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HomeMy WebLinkAbout FULL PACKET_2020-04-07DRAFT MINUTES OF THE REGULAR MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA March 17, 2020 CLOSED SESSION MEETING 'IN AN EFFORT TO PROTECT PUBLIC HEALTH AND PREVENT THE SPREAD OF COVID-19 (CORONAVIRUS), THE CITY OF SANTA ANA ENCOURAGES THE PUBLIC TO VIEW THIS CITY COUNCIL MEETING ON TELEVISION OR ONLINE INSTEAD OF ATTENDING IN PERSON. THE MEETING IS BROADCAST LIVE ON SPECTRUM TV CHANNEL 3 AND LIVE STREAMED ONLINE AT WWW.SANTA-ANA.ORG/CC/CITY-MEETINGS. MEMBERS OF THE PUBLIC WHO WISH TO COMMENT ON MATTERS BEFORE THE COUNCIL, IN LIEU OF DOING SO IN PERSON, MAY SUBMIT COMMENTS BY EMAILING ECOMMENTS@SANTA-ANA.ORG, WHICH WILL BE PROVIDED TO COUNCIL AS PART OF THE COUNCIL MEETING RECORD AND WILL BE UPLOADED TO THE CITY'S WEBSITE. NOTE: SPECIAL CLOSED SESSION ITEM 1 AND OPEN SESSION ITEM 55C HAVE BEEN ADDED ON MARCH 16, 2020. EMERGENCY AND REGULAR CLOSED SESSION MEETING OF THE CITY COUNCIL - MARCH 17, 2020, 5:00 P.M. Mayor Pulido called the Emergency and Regular Closed Session Meeting to Order at 5:11 p.m. Councilmember Iglesias joined the meeting at 5:19 p.m. Councilmembers, BACERRA, IGLESIAS, PENALOZA, SARMIENTO, SOLORIO AND VILLEGAS City Manager, City Attorney, Clerk of the Council PUBLIC COMMENTS - Members of the public may address the City Council on items on the Closed Session Agenda. lorem DRAFT CITY COUNCIL MINUTES 1 OA_ 1 MARCH 17, 2020 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: COUNCIL RECESSED to room 147 for Closed Session discussion at 5:11 p.m. SPECIAL CLOSED SESSION ITEM - pursuant to Government Code Section 54956.5 EMERGENCY -THREAT TO PUBLIC SAFETY/FACILITIES pursuant to Government Code Section 54957. REGULAR CLOSED SESSION ITEMS 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. County of Orange, et al, United States District Court Case No. SA CV 20-0069-DOC (DFMx) 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) D. City of Santa Ana and the People of the State of California v. Orange County Association for Mental Health dba Mental Health Association of California, et al, Orange County Superior Court Case No. 30-2020-01124174-CU-MC-CJC 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 SPECIAL AND REGULAR OPEN SESSION. Mayor Pulido adjourned Closed Session meeting at 6:08 p.m. and convened to the Special (Item 55C) and Regular Open Session. DRAFT CITY COUNCIL MINUTES 1 O z _A MARCH 17, 2020 CITY COUNCIL SPECIAL AND REGULAR OPEN MEETING MARCH 17, 2020, 5:45 p.m. (Immediately following the Closed Session Meeting) CH_1Iarexelcl91:1:aJiFTWO]0all 4IIX Mayor Pulido adjourned the Special and Regular Closed Session and called the Special (Item 55C) and Open Regular meeting to order at 6:11 p.m. COUNCILMEMBERS Present: Mayor Pulido Mayor Pro Tern Villegas Councilmember Iglesias Councilmember Penaloza Councilmember Sarmiento Councilmember Solorio Councilmember Bacerra COUNCILMEMBERS Absent: None STAFF Present: City Manager, City Attorney, Clerk of the Council COUNCILMEMBERS BACERRA, IGLESIAS, PENALOZA, SARMIENTO, SOLORIO, AND VILLEGAS PLEDGE OF ALLEGIANCE - MAYOR PULIDO INVOCATION - HEATHER RILEY, POLICE CHAPLAIN Invocation by Chaplain Dave Mitchell. Mayor Pulido announced that Item 55C will be considered out of order and will dispense Item 85C. CEREMONIAL PRESENTATIONS Mayor Pulido left the meeting at 6:42 p.m. 1. SPECIAL PRESENTATION — Park Security Update by Parks, Recreation and Community Services Agency Special presentation taken out of order and presented by Lisa Rudloff, Executive Director of Parks, Recreation and Community Services Agency. DRAFT CITY COUNCIL MINUTES 1 OA-3 MARCH 17, 2020 PROCLAMATION presented by MAYOR PRO TEM VILLEGAS recognizing Youth Art Month. Proclamation postponed to a later date. 3. CERTIFICATE OF RECOGNITION presented by COUNCILMEMBER BACERRA recognizing Veterans Legal Institute for their Outstanding Contributions to the Community. No representatives from the Veterans Legal Institute were present. 4. CERTIFICATE OF RECOGNITION presented by COUNCILMEMBER IGLESIAS recognizing OASIS Center International for their Outstanding Contributions to the Community. Mayor Pulido made an announcement regarding precautions related to the COVID- 19. Presentation considered before Special Presentation on Park Security Update. 5. CERTIFICATE OF RECOGNITION presented by COUNCILMEMBER PENALOZA recognizing the organizers of Boca de Oro for their Outstanding Contributions to the Community. The Certificate of recognition for Boca de Oro postponed to a later date. 6. CERTIFICATE OF RECOGNITION presented by COUNCILMEMBER SOLORIO recognizing Orange County Children's Therapeutic Arts for their 20th Anniversary and for their Outstanding Contributions to the Community. The Certificate of Recognition for Orange County Children's Therapeutic Arts postponed to a later date. CLOSED SESSION REPORT - The City Attorney will report items to be added to Consent Calendar Item 19A from the Closed Session meeting. PUBLIC COMMENTS - Pursuant to Government Code Sec. 54954.3, members of the public may address either the City Council or any of the City's other related entities, such as the Housing Authority, Successor Agency or other legislative bodies, meeting in conjunction with this scheduled meeting. Public comments may be made on any and all matters within the City of Santa Ana's jurisdiction or the jurisdiction of the other related entities. At the discretion of the Chair, at the first Public Comment portion of the meeting, all comments may be considered jointly. The public will be given the opportunity to speak three (3) minutes on any and all matters contained on any of the Consent Calendar and Business Calendar items and/or on issues of public interest within the jurisdiction of the City. For public hearings, members of the public shall be given three (3) minutes for each duly noticed hearing (unless the matter is continued DRAFT CITY COUNCIL MINUTES 1 O Q _4 MARCH 17, 2020 prior to taking public testimony). All requests to speak shall be submitted in writing to the Clerk of the Council at the beginning of the meeting and before Public Comments begin. Speaker forms will be available at the meeting. REQUESTS TO SPEAK SHALL NOT BE ACCEPTED AFTER THE PUBLIC COMMENT SESSION BEGINS WITHOUT PERMISSION OF THE MAYOR. When speaking, all persons addressing the City Council shall follow the rules of decorum as detailed on the back of the speaker form. The presiding officer shall have the power and responsibility to enforce decorum and order of the meeting as set forth in Section 2-104(c) of the Santa Ana Municipal Code. lorem CONSENT CALENDAR MOTION: Approve staff recommendations on the following Consent Calendar items: Items 10A through 25D. Motion to Approve the Consent Calendar items 10A through 25D, with the exception of item 19D. moved by Councilmember Sarmiento seconded by Councilmember Penaloza. Councilmember Sarmiento motioned to approve the consent calendar items, seconded by Councilmember Penaloza. MOTION: Councilmember SECOND: Councilmember Penaloza Sarmiento VOTE: AYES: Mayor Pro Tern Villegas, Councilmember Iglesias, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio, Councilmember Bacerra (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Mayor Pulido (1) Clerk of the Council, Daisy Gomez, administered the Oath of Office to Vanessa Gomez, Youth Commissioner, immediately after the consent calendar vote. DRAFT CITY COUNCIL MINUTES 1 0jk-5 MARCH 17, 2020 ADMINISTRATIVE MATTERS IJAI10Lill * 10A. MINUTES FROM THE REGULAR MEETING OF MARCH 3, 2020 -Clerk of the Council Office MOTION: Approved Minutes. ri.�_v�.�ycK.wlvl��y�.�►�ycK.�wlvlr�ra 13A. APPOINT VANESSA GOMEZ NOMINATED BY COUNCILMEMBER IGLESIAS TO THE YOUTH COMMISSION AS THE WARD 6 ASSOCIATE REPRESENTATIVE FOR A PARTIAL -TERM EXPIRING DECEMBER 13, 2022 - Clerk of the Council Office MOTION: Nominate Vanessa Gomez for an appointment to the Youth Commission as the Ward 6 Associate representative (replaces A. Sarmiento). Clerk of the Council, Daisy Gomez, administered the Oath of Office to Vanessa Gomez, Youth Commissioner after the consent calendar vote. MISCELLANEOUS ADMINISTRATION 19A. CONFIRMATION OF CLOSED SESSION ACTION(S) —City Attorney's Office City Manager announced the report out for Closed Session. 1) It was unanimously agreed that City Hall would be closed to the public beginning March 18, 2020, however, full-time and part-time employees are to report to work. 2) City Council and Planning Commission meetings will continue virtually unless a cancelation. 19B. EXCUSED ABSENCES — Clerk of the Council Office 19C. RECEIVE AND FILE— FISCAL YEAR 2018-19 SINGLE AUDIT REPORT — Finance and Management Services Agency MOTION: Receive and file the Single Audit Report for the fiscal year ended June 30, 2019. 19D. CITY OF SANTA ANA GENERAL PLAN HOUSING ELEMENT ANNUAL PROGRESS REPORT — Planning and Building Agency MOTION: Authorize submittal of the General Plan Housing Element Annual Progress Report to the State of California Department of Housing and Community Development (HCD). DRAFT CITY COUNCIL MINUTES 1 O Cy _6 MARCH 17, 2020 Motion to Approve submittal of the General Plan Housing Element Annual Progress Report to the State of California Department of Housing and Community Development (HCD). moved by Councilmember Bacerra seconded by Councilmember Sarmiento. Councilmember Bacerra motioned to approve, seconded by Councilmember Sarmiento. MOTION: Councilmember SECOND: Councilmember Sarmiento Bacerra VOTE: AYES: Mayor Pro Tern Villegas, Councilmember Iglesias, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio, Councilmember Bacerra (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Mayor Pulido (1) BUDGETARY MATTERS r_���:z.»:a_�r�.�►r_uan��rwla►r� 20A. APPROVE AN APPROPRIATION ADJUSTMENT AND AWARD A CONSTRUCTION CONTRACT TO ELECNOR BELCO ELECTRIC, INC. IN THE AMOUNT OF $285,295, FOR GRANT -FUNDED CROSSWALK UPGRADES - PHASE II PROJECT WITH AN ESTIMATED TOTAL COST OF $460,400 (PROJECT NO. 17-6876) - Public Works Agency Approve an appropriation adjustment. (Requires five affirmative votes). APPROPRIATION ADJUSTMENT NO. 2020-132 - Recognizing $460,400 in Highway Safety Improvement Program grant funds into the Federal Aid Safety Program, Federal Grant -Indirect revenue account and appropriate the same amount into the Public Services Street Safety Projects, Improvements Other Than Building expenditure account. 2. Award contract to Elecnor Belco Electric, Inc., the lowest responsive bidder, in accordance with the base bid in the amount of $285,295, for construction of Crosswalk Upgrades — Phase II 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. DRAFT CITY COUNCIL MINUTES 1 O z _7 MARCH 17, 2020 3. Approve the Project Cost Analysis for a total estimated construction delivery cost of $460,400, which includes $285,295 for the construction contract, $60,000 for contract administration, inspection and testing, and an $115,105 project contingency for future and unanticipated work. 20B. APPROVE MUNICIPAL FACILITIES LICENSE AGREEMENT WITH LOS ANGELES SMSA LIMITED PARTNERSHIP AND APPROVE AN APPROPRIATION ADJUSTMENT - Public Works Agency Authorize the City Manager to execute an agreement with Los Angeles SMSA Limited Partnership for the use of certain City facilities for a ten-year period beginning April 1, 2020, and expiring March 31, 2030, with provisions for two automatic five-year extensions, subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. A-2020-XXX). Approve an appropriation adjustment. (Requires five affirmative votes). APPROPRIATION ADJUSTMENT NO. 2020-135 - Recognizing anticipated revenues from the application fees received from the implementation of the Municipal Facilities License Agreement in the amount of $50,000 into the Public Works Revenues, Small Cell Application Fee for City Facilities revenue account and appropriate the same amount to Public Works City Facilities License Agreement, Contract Services - Professional expenditure account. This Consent Item - Agreement No. 2020-047 was approved. SPECIFICATIONS - PURCHASE OF EQUIPMENT AND SERVICES 22A. AWARD A CONTRACT TO STOMMEL INC. DBA LEHR AUTO ELECTRIC FOR POLICE VEHICLE CONVERSION EQUIPMENT AND INSTALLATION SERVICES FOR $200,000 FOR A ONE-YEAR PERIOD WITH A TOTAL NOT TO EXCEED $1,000,000 (INTERNAL SERVICE FUND AND GENERAL FUND) (SPECIFICATION NO. 20-007) - Finance and Management Services Agency; Public Works Agency and Police Department MOTION: Award a contract to Stommel Inc. dba Lehr Auto Electric for police vehicle conversion equipment and installation services for a one-year period, with provisions for four, one-year renewals exercisable by the City Manager, in an annual amount not to exceed $200,000, for a total not to exceed $1,000,000, subject to non-susbtantive changes approved by the City Manager and City Attorney. 22B. AWARD PURCHASE ORDER IN AN AMOUNT NOT TO EXCEED $183,535 TO UNITED WATER WORKS, INC. FOR A WATER METER TEST BENCH (SPECIFICATION NO. 19-138) - Finance and Management Services Agency and Public Works Agency DRAFT CITY COUNCIL MINUTES 1 O $ _8 MARCH 17, 2020 MOTION: Authorize a one-time purchase and payment of purchase order to United Water Works, Inc. for the purchase of a water meter test bench in an amount not to exceed $183,535, subject to non -substantive changes approved by the City Manager and City Attorney. PROJECTS/CHANGE ORDERS 23A. AMEND THE CONSTRUCTION CONTRACT WITH HARDY & HARPER, INC. BY $62,499, FOR A NEW CONTRACT TOTAL AMOUNT OF $295,099, TO CONSTRUCT THE THORNTON PARK PARKING LOT IMPROVEMENTS WITH NO CHANGE TO THE ESTIMATED TOTAL PROJECT COST OF $320,000 (PROJECT NO. 18-7530) — Public Works Agency; Community Development Agency and Parks, Recreation and Community Services Agency 1. Authorize the City Manager to amend the construction contract with Hardy & Harper, Inc. via change order, by an increase of $62,499, resulting in a revised construction contract total of $295,099. 2. Approve a revised Project Cost Analysis authorizing the reclassification of the approved project contingency of $23,260 and reducing project administration, testing, and inspection costs in the amount of $39,239 for a net zero change in the original approved Community Development Block Grant (CDBG) project funding of $320,000. AGREEMENTS 25A. APPROVE AN AMENDMENT TO AGREEMENT WITH COMMONWEALTH TITLE COMPANY FOR AN EIGHT -MONTH EXTENSION TO COMPLETE OUTSTANDING TITLE AND ESCROW RELATED SERVICES — Public Works Agency MOTION: Authorize the City Manager to execute an amendment to extend the existing agreement with Commonwealth Title Company from March 31, 2020 to December 31, 2020, to complete outstanding title and escrow -related services subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. A-2020-XXX). This Consent Item - Agreement No. 2020-048 was approved. 25B. APPROVE AN AGREEMENT WITH (WATER, INC. FOR DIGITAL WATER MAPPING AND SUPPORT SERVICES FOR A THREE YEAR PERIOD IN AN ANNUAL AMOUNT OF $376,000 (TOTAL NOT TO EXCEED $1,880,000) — Public Works Agency DRAFT CITY COUNCIL MINUTES 1 O $ _9 MARCH 17, 2020 MOTION: Authorize the City Manager to execute an agreement with iWater, Inc. to provide digital water system mapping and support services for a three-year period, beginning April 1, 2020 and expiring March 31, 2023, with provisions for two one-year extensions exercisable by the City Manager and City Attorney, in an annual amount not to exceed $376,000, for a total agreement amount not to exceed $1,880,000, subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. A-2020-XXX). This Consent Item - Agreement No. 2020-049 was approved. 