber cafes and internet access businesses operate the "sweepstakes" games. Customers may occupy a particular computer system for multiple hours, creating lines and people congregating or loitering while waiting for a computer. Parking availability may also be impacted due to extended periods of game playing, and such businesses have also resulted in increased demand for police response, as well as increased demand for maintenance of public streets and sidewalks. These late night gaming sessions which extend play beyond typical commercial Ordinance No. INS - 2961 75B-27 Page 3 of 7 business hours may cause noise and related impacts on the surrounding community as customers enter and exit these businesses during the late night hours. (c) Crime statistics and calls for service in the City of Santa Ana and neighboring cities where cyber cafes and internet access businesses are located are significantly higher since these establishments opened for business. The Santa Ana Police Department identified 460 incidents occurring between January 1, 2018 and September 2018 at various locations in the city. These incidents have included criminal arrests to include the possession of firearms, possession of narcotics, possession of a stolen vehicle, and parole / probation violations. Since January of this year the Santa Ana Police Department has responded to noticeable increase of calls for service and officer generated activities. The Staff Report for this item, which is incorporated herein by reference, includes these statistics and calls for service. (d) Since the City Council's approval of the moratorium on October 16, 2018, there have been two additional serious incidents at and/or near cyber cafes and internet access businesses. One involved an altercation and the shooting of a female victim in an adjacent parking lot of a business allowing internet access and possible illegal gaming. The second incident involved the arrest of documented gang members by the Santa Ana Police Department for firearm violations and gang enhancements at an approved Cyber Cafe. (e) The Police Department reports its officers have spent a significant amount of time conducting surveillance operations around cyber cafes. This type of business appears to attract clientele involved in criminal activity. Several enforcement stops of customers entering or leaving such locations have yielded drug related arrests, evidence of drug trafficking, an influx of individuals on probation, parole, or wanted subjects. There is also the possibility of prostitution related activity gravitating to the parking lots and surrounding areas based on known subjects being contacted at such locations who either have prior arrests or contacts involving prostitution. Since the City Council's approval of the moratorium on October 16, 2018, there have been two additional serious incidents at and/or near cyber cafes and internet access businesses. One involved an altercation and the shooting of a female victim in an adjacent parking lot of a business allowing internet access and possible illegal gaming. The second incident involved the arrest of documented gang members by the Santa Ana Police Department for firearm violations and gang enhancements at an approved Cyber Cafe. (f) The City Council of the City of Santa Ana is concerned with increased calls for service, increasing reports of violent criminal behavior and related detrimental neighborhood effects associated with cyber cafes Ordinance No. NS - 2961 Page 4 of 7 75B-28 and internet access businesses. The City of Santa Ana and neighboring cities have experienced criminal activity associated with cyber cafes and internet access businesses, such as loitering, illegal drug activity, assaults, fights, theft, robbery, public intoxication, vandalism, property damage, and other criminal activity such as gang and prostitution related activity. (2) After receiving complaints of this nature, the City has committed resources to study the impacts of cyber cafes and internet access businesses on the surrounding community. (3) Absent the adoption of this extension of Urgency Ordinance No. NS-2956, the continued existence of cyber cafes and internet access businesses in the City of Santa Ana could result in an even greater increase in nuisance conditions which negatively affect the health and safety of the community. (4) As a result, it is necessary to extend the moratorium established pursuant to Urgency Ordinance No. NS-2956 for ten months and fifteen days, on the issuance of any entitlements permitting of cyber cafes and internet access businesses in the City, pending completion of the City's study of the potential impacts of cyber cafes and internet access businesses, and possible amendments to the City's zoning ordinances. (5) In addition, it is necessary to prohibit, as a public nuisance, the use of property in any zone of the City for purposes of cyber cafes and internet access businesses for the duration of the ten month and fifteen -day extension. Section 