25C. APPROVE AN AGREEMENT ACCEPTING SANTA ANA WATERSHED PROJECT AUTHORITY FUNDS FOR THE WASHINGTON AVENUE WELL PROJECT IN THE AMOUNT OF $100,000 PROJECT NO. 19-6423 (NON - GENERAL FUND) - Public Works Agency MOTION: Authorize the City Manager to execute an agreement with the Santa Ana Watershed Project Authority for the period of December 17, 2019 to December 31, 2020, accepting Proposition 1 Integrated Regional Water Management (IRWM) Program Disadvantaged Communities (DAC) Involvement Program Grant funding in the amount of $100,000, subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. A- 2020-XXX). This Consent Item - Agreement No. 2020-050 was approved. 25D. APPROVE THIRD AMENDMENT TO SIEMENS MASTER SERVICES AGREEMENT IN THE AMOUNT OF $261,000 FOR ON -GOING CITY-WIDE CAMERA SYSTEMS MAINTENANCE (TOTAL AMOUNT NOT TO EXCEED $1,777,824) — Police Department; Parks, Recreation and Community Services Agency; Community Development Agency and Library Department MOTION: Authorize the City Manager to execute the third amendment to the Master Services Agreement with Siemens, Inc., for on -going city-wide camera systems maintenance. The amendment includes additions to the original scope of work for the third and final year of systems maintenance under the Master Services Agreement, and increases the overall agreement amount of $1,516,824 by $261,000, for a new not -to -exceed amount of $1,777,824, subject to non - substantive changes approved by the City Manager and City Attorney. The term of the agreement remains November 9, 2017 through November 8, 2020 (Agreement No. A-2020-XXX). This Consent Item - Agreement No. 2020-051 was approved. IA011Z6191K01►69A►I111115679IA►1U9:7 DRAFT CITY COUNCIL MINUTES 1 O4_ 1 O MARCH 17, 2020 BUSINESS CALENDAR 1:7�Y�A�>f�[�7► 55A. ADOPT RESOLUTIONS ACCEPTING GRANT FUNDS FROM THE STATE COASTAL CONSERVANCY FOR SANTIAGO PARK PHASE I CONSTRUCTION IN THE AMOUNT OF $1,000,000 AND SANTIAGO PARK PHASE II DESIGN IN THE AMOUNT OF $250,000 AND APPROVE AN APPROPRIATION ADJUSTMENT - Parks, Recreation and Community Services Agency 1. Adopt a resolution (Agreement No. A-2020-XXX). A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ACCEPTING A GRANT FROM THE STATE COASTAL CONSERVANCY FOR IMPROVEMENTS TO SANTIAGO PARK IN THE AMOUNT OF $1,000,000 AND AUTHORIZING THE CITY MANAGER TO NEGOTIATE AND EXECUTE ANY AGREEMENTS OR AMENDMENTS THERETO THAT MAY BE NECESSARY 2. Adopt a resolution (Agreement No. A-2020-XXX). A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ACCEPTING A GRANT FROM THE STATE COASTAL CONSERVANCY FOR PREPARATION OF A DESIGN AND ENGINEERING SPECIFICATION PLAN FOR IMPROVEMENTS TO SANTIAGO PARK IN THE AMOUNT OF $250,000 AND AUTHORIZING THE CITY MANAGER TO NEGOTIATE AND EXECUTE ANY AGREEMENTS OR AMENDMENTS THERETO THAT MAY BE NECESSARY (Agreement No. A-2020-XXX) 3. Approve an appropriation adjustment. (Requires five affirmative votes). APPROPRIATION ADJUSTMENT NO.2020-134 - Recognizing $1,250,000 in grant revenue from the State Coastal Conservancy and appropriate $1,250,000 into the corresponding expenditure account to implement the two projects in the Parks, Recreation and Community Services Agency (PRCSA) Capital Grant Fund. Motion to adopt 1. RESOLUTION NO. 2020-017 ENTITLED: A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ACCEPTING A GRANT FROM THE STATE COASTAL CONSERVANCY FOR IMPROVEMENTS TO SANTIAGO PARK IN THE AMOUNT OF $1,000,000 AND AUTHORIZING THE CITY MANAGER TO NEGOTIATE AND EXECUTE ANY AGREEMENTS OR AMENDMENTS THERETO THAT MAY BE NECESSARY. (Agreement No. A-2020-052) 2. RESOLUTION NO. 2020-018 ENTITLED: A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ACCEPTING A GRANT FROM THE STATE COASTAL CONSERVANCY FOR PREPARATION OF A DESIGN AND ENGINEERING SPECIFICATION PLAN FOR IMPROVEMENTS TO SANTIAGO PARK IN THE AMOUNT OF $250,000 AND AUTHORIZING THE CITY MANAGER DRAFT CITY COUNCIL MINUTES 1 O4_ 11 MARCH 17, 2020 TO NEGOTIATE AND EXECUTE ANY AGREEMENTS OR AMENDMENTS THERETO THAT MAY BE NECESSARY (Agreement No. A-2020-053). 3. Approve an appropriation adjustment. (Requires five affirmative votes). APPROPRIATION ADJUSTMENT NO.2020-134 - Recognizing $1,250,000 in grant revenue from the State Coastal Conservancy and appropriate $1,250,000 into the corresponding expenditure account to implement the two projects in the Parks, Recreation and Community Services Agency (PRCSA) Capital Grant Fund. moved by Councilmember Solorio seconded by Councilmember Penaloza. Councilmember Solorio motioned to approve, seconded by Councilmember Penaloza. MOTION: Councilmember SECOND: Councilmember Penaloza Solorio VOTE: AYES: Mayor Pro Tern Villegas, Councilmember Iglesias, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio, Councilmember Bacerra (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Mayor Pulido (1) 55B. ADOPT A RESOLUTION FOR THE EXTENSION OF CONDITIONAL USE PERMIT NO. 2017-29 AND VARIANCE NO. 2017-07 FOR THE HAMPTON INN HOTEL TO BE LOCATED AT 2129 NORTH MAIN STREET - Planning and Building Agency MOTION: Adopt a resolution. A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA FOR A ONE YEAR EXTENSION OF CONDITIONAL USE PERMIT NO. 2017-29 AND VARIANCE NO. 2017-07 FOR THE HAMPTON INN HOTEL DEVELOPMENT TO BE LOCATED AT 2129 NORTH MAIN STREET Motion to Adopt RESOLUTION NO. 2020-019 ENTITLED: A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA FOR A ONE YEAR EXTENSION OF CONDITIONAL USE PERMIT NO. 2017-29 AND VARIANCE NO. 2017-07 FOR THE HAMPTON INN HOTEL DEVELOPMENT TO BE LOCATED AT 2129 NORTH MAIN STREET moved by Councilmember Sarmiento seconded by Councilmember Bacerra. Councilmember Sarmiento motioned to adopt, seconded by Councilmember Bacerra. DRAFT CITY COUNCIL MINUTES 104-12 MARCH 17, 2020 MOTION: Councilmember SECOND: Councilmember Bacerra Sarmiento VOTE: AYES: Mayor Pro Tern Villegas, Councilmember Iglesias, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio, Councilmember Bacerra (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Mayor Pulido (1) SPECIAL MEETING - EMERGENCY RESOLUTION 55C. ADOPT RESOLUTION PROCLAIMING A LOCAL EMERGENCY DUE TO THE PANDEMIC CREATED BY THE COVID-19 VIRUS MOTION: Adopt a Resolution. A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTAANA PROCLAIMING A LOCAL EMERGENCY REGARDING NOVEL CORONAVIRUS (COVID-19) Item 55C taken out of order and considered before Ceremonial Presentations. City Attorney Sonio Carvalho provided a brief overview on the emergency resolution that will remain in place until terminated by the Council. Ill]:l1NZK1]TAIJil:11►11 Daniel Cornelious spoke in support of the item, and in support of a moratorium on evictions. Mextli Lopez spoke in support of the item and a proposed ordinance regarding moratorium on evictions drafted along with the Public Law Center. David Carbajal spoke in support of the item and a moratorium on evictions and utility shut -offs. Maria Ceja spoke in support of the item and the moratorium eviction. Council discussion ensued and direction provided to City Manager, Kristine Ridge. DRAFT CITY COUNCIL MINUTES 104-1 3 MARCH 17, 2020 Motion to Adopt as amended RESOLUTION NO. 2020-016 ENTITLED: A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA PROCLAIMING A LOCAL EMERGENCY REGARDING NOVEL CORONAVIRUS (COVID-19), moved by Councilmember Penaloza seconded by Mayor Pro Tern Villegas. Councilmember Penaloza motioned to adopt as amended, 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, Councilmember Bacerra (7) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) Presentations considered after deliberation on Item 55C. ADMINISTRATIVE MATTERS - BUSINESS 60A. APPROVE ISSUANCE OF THE DRAFT SOLID WASTE SERVICES REQUEST FOR PROPOSALS, APPROVE A ONE-YEAR EXTENSION OF THE SOLID WASTE SERVICES AGREEMENT WITH WASTE MANAGEMENT, AND AUTHORIZE A PROPOSITION 218 PROCESS — Public Works Agency. Continued from the March 3, 2020 City Council meeting by a vote of 6-0 (Sarmiento absent). 1. Approve issuance of the Draft Solid Waste Services Request for Proposals to maintain the established implementation timeline, subject to non -substantive changes. 2. Authorize the City Manager to execute the second amendment to the fourth amended and restated agreement with Waste Management for collection and handling of solid wastes generated, produced, and/or accumulated in the City of Santa Ana, approving a one-year extension from June 30, 2021 to June 30, 2022, subject to non -substantive changes approved by the City Manager and City Attorney and including alternate programming for green waste diversion to maintain compliance with State legislation. (Agreement No. A-2020-XXX) DRAFT CITY COUNCIL MINUTES 104_ 1 4 MARCH 17, 2020 3. Authorize and direct staff to prepare all required documents necessary to proceed with notification of proposed refuse 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 with cart service in compliance with Proposition 218 requirements at cost not to exceed $20,000; b) Schedule a public hearing at a future Council meeting, on or after May 19, 2020; c) Prepare all other documents required to proceed with proposed refuse rate adjustments. Presented by Christy Kindig, Public Works Agency Projects Manager. Council provided direction to City Manager regarding a request to negotiate for new items from Waste Management. Motion to Adopt 1. Approve issuance of the Draft Solid Waste Services Request for Proposals to maintain the established implementation timeline, subject to non -substantive changes. Authorize the City Manager to execute the second amendment to the fourth amended and restated agreement with Waste Management for collection and handling of solid wastes generated, produced, and/or accumulated in the City of Santa Ana, approving a one-year extension from June 30, 2021 to June 30, 2022, subject to non -substantive changes approved by the City Manager and City Attorney and including alternate programming for green waste diversion to maintain compliance with State legislation. (Agreement No. A-2020-054) 3) Authorize and direct staff to prepare all required documents necessary to proceed with notification of proposed refuse 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 with cart service in compliance with Proposition 218 requirements at cost not to exceed $20,000; b) Schedule a public hearing at a future Council meeting, on or after May 19, 2020; c) Prepare all other documents required to proceed with proposed refuse rate adjustments, moved by Councilmember Sarmiento seconded by Councilmember Bacerra. Councilmember Sarmiento motioned to adopt, seconded by Councilmember Bacerra. DRAFT CITY COUNCIL MINUTES 1 04-1 5 MARCH 17, 2020 MOTION: Councilmember SECOND: Councilmember Bacerra Sarmiento VOTE: AYES: Mayor Pro Tern Villegas, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio, Councilmember Bacerra (5) NOES: Councilmember Iglesias (1) ABSTAIN: None (0) ABSENT: Mayor Pulido (1) 60B. APPROVE A ONE-YEAR EXTENSION OF THE CONSTRUCTION AND DEMOLITION DEBRIS SERVICES AGREEMENTS WITH WASTE MANAGEMENT COLLECTION AND RECYCLING INC. AND WARE DISPOSAL, AND HOST FEE AGREEMENT WITH MADISON MATERIALS — Public Works Agency 1. Authorize the City Manager to execute the proposed extension of the Agreement for Collection and Handling of Construction and Demolition Debris with Waste Management Collection and Recycling, Inc. (dba Waste Management of Orange County), extending the expiration date to June 30, 2022, at the current terms, with an expected revenue of $150,000, subject to non -substantive changes approved by the City Manager and City Attorney. (Agreement No. A-2020-XXX) 2. Authorize the City Manager to execute the proposed extension of the Agreement for Collection and Handling of Construction and Demolition Debris with Ware Disposal, extending the expiration date to June 30, 2022, at the current terms, with an expected revenue of $14,500, subject to non - substantive changes approved by the City Manager and City Attorney. (Agreement No. A-2020-XXX) 3. Authorize the City Manager to execute the proposed extension of the Host Fee Agreement with Madison Materials, extending the expiration date to June 30, 2022, at the current terms, with an expected revenue of $22,000, subject to non -substantive changes approved by the City Manager and City Attorney. (Agreement No. A-2020-XXX) PUBLIC COMMENT - George Urch spoke in support of the item. Motion to Adopt 1. Authorize the City Manager to execute the proposed extension of the Agreement for Collection and Handling of Construction and Demolition Debris with Waste Management Collection and Recycling, Inc. (dba Waste Management of Orange County), extending the expiration date to June 30, 2022, at the current terms, with DRAFT CITY COUNCIL MINUTES 104-1 6 MARCH 17, 2020 an expected revenue of $150,000, subject to non -substantive changes approved by the City Manager and City Attorney. (Agreement No. A-2020-055) 2. Authorize the City Manager to execute the proposed extension of the Agreement for Collection and Handling of Construction and Demolition Debris with Ware Disposal, extending the expiration date to June 30, 2022, at the current terms, with an expected revenue of $14,500, subject to non -substantive changes approved by the City Manager and City Attorney. (Agreement No. A-2020-056) 3. Authorize the City Manager to execute the proposed extension of the Host Fee Agreement with Madison Materials, extending the expiration date to June 30, 2022, at the current terms, with an expected revenue of $22,000, subject to non - substantive changes approved by the City Manager and City Attorney. (Agreement No. A-2020-057) moved by Councilmember Penaloza seconded by Councilmember Sarmiento. Councilmember Penaloza motioned to adopt, seconded by Councilmember Sarmiento. MOTION: Councilmember Penaloza VOTE: AYES: NOES ABSTAIN: FA *4=I.III F PUBLIC HEARINGS SECOND: Councilmember Sarmiento Mayor Pro Tern Villegas, Councilmember Iglesias, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio, Councilmember Bacerra (6) None (0) None (0) Mayor Pulido (1) 75A. PUBLIC HEARING — ENVIRONMENTAL REVIEW NO. 2018-28, AMENDMENT APPLICATION NO. 2019-03 AND CONDITIONAL USE PERMIT NO. 2019-21 FOR A PROPOSED 7-ELEVEN CONVENIENCE STORE AND SERVICE STATION LOCATED AT 813 NORTH EUCLID STREET — Planning and Building Agency. Planning Commission approved recommended action on February 10, 2020 by a vote of 5-0 (Contreras -Leo and Garcia absent). Legal Notice published in the Orange County Reporter on March 6, 2020 and notices mailed on March 5, 2020. DRAFT CITY COUNCIL MINUTES 104-17 MARCH 17, 2020 1. Adopt a resolution. A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING AND ADOPTING MITIGATED NEGATIVE DECLARATION ENVIRONMENTAL REVIEW NO. 2018-28 AND ADOPTING A MITIGATION MONITORING AND REPORTING PROGRAM RELATIVE TO AMENDMENT APPLICATION NO. 2019-03 FOR THE PROJECT LOCATED AT 813 NORTH EUCLID STREET 2. Place ordinance on first reading and authorize publication of title. AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING AMENDMENT APPLICATION NO. 2019-03 REZONING THE PROPERTY LOCATED AT 813 NORTH EUCLID STREET FROM TWO- FAMILY RESIDENTIAL (R-2) TO COMMUNITY COMMERCIAL (C-1) 3. Adopt a resolution. A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING CONDITIONAL USE PERMIT NO. 2019-21 AS CONDITIONED TO ALLOW 24-HOUR OPERATIONS AT A NEW 7- ELEVEN CONVENIENCE STORE AND SERVICE STATION LOCATED AT 813 NORTH EUCLID STREET Mayor Pro Tern Villegas opened the public hearing at 7:20 p.m. Presented by Minh Thai, Executive Director of the Planning and Building Department. Applicant Adan Madrid with ASI Development spoke regarding the item. Hearing no one else wishing to speak, Mayor Pro Tern Villegas closed the public hearing at 8:01 p.m. Motion to Approve as Amended 1. Adopt RESOLUTION NO. 2020-020 ENTITLED. A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING AND ADOPTING MITIGATED NEGATIVE DECLARATION ENVIRONMENTAL REVIEW NO. 2018-28 AND ADOPTING A MITIGATION MONITORING AND REPORTING PROGRAM RELATIVE TO AMENDMENT APPLICATION NO. 2019-03 FOR THE PROJECT LOCATED AT 813 NORTH EUCLID STREET 2. Place ordinance on first reading and authorize publication of title. AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING AMENDMENT APPLICATION NO. 2019-03 REZONING THE PROPERTY LOCATED AT 813 NORTH EUCLID STREET FROM TWO-FAMILY RESIDENTIAL (R-2) TO COMMUNITY COMMERCIAL (C-1) 3. Continue item 3, adoption of resolution, until applicant has performed community outreach and return to council for future consideration, moved by Councilmember Iglesias seconded by Councilmember Bacerra. DRAFT CITY COUNCIL MINUTES 104-18 MARCH 17, 2020 Councilmember Iglesias motioned to approve as amended, seconded by Councilmember Bacerra. MOTION: Councilmember SECOND: Councilmember Bacerra Iglesias VOTE: AYES: Mayor Pro Tern Villegas, Councilmember Iglesias, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Solorio, Councilmember Bacerra (6) NOES: None (0) ABSTAIN: None (0) ABSENT: Mayor Pulido (1) 75B. PUBLIC HEARING — ZONING ORDINANCE AMENDMENT NO. 2019-05 TO AMEND SEVERAL SECTIONS OF CHAPTER 41 (ZONING) OF THE SANTA ANA MUNICIPAL CODE RELATING TO ACCESSORY DWELLING UNITS - Planning and Building Agency. Planning Commission approved recommended action on February 10, 2020 by a vote of 5-0 (Contreras -Leo and Garcia absent). Legal Notice published in the Orange County Reporter on March 6, 2020. MOTION: Place ordinance on first reading and authorize publication of title. AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING AN AMENDMENT TO PROVISIONS OF CHAPTER 41 OF THE SANTA ANA MUNICIPAL CODE RELATING TO ACCESSORY DWELLING UNITS Mayor Pro Tern Villegas opened the public hearing at 8:06 p.m. Presented by Minh Thai, Executive Director of the Planning and Building Department. PUBLIC COMMENT Matthew Fertal spoke in support of adding an accessory dwelling unit in the zoning area in a commercial and professional zone. Hearing no one else wishing to speak, Mayor Pro Tern Villegas closed the public hearing at 8:17 p.m. DRAFT CITY COUNCIL MINUTES 104-1 9 MARCH 17, 2020 Councilmember Bacerra motioned and seconded by Councilmember Sarmiento with the understanding that Director Minh Thai work with Mr. Fertal and his son. Motion to Adopt Place ordinance on first reading and authorize publication of title. AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING AN AMENDMENT TO PROVISIONS OF CHAPTER 41 OF THE SANTA ANA MUNICIPAL CODE RELATING TO ACCESSORY DWELLING UNITS, moved by Councilmember Bacerra seconded by Councilmember Sarmiento. Councilmember Bacerra motioned to adopt, seconded by Councilmember Sarmiento. MOTION: Councilmember SECOND: Councilmember Sarmiento Bacerra VOTE: AYES: Mayor Pro Tern Villegas, Councilmember Iglesias, Councilmember Penaloza, Councilmember Sarmiento, Councilmember Bacerra (5) NOES: None (0) ABSTAIN: None (0) ABSENT: Mayor Pulido, Councilmember Solorio (2) 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 EXPLORE OPPORTUNITIES FOR FOOD VENDORS TO OPERATE IN CITY PARKS TO ENCOURAGE GREATER UTILIZATION OF THIS SPACE AND DETER POTENTIAL TRANSIENTS - Councilmember Iglesias Majority Council supports with no objections and provided direction to City staff. 85B. DISCUSS AND CONSIDER DIRECTING CITY ATTORNEY AND CLERK OF THE COUNCIL TO DRAFT A RESOLUTION OR ORDINANCE TO ENABLE THE CLERK OF THE COUNCIL TO VERIFY AND ENFORCE SANTA ANA CITY CHARTER SECTION 401 RESIDENCY REQUIREMENTS AS APPLIED TO MAYOR AND COUNCIL MEMBER CANDIDATES AND INCUMBENT MAYOR AND COUNCIL MEMBERS - Councilmembers Bacerra and Penaloza Item 85B was heard after Public Comment on non -agenda items. DRAFT CITY COUNCIL MINUTES 104-20 MARCH 17, 2020 Council supports and provided direction to City staff. 85C. DISCUSS AND CONSIDER DIRECTING CITY MANAGER TO POTENTIALLY CANCEL FUTURE CITY COUNCIL MEETINGS AND EXPLORE VIRTUAL MEETING OPTIONS - Mayor Pulido Mayor Pulido withdrew Item 85C. COMMENTS PUBLIC COMMENTS (If not considered by the Chair at an earlier time. Please refer to Basic City Council Meeting Information page for details). Evans Arek spoke regarding police brutality. Elliott Valdez spoke regarding Albert Blas. Mario Chavez spoke regarding COVID-19 and the assistance being provided by Lou Correa. 90A. CITY MANAGER'S COMMENTS City Manager Kristine Ridge made a brief announcement. 90B. CITY COUNCILMEMBER COMMENTS - 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. March 4 - March 6, 2020 Councilmember Penaloza - League of California Cities Planning Commissioners Academy - Sacramento, CA Councilmember Bacerra made community announcements. Councilmember Sarmiento made community announcements. Councilmember Solorio made community announcements. Councilmember Penaloza made community announcements. Councilmember Iglesias made community announcements. Mayor Pro Tern Villegas made community announcements and adjourned the City Council meeting at 9:18 p.m. DRAFT CITY COUNCIL MINUTES 104-21 MARCH 17, 2020 ADJOURNMENT - The next meeting of the City Council is scheduled for Tuesday, April 7, 2020 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. Adjourn Meeting in Memory of Albert Blas and Richard Salvetta FUTURE AGENDA ITEMS 1. One Broadway Plaza Mixed Use Development Project 2. Commercial and Medicinal Cannabis Regulation Amendments and Updates DRAFT CITY COUNCIL MINUTES 104-22 MARCH 17, 2020 LS 3.17.20 ORDINANCE NO. NS-XXXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING AMENDMENT APPLICATION NO. 2019-03 REZONING THE PROPERTY LOCATED AT 813 NORTH EUCLID STREET FROM TWO- FAMILY RESIDENTIAL (R-2) TO COMMUNITY COMMERCIAL (C-1) 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. Amendment Application No. 2019-03 has been filed with the City of Santa Ana to change the zoning designation of the parcel located at 813 North Euclid Street from Two -Family Residence (R-2) to Community Commercial (C-1), described in Exhibit A. B. The zoning designation of the Community commercial (C-1) would bring the rezoned property into consistency with the General Plan land use designation of General Commercial (GC). C. The zoning designation of the Community commercial (C-1) would facilitate the development of a 3,045-square foot convenience store and 1,800-square foot fueling canopy D. On February 10, 2020, the Planning Commission held a duly -noticed public hearing and voted to recommend that the City Council adopt an ordinance approving Amendment Application No. 2019-03. E. The City Council has reviewed applicable general plan policies and has determined that this proposed rezoning is consistent with the purpose of the General Plan. F. The City Council, prior to taking action on this ordinance, held a duly -noticed public hearing on March 17, 2020. G. The City Council also adopts as findings all facts presented in the Request for Council Action dated March 17, 2020 accompanying this matter. H. For these reasons, and each of them, Amendment Application No. 2019- 03 is hereby found and determined to be consistent with the intent and purpose of Chapter 41 of the Santa Ana Municipal Code, thus changing the zoning district is found to be consistent with the General Plan of the Ordinance No. NS-XXXX 11 A-1 Page 1 of 4 City of Santa Ana and otherwise justified by the public necessity, convenience, and general welfare. Section 2. The Planning Commission of the City of Santa Ana recommended that the City Council adopt an ordinance rezoning the real property located at 813 North Euclid Street from Two -Family Residence (R-2) to Community Commercial (C-1), (AA No. 2019-03). Amended Sectional District Map number 9-5-10 showing the above described change in use district designation, is attached hereto as Exhibit B and incorporated by this reference as though fully set forth herein. This recommendation is based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Request for Council Action dated March 17, 2020, and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. Section 3. The City Council has independently reviewed and analyzed the information contained in the Initial Study and the Mitigated Negative Declaration (MND), Environmental Review No. 2018-28 and Mitigation Monitoring and Reporting Program, prepared with respect to this project. The City Council has, as a result of its consideration of the record as a whole and the evidence presented at the hearings on this matter, determined that, as required pursuant to the California Environmental Quality Act (CEQA) and the State CEQA Guidelines, Environmental Review No. 2018- 28 meets all the requirements of CEQA. Section 4. This ordinance shall not be effective unless and until Resolution No. 2020- (Environmental Review No. 2018-28) and (Amendment Application No. 2019- 03) are adopted and become effective. If either resolution and/or ordinance are for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, or otherwise do not go into effect for any reason, then this ordinance shall be null and void and have no further force and effect. Section 5. If any section, subsection, sentence, clause, phrase or portion of this ordinance is 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 the 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 6. 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 Ordinance No. NS-XXXX 11 A-2 Page 2 of 4 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. ADOPTED this day of , 2020. APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By:,&4 ,0�� Lisa Storck Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers Miguel A. Pulido Mayor 11 A-3 Ordinance No. NS-XXXX Page 3 of 4 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, DAISY GOMEZ, Clerk of the Council, do hereby attest to and certify that the attached Ordinance No. NS- to be the original ordinance adopted by the City Council of the City of Santa Ana on , 2020 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 Ordinance No. NS-XXXX 11 A-4 Page 4 of 4 ............................ SIE�• —••�•--------------WENNNSTERAV----.------------•�—• o 1 3- � ' r AWD vx 2 F 2 N aox ,. o -- ' R2 �IR2-PRO — e(� J ' .. R1 suxswEPTAV SP2 R2 -- R,---- I 1 PaocaE F wsdrtN m Ri� _ \R\ 1 j �/ R1 R1 S F Boaz¢ Q WRRR(A Du �� Au D^� a R, SP2 Ri V D R� g q I P �ili1--�C2 'Yu J Q GEOPC� • - -_ - ' -I- -- _ D ---_---- 1 ... — 112 Ri R onv Ri m. I -dw Ica - dxFlsxdxs Rl �KFI w R ' DRi x[N wi R2 iiTxs R1 RI SP2 R2 0 F'R2 WHAZARDAVHAZARDAV o WHAZARDAV wgpwuAao CEzaa OER, 2RRI Lm 2 R w p R2-PRD11 NOR SLL YMMMMMM� R2 Al iax Ei :;F I R2PRD i xDe4 yE mx JGDx sP2 i R2 SD38 R2-PRD LL R1 At s- C2 W 1ST ST 'o M1 O C5 §^ CS i C2 C2 5R1q R2 1�'ll II 2F $P2 SP2 ZONING DISTRICTS Al GENERALAGRICULTURAL GSM SOUTH MAIN STREETCOMMERCIAL GIST_ R2 TNG-FAMILY RESIDENCE -B PARKING MODIFICATION C1 GOMMUNHYCOMMERCIAL GC GOVERNMENTCENTER R3 MULTIPLE- FAMILY RESIDENCE -OZ OVERLAYZONE Cl-MD COMMUNITY COMMERCIAL -MUSEUM DIST. M1 LIGHT INDUSTRIAL R4 SUBURBAN APARTMENT PLANNED RESIDENTIAL C2 GENERALCOMMERCIAL M2 HEAVY INDUSTRIAL RE RESIDENTIAL ESTATE PRD DEVELOPMENT C4 PLANNED SHOPPING CENTER O OPEN SPACE SD SPECIFICDEVELOPMENi -HD2 HEGHTDGTRICTI C5 ARTERIALCOMMERCIAL P PROFESSIONAL SP SPECIFGPLAN CR COMMERCIAL RESIDENTIAL R1 SINGLE- FAMILYRESIDENCE OZ1 METRO EAST OVERLAY ZONE SECTIONAL DISTRICT MAP: 9-5-10 e CITY OF SANTA ANA, CALIFORNIA Exhibit: 11 A-5 Strikethrough Version LS 3.17.20 ORDINANCE NO. NS-XXXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING AN AMENDMENT TO PROVISIONS OF CHAPTER 41 OF THE SANTA ANA MUNICIPAL CODE RELATING TO ACCESSORY DWELLING UNITS 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 Santa Ana Municipal Code (SAMC) requires updates periodically in order to gain compliance with new state or federal legislation. B. The City's current accessory dwelling unit ordinance, NS-2940, was adopted on April 3, 2018. C. NS-2940 established in 2018, has been superseded by changes made to state accessory dwelling unit laws (Assembly Bill 68, Assembly Bill 587, Assembly Bill 670, Assembly Bill 671, Assembly Bill 881, and Senate Bill 13) that took effect January 1, 2020, and is no longer enforceable. These statutes impose new limitations on local authority to regulate accessory dwelling units (ADU) and junior accessory dwelling units (JADU). D. The proposed changes to the ADU and JADU development standards are proposed to comply with the new state legislation to allow greater flexibility in allowing these units. E. The proposed amendments would change the ADU ordinance to be in full compliance with state law by repealing the City's 2018 ADU ordinance, incorporating new state provisions, and introducing new tailored ADU and JADU regulations that recognize and protect the diversity of Santa Ana neighborhoods. F. The City desires to amend its local regulatory program for the construction of ADUs and JADUs that fully complies with sections 65852.2 and 65852.22 of the Government Code, and finds that the proposed ordinance promotes the public health, safety and welfare of the community. Ordinance No. NS-XXXX Page 1 of 17 11 B-1 G. The Planning Commission held a duly noticed public hearing on February 10, 2020, regarding this ordinance and recommended that the City Council adopt the amended ordinance. H. The City Council has held a duly noticed public hearing on this ordinance on March 17, 2020, and has considered all testimony presented thereto. Section 2. Pursuant to the California Environmental Quality Act ("CEQA") and the State CEQA Guidelines, the adoption of this ordinance is exempt from CEQA review pursuant to California Code of Regulations Title 14, Chapter 3, section 15282(h) as CEQA is not applicable to the adoption of an ordinance by a city to implement the provisions of Section 65852.1 or Section 65852.2 of the Government Code, and a Notice of Exemption will be filed upon adoption of this ordinance. Section 3: Section 41-11.1 of the Santa Ana Municipal Code is hereby deleted. M-Z- - Section 4: Sections 41-194 through Section 41-194.14 of the Santa Ana Municipal Code are hereby deleted and replaced with the new Sections 41-194 through Section 41- 194.7 to read as follows: Sec. 41-194. - Accessory Dwelling Units - Purpose. Thepurpose of this section is to establish regulations for the development of accessory dwelling units and junior accessory dwelling units as defined in this section and in California Government Code sections 65852.2 and 65852.22, or any successor statute. Sec. 41-194.1. - Definitions. As used in this section, the following words, terms or phrases have the following meanings: 1) "Accessory dwelling unit' or "ADU" means an attached or detached residential dwelling unit that provides complete independent living facilities for one (1) or more persons and is located on a lot with a proposed or existing primary residential building. It shall include permanent provisions for living, sleeping eating, cooking, and sanitation on the same parcel that the primary residential building is situated or will be situated. It shall have the same meaning as that Ordinance No. NS-XXXX Page 2 of 17 11 B-2 term is defined in California Government Code section 65852.2 as amended from time to time. (2) "Existing accessory structure" means an accessory structure, as defined in this chapter, which was legally established and existing prior to the submittal of an ADU or JADU application. (3) "Existing carport" and "Existing covered parking structure" and "Existing garage" means a building or portion of a building designed or used for parking or storage of motor vehicles that was legally established and existing prior to the submittal of an ADU or JADU application. 