3. Compliance with California Environmental Quality Act. The City Council finds that this Ordinance is not subject to the California Environmental Quality Act (CEQA) pursuant to Sections 15060(c)(2) (the activity will not result in a direct or reasonably foreseeable indirect physical change in the environment) and 15060(c)(3) (the activity is not a project as defined in Section 15378) of the CEQA Guidelines, California Code of Regulations, Title 14, Chapter 3, because it has no potential for resulting in physical change to the environment, directly or indirectly; it prevents changes in the environment pending the completion of the contemplated study of impacts. Section 4. Severability. If any sentence, clause, or phrase of this Ordinance, or any part thereof is for any reason held to be unconstitutional, such decision shall not affect the validity of the remaining portion of this Ordinance or any part thereof. The City Council hereby declares that it would have passed each sentence, clause, or phrase thereof, irrespective of the fact that any one or more sentence, clause, or phrase be declared unconstitutional. Section 5. Effective Date. This Ordinance shall become effective immediately upon adoption if adopted by at a least four -fifths (4/5) vote of the City Council and shall be in effect for period of ten months and fifteen days, extending through and including October 15, 2019, unless extended by the City Council as provided for in the Government Code. Ordinance No. INS - 2961 75B-29 Page 5 of 7 Section 6. Publication. The City Clerk shall certify to the adoption of this Ordinance and cause it, or a summary of it, to be published once in a newspaper of general circulation printed and published within the City of Santa Ana. Section T Report. City staff is instructed to prepare the report required by Government Code Section 65858(d) describing the measures taken to alleviate the condition which led to this Ordinance's adoption for presentation to the City Council no later than ten days prior to the expiration of this Ordinance. Section 8. The Request for Council Action for this ordinance dated November 20, 2018, and duly signed by the Executive Director of the Planning and Building Agency and/or Chief of Police shall, by this reference, be incorporated herein, and together with this ordinance, any amendments or supplements, and oral testimony constitute the necessary findings for this ordinance. Section 9. Any ordinance declared by the City Council to be necessary as an emergency measure for preserving the public peace, health and safety, and containing a statement of the reasons for its urgency, may be introduced and adopted at one and the same meeting if passed by the affirmative votes of at least four -fifths (4/5) vote of the City Council members. Further, California Government Code Section 65858 authorizes the City Council to adopt an interim urgency ordinance, without following the procedures otherwise required for the adoption of an ordinance, to protect the public safety, health, and welfare, prohibiting any uses that may be in conflict with a contemplated general plan, specific plan, or zoning proposal that the City Council, Planning Commission or the planning department is considering or studying or intends to study within a reasonable time. Section 10. This ordinance shall have no further force and effect ten (10) months and fifteen (15) days after adoption, unless subsequently, after public hearing, the City Council members, by four -fifths (4/5) vote, extend this ordinance one more year. Section 11. It shall be unlawful and a misdemeanor for any person to violate or fail to comply with any provision of this ordinance. The violation of any provision of this ordinance shall be punished as provided in Section 1-8 of the Santa Ana Municipal Code. Section 12. This ordinance is introduced, passed and adopted at one and the same meeting and is thereafter immediately effective upon expiration of the original 45- day moratorium. The City Council finds that this ordinance is necessary to protect the public safety, health and welfare. Ordinance No. NS - 2961 Page 6 of 7 75B-30 ADOPTED this 2011 day of November, 2018. APPROVED AS TO FORM Sonia R. Carvalho, City Attorney By: `Lisa Storck 'Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers Benavides, Martinez, Pulido, Sarmiento, Solorio, Tinalero, Villegas (7) None (0) NOT PRESENT: Councilmembers None (0) CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Maria D. Huizar, Clerk of the Council, do hereby attest to and certify the attached Ordinance No. NS-2961 to be the original ordinance adopted by the City Council of the City of Santa Ana on November 20, 2018. Date: Maria D. Huizar Clerk of the Council City of Santa Ana Ordinance No. NS - 2961 75B_31 Page 7 of 7 O Oq '. Oq Oq m m m m m m m. m m w w m: a m: V W N. W W A u m W E E E E E E N \ \ \ \ \ W: v v W: 3 m 'Q 'm 'Q: 'm 'Q 'm u: V U V u: •' N H' N I O: IIjjj O O O O: O O O'. 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