4) "Junior accessory dwellina unit' or "JADU" means a unit that is no more than 500 square feet in size, contained entirely within the living area of a single-family residence, provides a cooking facility with appliances, food preparation counter and storage cabinets that are of reasonable size in relation to the unit, and has independent exterior access. A junior accessory dwelling unit may include separate sanitation facilities, or may share sanitation facilities with the existing structure. (5) "Living area" means the interior habitable area of a dwelling unit, including basements and attics but does not include a garage or any accessory structure. (6) "Mixed -Use" for purposes of ADU development means a development that combines residential land use with one or more additional land uses where uses are physically and functionally integrated (horizontally or vertically). 7) "Multi-familv buildina" for purposes of ADU development means a building, other than a hotel or motel, with two (2) or more attached dwellina units used to house two (2) or more families, living independently of each other. (8) "Public transit' means a location including, but not limited to, a bus stop or train station, where the public may access buses, trains, subways, and other forms of transportation that charge set fares, run on fixed routes, and are available to the public. (9) "Single-family residence" means a residential building containing one (1) or more habitable rooms with only one (1) kitchen, designed for occupancy by one (1) independent household unit with common access to, and common use of all living, kitchen and bathroom areas. (10) 'Tandem parking" means that two or more automobiles are parked on a driveway or in any other location on a lot, lined up behind one another. Ordinance No. NS-XXXX Page 3 of 17 11 B-3 Sec. 41-194.2. — Permitted Zones and Applicability. (A)ADUs and JADUs may be permitted in all zoning districts where residential or mixed - use development is permitted. (B) The Executive Director of the Planning and Building Agency, or his/her designee, shall review and approve or deny ministerial permits for ADUs and JADUs upon determining whether the application submitted is complete, the proposed unit conforms to all requirements of this code, and a non-refundable application review fee in the amount established by the City Council, and amended from time to time, has been paid. Applications deemed incomplete or not in full conformance with the requirements of this code will be rejected. (C)Sites developed or proposed to be developed with a single-family residence shall not be permitted more than one (1) ADU. (D)Sites developed with a multi -family building may convert existing non -habitable square footage within the building to a minimum of one (1) ADU and a maximum that shall not exceed twenty-five (25) percent of the number of units on the site. Sites developed with a multi -family building are also permitted to construct two (2) ADUs or to convert existing detached accessory buildings, garages, carports, or covered parking structures to a maximum of two (2) ADUs. (E)A maximum of one (1) JADU shall be permitted on a site developed or proposed to be developed with a single-family residence, unless the subject site proposes or contains an attached ADU. In such cases, a JADU shall not be permitted. (F) An ADU shall only be sold or otherwise conveyed separately from the primary building on the site if the primary building and the ADU were built or developed by a qualified non-profit corporation in accordance with Government Code Section 65852.26, as amended from time to time, and an affordable housing agreement is entered into by the applicant and the city. Sec. 41-194.3. — Development Standards The development standards in Table 41-194.3 shall be applicable to all accessory dwelling units and junior accessory dwelling units. Additional provisions related to accessory dwelling units and 'junior accessory dwelling units are referenced in the Ordinance No. NS-XXXX Page 4 of 17 11 B-4 "Additional Provisions" column of the table. Such provisions may include references to other applicable code sections or limitations. City of Santa Ana Municipal Code Table 41-194.3 Specific Regulations ADU JADU Additional Attached Detached Provisions Minimum Size 220 sg. ft. 220 sg. ft. 220 sg. ft. Maximum Size 1,000 sg. ft. 1,000 sg. ft. 500 s . ft. A B C Maximum Height Same as prima re building 16 ft. Same as prima buildin Minimum Side Yard Setback 4 ft. 4 ft. Same as prima rt/ building (D Minimum Rear Yard Setback 4 ft. 4 ft. Same as prima re building (D) Maximum Lot Coverage/Use Intensity Same as zoning district Same as zoning district Same as zoning district (E) Open Space 1,200ft 1,200 sa. ft. - F G Separation from Primary Buildings - - 15 ft. - (H) Separation from 5 ft. 5 ft. - (H) Accessory Buildin s Minimum Parking 1 space 1 space - I J Tandem Parking Permitted Permitted Permitted Design Guidelines Apply Apply Apply (A)Attached ADUs may be fifty (50) percent of the size of the habitable space of the Primary dwelling on the site, not to exceed 1,000 square feet in size. (B)ADUs may not exceed 800 square feet in size in cases where both an ADU and JADU are developed or proposed on a site. (C)Existing accessory structures may be converted into an ADU and may be expanded by up to 150 square feet of the existing footprint to accommodate ingress and egress only. Ordinance No. NS-XXXX Page 5 of 17 11 B-5 (D)No minimum setback shall be required for an ADU constructed in the same location and to the same dimensions as an existing structure that encroached into a required setback that was demolished to construct the proposed unit. This provision shall not apply to conversions of existing buildings. (E) Lot coverage and use intensity maximum established in zoning district may be exceeded to permit an ADU up to eight hundred (800) square feet in size. This provision shall not apply to conversions of existing buildings. (F) Required open space may be reduced to permit an ADU up to eight hundred (800) square feet in size. Open space requirement shall only apply to properties developed or proposed to be developed with a single-family residence. This provision shall not apply to conversions of existing buildings. (G)Shall be usable, continuous, non -front yard open -space, excluding driveways and parking areas. Any open space with a minimum dimension of fifteen (15) feet by fifteen (15) feet shall be deemed continuous open space. (H)Separation requirement may be reduced to permit an ADU up to eight hundred (800) square feet in size. Separation shall be measured from the nearest points between the structures. This provision shall not apply to conversions of existing buildings. (1) No parking for the ADU is required if one or more of the following applies: 1. The ADU is located within one-half (1/2) mile walking distance of public transit. 2. The ADU is located within an architecturally and historically significant historic district. 3. The ADU is part of the proposed or existing primary dwelling or an existing accessory structure. 4. When on -street parking permits are required but not offered to the occupant of the ADU. 5. When there is a car share vehicle located within one (1) block of the ADU. 6. The ADU is constructed as a studio, without bedrooms. (J) When an existing garage, carport, or other covered parking structure is demolished in conjunction with the construction of an accessory dwelling unit, or converted to an accessory dwelling unit, replacement of those off-street parking spaces shall not be required. Ordinance No. NS-XXXX Page 6 of 17 11 B-6 Sec. 41-194.4. — Historic Properties. ADUs and JADUs shall conform to the United States Secretary of Interior's Official Standards for the Treatment of Historic Properties. Sec. 41-194.5 Restrictive Covenant. Prior to issuance of a building permit for a JADU, a covenant consenting that either the primary dwelling unit or the JADU be owner -occupied shall be recorded against the title of the property in the County Recorder's office and a copy filed with the Planning Division. Said covenant shall run with the land, and shall bind all future owners heirs, successors, or assigns. The form of the deed restriction shall be provided by the City and shall provide that: 1. The JADU shall not be sold separately from the primary dwelling. 2. The unit is restricted to the approved size and attributes of this chapter. 3. The covenant restrictions run with the land and may be enforced against future purchasers. 4. The covenant restrictions may be removed if the owner eliminates the JADU. 5. The covenant restriction shall be enforced by the Executive Director of Planning and Building or his or her designee for the benefit of the City of Santa Ana. Failure of the property owner to comply with the covenant restrictions may result in legal action against the property owner and the City shall be authorized to obtain any remedy available to it at law or equity, including but not limited to obtaining an injunction enioininq use of the JADU in violation of the recorded restrictions or abatement of the illegal unit. Sec. 41-194.6. — Appeals of Executive Director decision. Any person wanting to appeal the determination of the Executive Director of the Planning and Building Agency, or his/her designee to disapprove plans and drawings submitted pursuant to section 41-194, et seq., or to the standards of section 41-194, et seq., may file an application for a minor exception pursuant to Article V of this chapter. Sec. 41-194.7 — Applicability to other regulations. Accessory dwelling units and junior accessory dwelling units must comply with any and all applicable regulations imposed in other articles of the zoning code, other city ordinances and state and federal law. Should a conflict exist between the provisions of Ordinance No. NS-XXXX Page 7 of 17 11 B-7 this article and the provisions of other articles of Chapter 41 of this Code, the provisions of this article shall prevail. n Ordinance No. NS-XXXX Page 8 of 17 11 B-8 Ordinance No. NS-XXXX Page 9 of 17 11 B-9 .: Ordinance No. NS-XXXX Page 10 of 17 11 B-10 --------------- ON : M- - - W , - M - - W - Ordinance No. NS-XXXX Page 11 of 17 11B-11 I •I • I •I -. --------------- b� Ordinance No. NS-XXXX Page 12 of 17 11 B-12 Mpr WIN Ism Ordinance No. NS-XXXX Page 13 of 17 11 B-13 Section 5. Section 41-239 of the Santa Ana Municipal Code is hereby amended to read as follows: Sec. 41-239. - Development standards in the R1 district. Lots in the R1 district shall comply with the following standards: (a) Front and street oriented side yards shall be landscaped with the exception of approved driveways and sidewalks. (b) Side yards shall be completely landscaped, except a walkway or driveway may encroach into required side yard. (c) Driveways shall lead to a garage and not exceed the width of such garage or fifty (50) percent of the lot width at the street, whichever is less. There shall be no parking of vehicles in the front yard except in such driveways. (d) Garages facing the street shall occupy no more than fifty (50) percent of the lot width. Ordinance No. NS-XXXX Page 14 of 17 11 B-14 (e) Porte-cocheres shall be architecturally integrated with the structure and may encroach up to the side property line located on a driveway that leads to the garage. A two -car garage must be provided prior to approval of a porte-cochere. (1) A porte-cochere shall not exceed twenty-five (25) feet in length. (2) Porte-cocheres shall comply with the setbacks established for the building it is attached to, except that the side yard setback may be reduced to three (3) feet. On corner lots the side yard setback on the street side shall be no less than ten (10) feet. (f) Accessory buildings shall not exceed thirty-five (35) percent of the required rear yard area. This subsection shall not apply to accessory dwelling units. (g) An accessory building shall be not less than five (5) feet from a main building. (h) Maximum square footage of accessory building shall not exceed fifty (50) percent of the main structure square footage. Required detached garages may exceed fifty (50) percent of the main structure square footage, but shall not exceed four hundred forty (440) square feet for a two -car garage, six hundred forty (640) square feet for a required three -car garage and eight hundred forty (840) square feet for a required four -car garage. Section 6. Section 41-681.3 of the Santa Ana Municipal Code is hereby amended to read as follows: Sec. 41-681.3. - Rehabilitation of multiple -family dwellings. Rehabilitation of a nonconforming building which is a multiple -family dwelling, including structural alteration and/or enlargement, is permitted subject to the following limitations: (1) There shall be no enlargement which would intrude into any required yard. (2) There shall be no enlargement which would result in a new nonconformity with the requirements of this chapter. (3) There shall be no increase in the number or size of bedrooms unless the site on which the building is located will be in conformance with the off- street parking requirements of this chapter. Ordinance No. NS-XXXX Page 15 of 17 11B-15 (4) For the purpose of this section the limitations listed in subsections (1), (2), and (3) shall not apply to accessory dwelling units as defined and regulated in Section 41-194 of this Chapter. Section 7. If any section, subsection, sentence, clause, phrase or portion of this ordinance is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council of the City of Santa Ana hereby declares that it would have adopted this ordinance and each section, subsection, sentence, clause phrase or portion thereof irrespective of the fact that any one or more sections, subsections, sentences, clauses, phrases, or portions be declared invalid or unconstitutional. ADOPTED this day of , 2020. APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By: uC41 Lisa Storck Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers Miguel A. Pulido Mayor Ordinance No. NS-XXXX Page 16 of 17 11 B-16 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 , 2020, 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 Ordinance No. NS-XXXX Page 17 of 17 11 B-17 Clean Version LS 3.17.20 ORDINANCE NO. NS-XXXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING AN AMENDMENT TO PROVISIONS OF CHAPTER 41 OF THE SANTA ANA MUNICIPAL CODE RELATING TO ACCESSORY DWELLING UNITS 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 Santa Ana Municipal Code (SAMC) requires updates periodically in order to gain compliance with new state or federal legislation. B. The City's current accessory dwelling unit ordinance, NS-2940, was adopted on April 3, 2018. C. NS-2940 established in 2018, has been superseded by changes made to state accessory dwelling unit laws (Assembly Bill 68, Assembly Bill 587, Assembly Bill 670, Assembly Bill 671, Assembly Bill 881, and Senate Bill 13) that took effect January 1, 2020, and is no longer enforceable. These statutes impose new limitations on local authority to regulate accessory dwelling units (ADU) and junior accessory dwelling units (JADU). D. The proposed changes to the ADU and JADU development standards are proposed to comply with the new state legislation to allow greater flexibility in allowing these units. E. The proposed amendments would change the ADU ordinance to be in full compliance with state law by repealing the City's 2018 ADU ordinance, incorporating new state provisions, and introducing new tailored ADU and JADU regulations that recognize and protect the diversity of Santa Ana neighborhoods. F. The City desires to amend its local regulatory program for the construction of ADUs and JADUs that fully complies with sections 65852.2 and 65852.22 of the Government Code, and finds that the proposed ordinance promotes the public health, safety and welfare of the community. G. The Planning Commission held a duly noticed public hearing on February 10, 2020, regarding this ordinance and recommended that the City Council adopt the amended ordinance. #12178vl 11 B-18 H. The City Council has held a duly noticed public hearing on this ordinance on March 17, 2020, and has considered all testimony presented thereto. Section 2. Pursuant to the California Environmental Quality Act ("CEQA") and the State CEQA Guidelines, the adoption of this ordinance is exempt from CEQA review pursuant to California Code of Regulations Title 14, Chapter 3, section 15282(h) as CEQA is not applicable to the adoption of an ordinance by a city to implement the provisions of Section 65852.1 or Section 65852.2 of the Government Code, and a Notice of Exemption will be filed upon adoption of this ordinance. Section 3: Section 41-11.1 of the Santa Ana Municipal Code is hereby deleted. Section 4: Sections 41-194 through Section 41-194.14 of the Santa Ana Municipal Code are hereby deleted and replaced with the new Sections 41-194 through Section 41- 194.7 to read as follows: Sec. 41-194. - Accessory Dwelling Units - Purpose. The purpose of this section is to establish regulations for the development of accessory dwelling units and junior accessory dwelling units as defined in this section and in California Government Code sections 65852.2 and 65852.22, or any successor statute. Sec. 41-194.1. - Definitions. As used in this section, the following words, terms or phrases have the following meanings: (1) "Accessory dwelling unit' or "ADU" means an attached or detached residential dwelling unit that provides complete independent living facilities for one (1) or more persons and is located on a lot with a proposed or existing primary residential building. It shall include permanent provisions for living, sleeping, eating, cooking, and sanitation on the same parcel that the primary residential building is situated or will be situated. It shall have the same meaning as that term is defined in California Government Code section 65852.2, as amended from time to time. (2) "Existing accessory structure" means an accessory structure, as defined in this chapter, which was legally established and existing prior to the submittal of an ADU or JADU application. (3) "Existing carport' and "Existing covered parking structure" and "Existing garage" means a building or portion of a building designed or used for parking or storage of motor vehicles that was legally established and existing prior to the submittal of an ADU or JADU application. #12178vl 11 B-19 (4) "Junior accessory dwelling unit' or "JADU" means a unit that is no more than 500 square feet in size, contained entirely within the living area of a single-family residence, provides a cooking facility with appliances, food preparation counter and storage cabinets that are of reasonable size in relation to the unit, and has independent exterior access. A junior accessory dwelling unit may include separate sanitation facilities, or may share sanitation facilities with the existing structure. (5) "Living area" means the interior habitable area of a dwelling unit, including basements and attics, but does not include a garage or any accessory structure. (6) "Mixed -Use" for purposes of ADU development means a development that combines residential land use with one or more additional land uses where uses are physically and functionally integrated (horizontally or vertically). (7) "Multi -family building" for purposes of ADU development means a building, other than a hotel or motel, with two (2) or more attached dwelling units used to house two (2) or more families, living independently of each other. (8) "Public transit' means a location, including, but not limited to, a bus stop or train station, where the public may access buses, trains, subways, and other forms of transportation that charge set fares, run on fixed routes, and are available to the public. (9) "Single-family residence" means a residential building containing one (1) or more habitable rooms with only one (1) kitchen, designed for occupancy by one (1) independent household unit with common access to, and common use of all living, kitchen and bathroom areas. (10) "Tandem parking" means that two or more automobiles are parked on a driveway or in any other location on a lot, lined up behind one another. Sec. 41-194.2. — Permitted Zones and Applicability. (A)ADUs and JADUs may be permitted in all zoning districts where residential or mixed - use development is permitted. (B) The Executive Director of the Planning and Building Agency, or his/her designee, shall review and approve or deny ministerial permits for ADUs and JADUs upon determining whether the application submitted is complete, the proposed unit conforms to all requirements of this code, and a non-refundable application review fee in the amount established by the City Council, and amended from time to time, has been paid. Applications deemed incomplete or not in full conformance with the requirements of this code will be rejected. #12178vl 11 B-20 (C)Sites developed or proposed to be developed with a single-family residence shall not be permitted more than one (1) ADU. (D)Sites developed with a multi -family building may convert existing non -habitable square footage within the building to a minimum of one (1) ADU and a maximum that shall not exceed twenty-five (25) percent of the number of units on the site. Sites developed with a multi -family building are also permitted to construct two (2) ADUs or to convert existing detached accessory buildings, garages, carports, or covered parking structures to a maximum of two (2) ADUs. (E)A maximum of one (1) JADU shall be permitted on a site developed or proposed to be developed with a single-family residence, unless the subject site proposes or contains an attached ADU. In such cases, a JADU shall not be permitted. (F) An ADU shall only be sold or otherwise conveyed separately from the primary building on the site if the primary building and the ADU were built or developed by a qualified non-profit corporation in accordance with Government Code Section 65852.26, as amended from time to time, and an affordable housing agreement is entered into by the applicant and the city. Sec. 41-194.3. — Development Standards The development standards in Table 41-194.3 shall be applicable to all accessory dwelling units and junior accessory dwelling units. Additional provisions related to accessory dwelling units and junior accessory dwelling units are referenced in the "Additional Provisions" column of the table. Such provisions may include references to other applicable code sections or limitations. Cit of Santa Ana Municipal Code Table 41-194.3 Specific ADU Additional Regulations ADU Provisions Attached Detached Minimum Size 220 s . ft. 220 s . ft. 220 s . ft. Maximum Size 1,000 s . ft. 1,000 s . ft. 500 s . ft. A B C Maximum Height Same as 16 ft. Same as primary primary building building Minimum Side 4 ft. 4 ft. Same as (D) Yard Setback primary building Minimum Rear 4 ft. 4 ft. Same as (D) Yard Setback primary #12178vi 11 B-21 building Maximum Lot Same as Same as Same as (E) Coverage/Use zoning district zoning district zoning district Intensity Open Space 1,200 s . ft. 1,200 s . ft. - F G Separation from - 15 ft. - (H) Primary Buildings Separation from 5 ft. 5 ft. - (H) Accessory Buildings Minimum Parking 1 space 1 space - I J Tandem Parkin Permitted Permitted Permitted Design Apply Apply Apply Guidelines (A)Attached ADUs may be fifty (50) percent of the size of the habitable space of the primary dwelling on the site, not to exceed 1,000 square feet in size. (B)ADUs may not exceed 800 square feet in size in cases where both an ADU and JADU are developed or proposed on a site. (C)Existing accessory structures may be converted into an ADU and may be expanded by up to 150 square feet of the existing footprint to accommodate ingress and egress only. (D)No minimum setback shall be required for an ADU constructed in the same location and to the same dimensions as an existing structure that encroached into a required setback that was demolished to construct the proposed unit. This provision shall not apply to conversions of existing buildings. (E) Lot coverage and use intensity maximum established in zoning district may be exceeded to permit an ADU up to eight hundred (800) square feet in size. This provision shall not apply to conversions of existing buildings. (F) Required open space may be reduced to permit an ADU up to eight hundred (800) square feet in size. Open space requirement shall only apply to properties developed or proposed to be developed with a single-family residence. This provision shall not apply to conversions of existing buildings. (G)Shall be usable, continuous, non -front yard open -space, excluding driveways and parking areas. Any open space with a minimum dimension of fifteen (15) feet by fifteen (15) feet shall be deemed continuous open space. 11 B-22 (H)Separation requirement may be reduced to permit an ADU up to eight hundred (800) square feet in size. Separation shall be measured from the nearest points between the structures. This provision shall not apply to conversions of existing buildings. (1) No parking for the ADU is required if one or more of the following applies: 1. The ADU is located within one-half (1/2) mile walking distance of public transit. 2. The ADU is located within an architecturally and historically significant historic district. 3. The ADU is part of the proposed or existing primary dwelling or an existing accessory structure. 4. When on -street parking permits are required but not offered to the occupant of the ADU. 5. When there is a car share vehicle located within one (1) block of the ADU. 6. The ADU is constructed as a studio, without bedrooms. (J) When an existing garage, carport, or other covered parking structure is demolished in conjunction with the construction of an accessory dwelling unit, or converted to an accessory dwelling unit, replacement of those off-street parking spaces shall not be required. Sec. 41-194.4. — Historic Properties. ADUs and JADUs shall conform to the United States Secretary of Interior's Official Standards for the Treatment of Historic Properties. Sec. 41-194.5 - Restrictive Covenant. Prior to issuance of a building permit for a JADU, a covenant consenting that either the primary dwelling unit or the JADU be owner -occupied shall be recorded against the title of the property in the County Recorder's office and a copy filed with the Planning Division. Said covenant shall run with the land, and shall bind all future owners, heirs, successors, or assigns. The form of the deed restriction shall be provided by the City and shall provide that: 1. The JADU shall not be sold separately from the primary dwelling. 2. The unit is restricted to the approved size and attributes of this chapter. #12178vl 11 B-23 3. The covenant restrictions run with the land and may be enforced against future purchasers. 4. The covenant restrictions may be removed if the owner eliminates the JADU. 5. The covenant restriction shall be enforced by the Executive Director of Planning and Building or his or her designee for the benefit of the City of Santa Ana. Failure of the property owner to comply with the covenant restrictions may result in legal action against the property owner and the City shall be authorized to obtain any remedy available to it at law or equity, including but not limited to obtaining an injunction enjoining use of the JADU in violation of the recorded restrictions or abatement of the illegal unit. Sec. 41-194.6. — Appeals of Executive Director decision. Any person wanting to appeal the determination of the Executive Director of the Planning and Building Agency, or his/her designee, to disapprove plans and drawings submitted pursuant to section 41-194, et seq., or to the standards of section 41-194, et seq., may file an application for a minor exception pursuant to Article V of this chapter. Sec. 41-194.7 — Applicability to other regulations. Accessory dwelling units and junior accessory dwelling units must comply with any and all applicable regulations imposed in other articles of the zoning code, other city ordinances and state and federal law. Should a conflict exist between the provisions of this article and the provisions of other articles of Chapter 41 of this Code, the provisions of this article shall prevail. Section 5. Section 41-239 of the Santa Ana Municipal Code is hereby amended to read as follows: Sec. 41-239. - Development standards in the R1 district. Lots in the R1 district shall comply with the following standards: (a) Front and street oriented side yards shall be landscaped with the exception of approved driveways and sidewalks. (b) Side yards shall be completely landscaped, except a walkway or driveway may encroach into required side yard. (c) Driveways shall lead to a garage and not exceed the width of such garage or fifty (50) percent of the lot width at the street, whichever is less. There shall be no parking of vehicles in the front yard except in such driveways. 11 B-24 (d) Garages facing the street shall occupy no more than fifty (50) percent of the lot width. (e) Porte-cocheres shall be architecturally integrated with the structure and may encroach up to the side property line located on a driveway that leads to the garage. A two -car garage must be provided prior to approval of a porte-cochere. (1) A porte-cochere shall not exceed twenty-five (25) feet in length. (2) Porte-cocheres shall comply with the setbacks established for the building it is attached to, except that the side yard setback may be reduced to three (3) feet. On corner lots the side yard setback on the street side shall be no less than ten (10) feet. (f) Accessory buildings shall not exceed thirty-five (35) percent of the required rear yard area. This subsection shall not apply to accessory dwelling units. (g) An accessory building shall be not less than five (5) feet from a main building. (h) Maximum square footage of accessory building shall not exceed fifty (50) percent of the main structure square footage. Required detached garages may exceed fifty (50) percent of the main structure square footage, but shall not exceed four hundred forty (440) square feet for a two -car garage, six hundred forty (640) square feet for a required three -car garage and eight hundred forty (840) square feet for a required four -car garage. Section 6. Section 41-681.3 of the Santa Ana Municipal Code is hereby amended to read as follows: Sec. 41-681.3. - Rehabilitation of multiple -family dwellings. Rehabilitation of a nonconforming building which is a multiple -family dwelling, including structural alteration and/or enlargement, is permitted subject to the following limitations: (1) There shall be no enlargement which would intrude into any required yard. (2) There shall be no enlargement which would result in a new nonconformity with the requirements of this chapter. (3) There shall be no increase in the number or size of bedrooms unless the site on which the building is located will be in conformance with the off- street parking requirements of this chapter. #12178vl 11 B-25 (4) For the purpose of this section, the limitations listed in subsections (1), (2), and (3) shall not apply to accessory dwelling units as defined and regulated in Section 41-194 of this Chapter. Section 7. If any section, subsection, sentence, clause, phrase or portion of this ordinance is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council of the City of Santa Ana hereby declares that it would have adopted this ordinance and each section, subsection, sentence, clause phrase or portion thereof irrespective of the fact that any one or more sections, subsections, sentences, clauses, phrases, or portions be declared invalid or unconstitutional. ADOPTED this day of 12020. Miguel A. Pulido Mayor #12178vl 11 B-26 APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By Lisa Storck Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers ryairi��y_�rx.�y_��r��r_�r�.�►evuz.�:uHura�r�-i 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 , 2020, 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 #1217svi 11 B-27 REQUEST FOR COUNCIL ACTION IMIII Walfiellill,[•310J11=I =1111I1,lei •7e%9:9 APRIL 07, 2020 TITLE: APPROVE AN APPROPRIATION ADJUSTMENT AND ADDITIONAL CONTINGENCY FUNDS FOR EXISITING CONTRACTS TO ADD STREET IMPROVEMENT AND MEDIAN LANDSCAPING PROJECTS FOR AN ESTIMATED TOTAL PROJECT DELIVERY COST OF $2,981,016 (PROJECT NOS. 19-6942, 17-6880, & 17- 6801) /s/ Kristine Ridge CITY MANAGER IN*9191IT, ILTA l21kilr]AIII IEel kiI A I=11 N INISI Zd•IIJ, Eel I 111111111i fie], I Ill APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2" d Reading ❑ Implementing Resolution ❑ Set Public Hearing For rK•�rnum�.ic. FILE NUMBER 1. Approve an increase to existing contract contingencies to perform additional street improvements and median landscape improvements as summarized in the tables below, for a total of $2,981,016: Street Improvements Work Project Original Original Additional Summary No. Contractor Contract Contingency Contingency New Total Amount Amount Exhibit 1 19-6942 All American $1,716,649 $68,000 $742,500 $2,527,149 Asphalt Median Landscape Improvements Work Project Original Original Additional Summary Contractor Contract Contingency Contingency New Total Amount Amount Exhibit 17-6880 Vido $3,776,881 $377,688 $1,195,702 $5,350,271 Samarzich Exhibit 17-6801 Aramexx $2856,418 $300,160 $1,042,814 $4,199,392 Construction 20A-1 Approve Appropriation Adjustment & Add Contingency Funds to Existing Contracts April 7, 2020 Page 2 2. Approve an Appropriation Adjustment recognizing $2,473,000 in the General Fund, Prior Year Fund Balance revenue account, and appropriating the same to the General Fund, Public Works Roadway Markings & Signs, Improvements Other Than Building expenditure account. DISCUSSION Orange County Transportation Authority's (OCTA) Measure M is a 30-year half -cent sales tax for transportation improvements in Orange County through 2041. The City has used Measure M funding to complete a variety of projects throughout the City and is currently eligible to receive close to $20 million in Measure M funds. Every year, OCTA determines whether a local jurisdiction is eligible to receive Measure M funding by confirming certain requirements are satisfied. Because Measure M funds are intended to augment, rather than replace, existing transportation expenditures, one of the requirements is for local jurisdictions to use General Funds for maintenance, construction and other transportation related expenditures. Each fiscal year, OCTA sets a benchmark local jurisdictions must meet. The Fiscal Year 2019-20 Maintenance of Effort (MOE) benchmark requirement for the City of Santa Ana is close to $8 million. To ensure the benchmark is met, an MOE certification must be submitted. Along with submittal of the MOE certification, this year, the City will be undergoing an MOE compliance audit in the fall of 2020. Currently, the City has made approximately $6 million in MOE eligible expenditures. In order to safely meet the $8 million benchmark and maintain access to Measure M funds, an additional $3 million of MOE work must be completed this fiscal year. Staff recommends carrying out eligible street improvements in the amount of $0.7 million and median landscaping work in the amount of approximately $2.3 million to meet the requirement. Raitt Street, from First Street to Civic Center Drive (Exhibit 4), was identified by the City's pavement management system as being in need of repair work. Raitt Street is also part of a streetcar construction project led by the County of Orange. A street improvement project is ideal in this location as it can leverage streetcar construction work to deliver a larger project. Improvements include a mix of concrete and asphalt repairs on Raitt Street. Additional improvements to be completed with the allocation of funds include alley paving and speed cushions on Bewley Street. The work will be performed by All American Asphalt. In regards to the median landscaping, the City engaged a landscape architect that understands the City's goal to improve the aesthetic appearance of arterial corridors (Exhibit 5) where landscaping has withered due to drought conditions and changes limiting irrigation. The consultant prepared schematic designs defining general concepts (Exhibit 6) and a corresponding rough estimate of construction costs. The plants chosen are primarily California native and were selected for their drought tolerant characteristics and ease of maintenance. The concepts were developed in a scalable manner to allow for subsequent construction phases as new funding becomes available. The project will be completed by Vido Samarzich and Aramexx Construction. Staff contacted a number of contractors currently working on City construction projects to gauge their ability to complete the above work by June 30, 2020. When choosing which contracts to add 20A-2 Approve Appropriation Adjustment & Add Contingency Funds to Existing Contracts April 7, 2020 Page 3 contingency funds and accommodate the proposed work, key considerations included favorable unit prices in order to leverage the most cost effective work, continued compliance with the Community Workforce Agreement, the location of their current projects, and a contractor's ability to complete their current projects in a timely manner. During the February 18, 2020, City Council meeting, the mid -year budget update presented to the City Council projected a net year-end balance of $10.1 million in the General Fund. Staff seeks approval to utilize a portion of these General Funds to add monies to existing contract contingencies (Exhibits 1-3) to deliver the street improvement and median landscaping projects by fiscal year end and thus meet the MOE requirement. Not doing so will jeopardize close to $20 million in future grant funding from OCTA. 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 In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review. Each change order is covered by its corresponding construction contract, and each contract has its own Categorical Exemption Environmental Review (see attached RFCA awarding the construction contracts. FISCAL IMPACT As reported on February 18, 2020, with the Midyear Budget Update, staff expected the General Fund to have $10.1 million in excess of the City Council's policy reserve thresholds. After the City Council approved the Midyear appropriation adjustments and the cost of the special election, the revised estimate of available General Fund balance is $9.2 million. We expect the COVID-19 pandemic to have a significant impact on General Fund revenue. At this time, it is too early to quantify the impact; but early information suggests a potential reduction of at least $20 million. The City Council should carefully consider the importance of using General Fund balance for street improvements and beautification at this time. A more measured approach would be an approximate $3 million use of the General Fund balance to ensure the City meets its requirements to spend General Fund money on street maintenance per the Orange County Transit Authority Maintenance of Effort. Each Cost Analysis (Exhibits 1-3) indicates the amount of additional contingency for each project for a total of $2,981,016 in additional roadway and median landscape improvements. Approval of the requested Appropriation Adjustment will recognize $2,473,000 from the General Fund prior year fund balance revenue account (No. 01102002-50001) and appropriate the same amount to the Public Works Roadway Markings & Signs General Fund, Improvements Other Than Building 20A-3 Approve Appropriation Adjustment & Add Contingency Funds to Existing Contracts April 7, 2020 Page 4 expense account (No. 01117620-66220). With the balance of $508,016 already in Account No. 01117625-66220, a total of $2,981,016 will be available for expenditure in FY 2019-20 as follows: Exhibit Fiscal Year Accounting Unit — Account No. project No. Fund Description Accounting Unit - Account No. Description Amount Public Works Roadway 1 2019- 01117625-66220 General Markings and Signs, $742,500 20 (19-6942) Fund Improvements Other Than Building Public Works Roadway 2 2019- 01117625-66220 General Markings and Signs, $1,195,702 20 (17-6880) Fund Improvements Other Than Building Fiscal Accounting Unit — Fund Accounting Unit - Exhibit Year Account No. Description Account No. Amount project No. Description Public Works Roadway 3 2019- 01117625-66220 General Markings and Signs, $1,042,814 20 (17-6801) Fund Improvements Other Than Building Total $2,981,016 Exhibits: 1. Roadway Improvements Cost Analysis — Project #19-6942 2. Median Landscape Improvement Cost Analysis — Project #17-6880 3. Median Landscape Improvement Cost Analysis — Project #17-6801 4. Roadway Improvements List 5. Median Corridor Location Map 6. Landscape Improvements Design Concept 20A-4 AAA EXHIBIT 1 COST ANALYSIS PROJECT NO. 19-6942 LOCAL STREET PREVENTATIVE MAINTENANCE FY 2018-2019 EXPENDITURE CATEGORY ORIGINAL CHANGE NEW TOTAL AMOUNT Construction Contract $1,716,649 $1,716,649 Construction Administration & $115,351 $115,351 Inspection and Testing Contingencies $68,000 $742,500.00 $810,500 TOTAL $1,900,000 $742,500.00 $2,642,500 20A-5 V/K EXHIBIT 2 COST ANALYSIS PROJECT NO. 17-6880: Santa Ana Boulevard and 5th Street Protected Bike Lane [ATPL5063 (170)] EXPENDITURE CATEGORY ORIGINAL CHANGE AMOUNT NEW TOTAL Construction Contract $3,776,881 $3,776,881 Construction Administration $150,543 $150,543 Inspection and Testing $178,888 $178,888 Contingencies $377,688 $1,195,702.00 $1,573,390 TOTAL $4,484,000 $1,195,702.00 $5,679,702 20A-6 ARA EXHIBIT 3 COST ANALYSIS PROJECT NO. 17-6801 & 17-6886: CIVIC CENTER BIKE BOULEVARD AND SAFE ROUTES TO SCHOOL ENHANCEMENTS FOR SEPULVEDA ELEMENTARY SCHOOL EXPENDITURE CATEGORY ORIGINAL CHANGE AMOUNT NEW TOTAL Construction Contract $2,856,418 $2,856,418 Construction Administration $105,562 $105,562 Inspection and Testing $120,860 $120,860 Contingencies $300,160 $1,042,814.00 $1,342,974 TOTAL $3,383,000 $1,042,814.00 $4,425,814 20A-7 ROADWAY IMPROVEMENTS LIST STREET SEGMENT MATERIAL Bewley Street: Fifth Street to Washington Avenue (Speed Cushions) Asphalt Alley: South of Santa Ana Boulevard, East of Shelton Street Asphalt Raitt Street: First Street to Fifth Street Asphalt XV4:11a]k1E,1 20A-8 City of Santa Ana 03-24-2020 As AVCTA AV 1 .. . GARDEN GROVE BLVG , • 1 1 ■ � w � 1 ;1 y � r 1 BANTAC AV 1 _...,..i � A.-P . . .. �...W r .... r r r. AA. W HINGT v 1 CIVIC NIER DR I O 1 1 i 1 r I sANTA A.i1R BLVd' L 1 Exhibit 5 j.U1'R1""'7N AV _A CLARA AV la . r ... 4] % N r% ; � • 1 4 MC FADDEN AV r EDINGER AV } GINGER AV -� EDINGERAV ...... ........ 1 . .. ...... s •1 1 1 a 1 1 y F � WARNER AV 3j. � '9 6EGERS 1 1 - - - - -L J- ➢YER Ra_ • �� (.. 1 1 1 1 e _1JN-LOdlEP AV ■ Contractor Vido Samalzich Aramexx $1,162,702.35 $1,010,481.50 Key Map Median Cor2OAtQge Completed N 0.0 0.5 1.0 Miles 3 � 0 u _ 0 U m 0 CL � m Ll'-� s � CD o EV m. o o \}0. \ 20A(o \ )\\\}\ \\ � ■ � 0 0 � a 2: No s 20A-1.1 LLI \-0 U A54< §\� ) ? 0 Z in \{ 32 � � ■ / 0 _) / �j < I \/ z @ f - - !\ § / \\ \ 2 ` � ^__ U ro a LL z w� A l�I, B ■ ■ 5 � � I : J j �2OA.1f\ )§ M 0 0 ( ( ) 5 \ \\\\\\ Z _ / �\ }\\ ) � � � m Nm m � — o - 0 0 coi m m REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 7, 2020 TITLE: AUTHORIZE A PURCHASE ORDER FOR AN AMOUNT NOT TO EXCEED $170,760 TO TRANSWEST TRUCK CENTER LLC FOR TWO FORD F550 CHIPPER BODY TRUCKS (ENTERPRISE FUND) (SPECIFICATION NO. 20-003) /s/ Kristine Ridge CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s' Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For �K•�►nl►m�.>rc•� FILE NUMBER Authorize a one-time purchase and payment of purchase order to Transwest Truck Center LLC., for two Ford F550 chipper body trucks for a total amount not to exceed $160,760, plus a contingency of $10,000, for a total amount not to exceed $170,760, to be funded by the Sanitation Enterprise Fund, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION The Public Works Agency Fleet Services Division is responsible for the acquisition, maintenance, repair, and replacement of vehicles, trucks, and maintenance equipment. The Public Works Agency, Maintenance Services Division, is responsible for the maintenance of approximately 400 miles of streets and 50,000 street trees. Chipper trucks are necessary to mobilize and tow the brush chippers and collect the wood chip debris and brush, at multiple job sites daily in the removal of tree trimming and landscaping, felled tree branches and limbs, tree stump removal, and for use in emergency response situations involving downed trees during storm events. Due to their heavy use and age, the trucks on -hand are now unreliable, constantly breaking down requiring costly repairs. The existing vehicles are 1990 and 2000 models. Both vehicle have reached the end of their effective useful lifecycle and have become unreliable. The vehicles exceed the recommended Equipment Lifecycle Guidelines of the City's Fleet Services Division, earning a "terrible" rating, based on industry standards from the Municipal Equipment Maintenance Association, the National Association of Fleet Administrators, and the American Public Works Association. Furthermore, the equipment will not comply with the 2021 State of California Air Resources Board Portable Equipment Registration Program, which will render them unusable. 22A-1 Award Purchase Order for Ford F550 Chipper Body Trucks April 7, 2020 Page 2 The Notice Inviting Bids was advertised on January 9, 2020, on the City's online bid management and publication system. A summary of the bid invitation and bids received is as follows: 442 Vendors were notified 22 Santa Ana vendors were notified 13 Vendors downloaded the bid packet 5 Bids received 0 Bids received from Santa Ana vendors Five bids were received and opened on February 6, 2020. After evaluating the bids (Exhibit 1), one was determined to be responsive. Out of the four bids deemed nonresponsive, one bid did not meet minimum truck specification requirements, while the remaining three bids were missing required bid forms. The bid received from Transwest Truck Center LLC., was lowest, responsive to specifications, and meets the City's requirements. 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 Fund Description Accounting Unit, Amount Year Unit -Account # Account Description Public Works — 2019-20 06817640-66400 Sanitation Environment/Sanitation, $170,760 Machinery & Equipment 1:1011i117MA_1MM15Mne dl-rip, 22A-2 EXHIBIT 1 ABSTRACT OF BIDS FORD F550 CHIP BODY TRUCKS (20-003) BIDDER Fritts Ford* Rush Truck Center Whittier* South Bay Ford Lincoln* Transwest Truck Center LLC West Covina Car Stop* *Nonresponsive Bid LOCATION TOTAL Riverside, CA $79,634.52 Pico Rivera, CA $100,263.71 Hawthorne, CA $87,119.48 Fontana, CA $80,378.48 West Covina, CA $80,472.69 22A-3 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 7, 2020 TITLE: AWARD A PURCHASE ORDER FOR AN AMOUNT NOT TO EXCEED $154,502 TO QUEST SOLUTION INC. FOR 30 PANASONIC TOUGHBOOKS, ACCESSORIES AND EXTENDED WARRANTY FOR THE POLICE DEPARTMENT TRAFFIC DIVISION (SPECIFICATION NO. 20-029) CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1"Reading ❑ Ordinance on 2itlReading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO /s/ Kristine Ridge FILE NUMBER CITY MANAGER RECOMMENDED ACTION Authorize a one-time purchase and payment of purchase order to Quest Solution Inc., for the purchase of 30 Panasonic toughbooks, accessories and extended warranty to be used by the Police Department Traffic Division as electronic citation writing devices for a total not to exceed $154,502 subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION The Santa Ana Police Department Traffic Division is seeking to replace the existing handheld ticket writers that were purchased in 2014. The current eCitation devices, Motorola MC-75's, have reached the end of their useful life. The software and drive systems are failing or no longer supported, and it is no longer cost efficient to repair them. Handheld ticket writers are used to collect citation data, print traffic citations in the field, transfer information electronically to the agency's RMS system, then transmit the data to Orange County Sheriff's Department and to the courts. The new Panasonic tablets will be used by our Traffic Division to continue these enhanced efficiencies that were realized when the current devices were deployed. The current devices do not have internet browsing capability. When a motor officer contacts a motorist or pedestrian, they are unable to conduct record checks similar to a patrol officer's capability. The Panasonic tablets will allow motor officers to conduct record checks in the field, which will assist with confirming the identity of individuals who have no physical form of identification. Currently, a motor officer must perform all record inquires over the radio through 22B-1 Award a Purchase Order for Panasonic Toughbooks and Accessories April 7, 2020 Page 2 Communications. Often times this process can be lengthy, depending on the amount of radio traffic at the time. Issuing Panasonic tablets to each motor officer will allow them to input their daily activity, making them more efficient and reducing the radio traffic for patrol personnel. The Collision Investigations Unit will also benefit from having a tablet issued to them. In 2019, the Collision Investigations Unit handled 18 fatal traffic collisions that resulted in 23 fatalities. Presently, the Collision Investigations Unit is utilizing obsolete laptop computers that do not offer all the benefits a Panasonic Toughbook offers. The new Panasonic devices will have the following specifications: integral mag-strip reader, thermal printer compatibilities, audio recorder, camera, docking/charging station, and compatibility with the eCitation software. The proposed device is a great improvement from the current device. The dimensions and display quality make the devices easier to read, and will allow for more focus on situational/spatial awareness, which will improve officer safety. The Notice Inviting Bids was advertised on February 26, 2020, on the City's online bid management and publication system. A summary of the bid invitation and bids received is as follows: 526 Vendors were notified 7 Santa Ana vendors were notified 17 Vendors downloaded the bid packet 6 Bids received 0 Bids received from Santa Ana vendors Six bids were received and opened on March 18, 2020. After evaluation (Exhibit 1), five of the six bids received were determined to be responsive. The bid deemed nonresponsive offered pricing on an alternative product that did not meet specification requirements. The bid received from Quest Solution Inc., was lowest, responsive to specifications, and meets the City's requirements. The cost of the 30 devices and accessories is $4,520.77 per unit, for a total of $135,624. In addition, the Police Department is requesting to purchase a five-year extended warranty at a cost of $629.28 per device, for a total of $18,878. . STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal # 1 Community Safety; Objective 3, (Promote fiscal accountability to ensure financial responsibility at all levels of the organization), Strategy 3A (Continuously evaluate and assess fiscal aspect of service delivery to ensure that the Police Department provides programs and services efficiently and effectively.) 22B-2 Award a Purchase Order for Panasonic Toughbooks and Accessories April 7, 2020 Page 3 FISCAL IMPACT Funds are available in the FY 2020 OTS Grant Program through fund account (no.16514414- 63001-20450501127-3000) and the FY 2019-20 Information Technology Specialized Systems account (no. 10920143-63000) as follows: Fiscal Year Accounting Unit — Account# Accounting Unit, Account Description Amount FY 2019-20 16514414-63001-20450501127-3000 OTS STEP Grant $103,978 FY 2019-20 10920143-63000 Information Technology Specialized Systems $50,524 Total $154,502 Exhibit: 1. Abstract of Bids 22B-3 EXHIBIT 1 ABSTRACT OF BIDS PANASONIC TOUGHPADS & ACCESSORIES (20-029) BIDDER LOCATION TOTAL COST WARRANTY COST PER UNIT PER UNIT Howard Industries Inc. Ellisville, MS $4,965.14 N/A Hypertec USA Inc. Tempe, AZ $4,784.31 $699.47 Quest Solution Inc. Anaheim, CA $4,520.77 $629.28 Southern Computer Warehouse Inc. Marietta, GA $4,848.45 N/A Southland Technology San Diego, CA $4,748.40 $721.05 22B-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 7, 2020 TITLE: AMEND AGREEMENT WITH INFOR (US) INC FOR FINANCIAL SYSTEM MAINTENANCE, SERVICES, AND SOFTWARE LICENSES /s/ Kristine Rida 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 �1��►U1�1:3q:3 Authorize the City Manager to amend the agreement with Infor (US) Inc. for Lawson financial system maintenance, services, and software licenses in an amount not to exceed $811,697.59 over an approximate three-year period from April 8, 2020, through May 31, 2022, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The City uses the Infor Lawson financial system to process, account for, maintain, track, and report on the City's financial information and transactions. This includes functions for general ledger, accounts payable, billing, accounts receivable, cash management, procurement, inventory, asset management, grant management, projects and activities, budgeting, business intelligence and reporting. The system is used to produce the Comprehensive Annual Financial Report (CAFR) required by California State Law and the City Charter. After a competitive procurement process, the City Council approved an agreement with Lawson Software Americas, Inc. on March 3, 2008, to purchase the Lawson financial system (Agreement A-2008-037). The system went live in September 2009 and replaced a legacy mainframe system that was over 20 years old. Lawson Software Americas, Inc. was acquired by Infor (US) Inc. in 2011. Staff recommends approving an Addendum, and Services Work Order, for annual maintenance, and professional services, respectively. The Addendum for Multiyear Support Commitment (Exhibit 1), modifies the maintenance term to decrease the annual maintenance cap from 4% plus Consumer Price Index rate to a fixed 3% rate, saving the City several thousand dollars each year in maintenance costs during the three-year term. Annual maintenance entitles the City to receive software updates and technical support services, which are required to ensure system availability, proper operation, and legislative compliance. 25A-1 Amend Agreement with Infor (US) Inc. for Financial System Maintenance, Services, and Software Licenses April 7, 2020 Page 2 The Services Work Order provides the City with professional services required to maintain, optimize, and improve the system as well as educate staff to maximize system and process efficiency (Exhibit 2). STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #7- Team Santa Ana, Objective #5 (Create a culture of innovation and efficiency within the organization), Strategy A (Promote the use of new technology to improve the delivery of services and information to staff and the community). FISCAL IMPACT Funds are available in the Information Technology Enterprise System accounting unit 10920141 for FY 2019-20 and will be budgeted in subsequent fiscal years. The following is an estimate of the account distribution by fiscal year, but the actual amounts may vary within a fiscal year based on the timing of delivery of services. Accounting Unit Description FY 19/20 FY 20/21 FY 21/22 Total 10920141-62300 Contract Services $34,100 $34,100 $34,100 $102,300 Professional 10920141-62306 Software Maintenance & $229,512 $236,397 $243,489 $709,398 Support Total $263,612 $270,497 $277,589 $811,698 Exhibits: 1. Infor Addendum Multiyear Support Commitment 2. Infor Services Work Order 25A-2 Exhibit 1 ADDENDUM MULTIYEAR SUPPORT COMMITMENT As it relates to the Component Systems specified herein, this Addendum is subject to the terms of the Software License Agreement between Infor (US), Inc. ('Infor) and City of Santa Ana ('Licensee') with an effective date of 3/3/2008 (the'License Agreement'). As it relates to Support for the Component Systems, this Addendum is subject to the applicable terms of the License Agreement (to the extent it concerns Support) or, if Support is subject to a separate Support Agreement related to the License Agreement, the terms of such Support Agreement (the 'Support Agreement'). The License Agreement and related Support Agreement (if any) are referred to herein as the 'Agreement'. All terms of the Agreement are incorporated herein by reference. Capitalized terms not defined in this Addendum are defined in the Agreement. In the event of a conflict, the terms of this Addendum control over the terms of the Agreement. In the event the capitalized terms in this Addendum differ from the terminology used in the Agreement, references herein to: 'Component Systems' means the software products that are being licensed (and may be referred to in the Agreement as Products, Software Products, Software, Programs or Licensed Programs): 'Support' means Infor's current standard maintenance and Support services (and may be referred to in an Agreement as Maintenance and Support, Annual Support, Support Services, On -Going Support or One Point Support): 'Order Form' means a mutually agreed upon ordering document (and may be referred to in an Agreement as Schedule, Supplement or Supplemental Schedule): 'Annual Escalation Percentage Cap' means the maximum percentage increase in an annual Support Fee on an annual basis. In addition, based on the applicable Agreement, listed Component Systems herein owned by a third party may also be referred to in the Agreement as 'Additional Software' or'Third Party Software'. Effective Date of the Addendum: Date of Infor counter -signature I. Component Systems: Previously licensed Component Systems for which Licensee is purchasing Support. No delivery necessary The Component Systems for which the Licensee is purchasing support are listed in Exhibit A. Support Level: Infor Xtreme ("XT") Support unless otherwise indicated. "XT" = Infor Essential (24X5)/ "XTP" = Infor Premium (24x7)/"XTE"= Infor Customer Success Plus program **Support Level: Descriptions of the XT and XTP Support plans can be found at http://www.infor.com/content/brochures/inforxtremesui)oortplanfeatures.odf A description of the XTE / Customer Success program can be found at https://www.infor.com/supporUcustomer-success-plus Infor Support Assistant: If not already installed, Licensee agrees to promptly download and install Infor Support Assistant ("ISA"), a data collecting application that gathers relevant system and software information for use by Infor Support in its continuing effort to improve Support response and resolution times and to assist Infor with the provision of proactive Support. For purposes of clarification, ISA does not collect personal data, business transaction data, production data or authentication information, including passwords. II. Support Services Total Support Fee 709,397.59 US (Dollar) Annual Escalation Percentage Cap: For this Support Term, the Annual Escalation Percentage increase of 3 % is included in the annual payment amounts set forth below. Following this Support Term, the Annual Escalation Percentage cap shall be 6 % or the then -current year -over -year increase in the Consumer Price Index (CPI) whichever is the greater. Support Term:6/1/2020 ("Start date') to 5/31/2023 ("End date") Support Commitment: "The Support Term specified herein is a binding term, and neither party may exercise any rights of non -renewal or cancellation for convenience so as to terminate Support prior to the end of such Support Term. If Licensee fails to pay Infor any portion of the Total Support Fee when due, then, in addition to other remedies Infor may exercise, Licensee shall immediately be invoiced for, and shall be obligated to pay to Infor, as liquidated damages, the Total Support Fee, as increased by the Annual Escalation Percentage Cap, less any portion of the Total Support Fee previously paid (the "Damages'). If such amount is not paid within fifteen (15) days of invoice, Infor shall have no further obligation to provide Support, and the Licensee shall remain fully obligated to pay the Damages.On the last day of the Support Term, Support will automatically renew for successive twelve-month periods (the "Renewal Period") unless either party provides written notice to the other party of non -renewal at least ninety (90) days prior to the commencement of the Renewal Period." Total Amount Due (before applicable taxes): 709,397.59 Currency: US (Dollar) This Addendum is subject to the Infor General Lifecycle Policy. As described therein, additional fees may apply if Mainstream Maintenance is no longer available for a Component System during the Support Term. The policy can be found at httos://www.infor.com/content/analyst/Infor-General-Lifecycle-Policy.pdf Payment Schedule: 229,511.66 (plus applicable taxes) is due no later than 5/1/2020 236,397.00 (plus applicable taxes) is due no later than 5/1/2021 243,488.93 (plus applicable taxes) is due no later than 5/1/2022 Customer ID: 2149-L Customer Milanka Radic contact: Customer name: City of Santa Ana Customer (714) 647-5256 contact tel: Customer contact MRadic@santa-ana.org email: THE PARTIES have executed this Addendum through the signatures of their respective authorized representatives. Infor (US), Inc. Signature: �fiE4-tG Name (printed): Lindsay Pritchard Title: Associate General Counsel Date: March 16, 2020 ATTEST Daisy Gomez Clerk of the Council City of Santa Ana Signature: Name (printed): Title: Date: APPROVED AS TO FORM J n M. Funk Assistant City Attorney RECOMMENDED FOR APPROVAL t11aa hnology Innovations Officer EXHIBIT A SKU Component System License Restriction Quantity Type Support Level* BPP-LSF Lawson System Foundation 4 CPUCORE XTP UPP-CRASBP Crystal Reports App Server (Cpu) B&P 2 CP XTP S3F-GMP Grant Management Package 10 NU XTP S3F-MRBAC Project Accounting And Bill Rev Mgmt 10 NU XTP UPP-CRRBP Crystal Reports Designer Bud & Plan 1 NU XTP SY-FINPRO Financial Procurement Package 10 NU XTP UPP-LSNBP Lawson Smart Notification For B & P 100 NU XTP HRM-HUM Human Resources Package 10 US XTP BPP-LSF Lawson System Foundation 4 CPUCORE XTP UPP-LBI-LEG Lawson Business Intelligence (Cpu) 2 CP XTP UPP-IA Information Access 2 CU XTP UPP-EFS Framework Services 100 SV XTP BPP-MNX NetExpress App Runtime - PRODUCTION 10 CU XTP BPP-MNC NetExpress Compiler - PRODUCTION 1 CU XTP UPP-LVPNC Lawson Viewpoint Embedded 3 NU XTP EPM-BI-LWS Infor Business Intelligence for Lawson - TRNG 16 CPUCORE XTP EPM-BI-ADMIN Infor BI Professional - TRNG 3 NU XTP EPM-BI- CONSUMER Infor BI Consumer -TRNG 400 NU XTP UPP-CRAS Crystal Reports App Server 1 CPUCORE XTP S3F-MRBAC Project Accounting And Bill Rev Mgmt 10 NU XTP SY-FINPRO Financial Procurement Package 10 NU XTP BPP-XMLT Design Studio 1 NU XTP S3F-GMP Grant Management Package 10 NU XTP UPP-CRRBP Crystal Reports Designer Bud & Plan 1 NU XTP UPP-EFS Framework Services 100 SV XTP UPP-SN Budget Integration/Notification 100 NU XTP UPP-LSNBP Lawson Smart Notification For B & P 100 NU XTP HRM-HUM Human Resources Package 10 US XTP BPP-LSF Lawson System Foundation 100 CPUCORE XTP UPP-CRASBP Crystal Reports App Server (Cpu) B&P 2 CP XTP UPP-IA Information Access 2 CU XTP UPP-LBI-LEG Lawson Business Intelligence (Cpu) 2 CP XTP BPP-MNX NetExpress App Runtime - PRODUCTION 10 CU XTP BPP-MNC NetExpress Compiler - PRODUCTION 1 CU XTP BPP-MVC MF Visual COBOL for Windows Compiler 1 NU XTP BPP-MVX MF COBOL Server Application Runtime - Windows 10 CU XTP EPM-BI-LWS Infor Business Intelligence for Lawson - TEST 16 CPUCORE XTP EPM-BI-ADMIN Infor BI Professional - TEST 3 NU XTP EPM-BI- CONSUMER Infor BI Consumer - TEST 400 NU XTP UPP-CRAS Crystal Reports App Server 1 CPUCORE XTP BPP-LSF Lawson System Foundation 4 CPUCORE XTP BPP-MNX NetExpress App Runtime - PRODUCTION 110 CU XTP BPP-MNC NetExpress Compiler - PRODUCTION 1 CU XTP BPP-MVC MF Visual COBOL for Windows Compiler 1 NU XTP BPP-MVX MF COBOL Server Application Runtime - Windows 110 CU XTP BPP-ERW Environment - 4GI Writer 999 NU XTP UPP-CRASBP Crystal Reports App Server (Cpu) B&P 2 CP XTP BPP-PFPM ProcessFlow Solution Perf Mgmt 500 CPUCORE XTP HRM-BSIF Bsi Tax Factory 2,250 US ZZZZ UPP-CRRBP Crystal Reports Designer Bud & Plan 1 NU XTP S3F-REPNBP Reporting Sery Sry Named B & P 100 NU XTP UPP-IA Information Access 2 CU XTP UPP-EFS Framework Services 100 SV XTP UPP-SN Budget Integration/Notification 100 NU XTP UPP-LSNBP Lawson Smart Notification For B & P 100 NU XTP BPP-LTRM Lawson Terminal 999 DV XTP S3S-RQC Requisition Center 60 NU XTP S3S-MOBRQC Mobile Requisitions 1 DV XTP HRM-IJBP E Recruiting Product 2,250 US XTP BPP-MNX NetExpress App Runtime - PRODUCTION 110 CU XTP UPP-MOA Microsoft Office Add Ins 50 NU XTP S3F-GMP Grant Management Package 15 NU XTP BPP-MNC NetExpress Compiler - PRODUCTION 1 CU XTP BPP-LSF Lawson System Foundation 4 CPUCORE XTP LLT-tADESK Infor Learning Accelerator Desktop Edition 300 NU XTP UPP-LBI-LEG Lawson Business Intelligence (Cpu) 2 CP XTP BPP-PFI ProcessFlow Integration 4 CPUCORE XTP LLT-LAPRO Infor Learning Accelerator Producer 2 NU XTP BPP-XMLT Design Studio 1 NU XTP S3S-RQC Requisition Center 100 NU XTP S3F-SUP Infor S3 Support 1 EA XTP S3F-MRBACI Infor Lawson Project Accounting And Bill Rev Mgmt Inquiry 100 NU XTP S3F-FINPROI Infor Lawson Financial Procurement Package Inquiry 263 NU XTP S3F-MRBAC Infor Lawson Project Accounting And Bill Rev Mgmt 40 NU XTP S3F-FINPRO Infor Lawson Financial Procurement Package 79 NU XTP BPP-PALI Infor Process Integration 12 CPUCORE XTP BPP-LMRK-NR Landmark Technology Runtime 12 CPUCORE XTP BPP-MOBILA Infor Landmark Administrator 1 NU XTP BPP-NOTIFY Infor Notifications 1 NU XTP BPP-MVC MF Visual COBOL for Windows Compiler 1 NU XTP BPP-MVX MF COBOL Server Application Runtime - Windows 110 CU XTP EPM-BI-LWS Infor Business Intelligence for Lawson - PROD 16 CPUCORE XTP EPM-BI-ADMIN Infor BI Professional - PROD 3 NU XTP EPM-BI- CONSUMER Infor BI Consumer - PROD 400 NU XTP BPP-ISD Infor Spreadsheet Designer 50 NU XTP UPP-CRAS Crystal Reports App Server 1 CPUCORE XTP ..' • Exhibit 2 Services Work Order This Time and Materials Services Work Order ("Work Order" or "Order' or "SWO") is subject to all terms and conditions of the Software Services Agreement (or, if applicable, the Professional Services Agreement) between Infor (US), Inc. ("Infor') and City of Santa Ana ("Licensee") with an Effective Date of 3/3/2008 (the "Services Agreement"). All terms of the Services Agreement are incorporated herein by this reference. Capitalised terms not defined in this Work Order are defined in the Services Agreement. In the event of a conflict, the terms of this Work Order control over the terms of the Services Agreement. Effective Date of Work Order: date of final signature below Work Order Number: AGR.81728 Prepared by: Lawrence Clevenstine Project Name: City of Santa Ana - Lawson Consulting Description of Services to be Provided Infor will provide ad hoc consulting services for the S3 Lawson application as requested by Licensee during the period beginning June 1, 2020 through May 31, 2023, The estimated hours included in this Services Work Order are designed to be utilized by the Licensee on an as requested basis. The specifics of the services to be provided have not been determined, but will be discussed andagreed upon through the assigned Infor Project Manager, prior to a resource being engaged. No specific deliverables defined. Any deliverables requested/provided would be mutually agreed upon. General Assumptions and Obligations 1.Any requirement(s) not specified in this Order will be addressed using the Project Change Control Process. 2.Licensee acknowledges that any delays or changes caused by Licensee, Licensee's employees, equipment, contractors or vendors may cause an increase in the fees required under this Order, including without limitation, delays or changes due to the following: (a) change to or deficiency in the information which Licensee has supplied to Infor; (b) failure by Licensee to perform any of its responsibilities in a timely manner including the supply to Infor of resources and information; or (c) an unanticipated event that changes the service needs or requirements of Licensee. Changes required to this Order as a result of any of the foregoing events will be handled using the Project Change Control Process. 3.For all services provided at Licensee locations, Licensee will provide office facilities to Infor personnel. This includes, but is not limitedto, office space, desks, networked computers, secured filing cabinets if required, team meeting rooms, networked printers, photocopier, telephones, stationery, whiteboards, internet and remote VPN connection. Other Project Assumptions and Obligations • Licensee will contact the Infor Project Manager assigned to schedule resources as projects are identified. • Infor will not provide services hours in excess of those set forth below without a mutually agreed upon and executed change order to increase the level of effort and estimated services and hours. • Licensee owns the day to day project management including meeting facilitation and maintenance of project artifacts including, by not limited to, project plan, risk log, and issues log. • Infor Project Manager will assist the Licensee PM and will be responsible for: • Scheduling, staffing and onboarding Infor project resources • Any software licenses required for this project will need to be purchased separately by the Licensee and are covered by a Page 1 of 3 CLM - 180803 25A-9 separate Software License Agreement. All Licensed Software is subject to the terms of the License Agreement and nothing herein shall serve to modify such terms or expand the scope of the license granted thereunder. • For Services provided at Licensee location, Licensee will provide facilities for Infor personnel. This includes, but not limited to, office space, desks, networked computers, secured fling cabinets if required, team meeting rooms, network printers, photocopiers, telephones, stationaries, whiteboards, internet and remote VPN connection. - Some tasks may be performed of site by Infor and Licensee staff members. Infor and Licensee staff will have remote access to Licensee's network and systems as necessary to perform such Project activities. • Logging incidents with Infor Support, as well as the application of fixes or patches that are made available by Infor Support, are the responsibility of the Licensee, and therefore the effort associated with these activities has not been included in Infor's estimates and scope of work. Resource Level Estimated Hours Hourly Rate Estimated Fee Consultant 500.00 195.00 97,500.00 COE Project Manager Offshore 40.00 120.00 4,800.00 Grand Total 102,300.00 Currency US Dollar The rates and terms specified herein are only valid if this Work Order is signed by Licensee by 311312020. Estimated time and costs listed in this Order represent an estimate only, and actual project time and cost may vary from the estimates provided. All Services are provided on a time and materials basis. Billing and payment are not dependent or conditioned on delivery of deliverables contemplated herein or any other deliverables. Infor will invoice Licensee for all Services and applicable charges on a semi-monthly basis, as Infor renders the services or Licensee incurs the charges, as applicable. Fees do not include applicable taxes, which will be added to each invoice. Licensee will pay each Infor invoice within 30 days of the date of invoice. This payment obligation is non -cancelable and the amounts paid are non-refundable. Travel and living expenses are not included in the rates or estimated fees stated herein, and are in addition to such fees. A minimum of/a day (4 hours) will be charged for all work at the Licensee's facilities. Remote services provided via phone, facsimile or remote access to Licensee's site will be charged at the standard hourly rate. Overtime rates of 150% of the quoted rate apply for after hours and weekend work. "After hours work" is defined as services performed between 8:00 p.m. and 6:00 a.m. "Weekend work" is defined as services performed between 8:00 p.m. Friday and 6:00 a.m. Monday. Holiday rates of 200% of the quoted rate apply for all holiday work. Where a substantial variation from this Order is foreseen both parties must agree in writing to the additional work and amend this Order accordingly. Locations: Services may be provided at the facilities of Infor or its contractors, or at the Licensee sites listed below. 20 Civic Center Plaza 8th Floor Santa Ana, CA 92701 THE PARTIES have executed this Order through the signatures of their respective authorized representatives. Infor (US), Inc. City of Santa Ana Page 2 of 3 CLM - 180803 25A-10 Signature : C"� 94,16 Printed Name : Lindsay Pritchard Title : Associate Gene_ ral Counsel Address: 13560 Morris Road Alpharetta GA 30004 USA Signed Date : March 16, 2020 - -- Primary Product —: S3- Financial Pro -- ducts Existing Project ID Opportunity ID : OP-04223851 ATTEST Daisy Gomez Clerk of the Council Signature : Printed Name Title Address: 20 Civic Center Plaza M42 Santa Ana CA 92701 United States Signed Date Purchase Order Number: eBilling (Email Address) Invoice Mailing Address if different from: 20 Civic Center Plaza 8th Floor Santa Ana, CA 92701 Address: Phone: Email Address Contact Name INTERNAL USE ONLY ICS Approval ID: AGR.81728 Existing Project Manager: Internal ID: APPROVED AS TO FORM . -f�- J4Kn M. Funk Assistant City Attorney RECOMMENDED FOR APPROVAL 4 Ja Clef C Technology Innovations Officer Page 3 of 3 CLM - 180803 2 5A-11 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 7, 2020 TITLE: APPROVE AGREEMENTS WITH BEYAZ & PATEL, INC., RICHARD BRADY & ASSOCIATES, INC., AND TETRA TECH, INC. FOR ON -CALL ENGINEERING SERVICES FOR SEISMIC AND STRUCTURAL ASSESSMENTS OF WATER STORAGE RESERVOIRS FOR UP TO FIVE YEARS, FOR A TOTAL AGGREGATE AMOUNT NOT TO EXCEED $625,000 (NON -GENERAL FUND) /s/ Kristine Rida CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 111 Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO �u�►uia:1�:� Authorize the City Manager to execute agreements with Beyaz & Patel, Inc., Richard Brady & Associates, Inc., and Tetra Tech, Inc. to provide on -call engineering services for the three-year period beginning April 7, 2020, and ending on April 6, 2023, with a provision for one two-year extension, for a total aggregate amount not to exceed $625,000 subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION On October 15, 2019, the Public Works Agency issued Request for Proposal (RFP) 19-105 for consultants to provide on -call engineering services for seismic and structural assessments of water storage reservoirs. The chosen firm(s) will perform highly technical and specialized engineering work in evaluating the City's seven concrete water reservoirs. This work will include assessing seismic resiliency, structural integrity, corrosion, security, and general condition of the reservoirs. The RFP was advertised on the City's online bid management and publication system, with bids due on November 14, 2019. Fifty-one vendors downloaded the project documents. Seven proposals were received and evaluated by a selection committee based on criteria as outlined in the RFP. Listed below are the responding firms and their ranking: 25B-1 Approve Agreements for On -Call Engineering Services for Seismic and Structural Assessments of Water Storage Reservoirs April 7, 2020 Page 2 Firm Score Tetra Tech, Inc. 92.25 Beyaz & Patel, Inc. 91 Richard Brady & Associates, Inc. 90.75 Walter P. Moore and Associates, Inc. 86.5 Owen Group 77.25 Cordoba 73.75 Cannon 169 In accordance with the RFP, staff recommends awarding contracts to Beyaz & Patel, Inc., Richard Brady & Associates, Inc. and Tetra Tech, Inc. (Exhibits 1 through 3). Each proposal demonstrated a high technical competency and experience performing similar services. The proposals contained a clear path toward achieving City goals and objectives as required by the RFP. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 - Community Facilities & Infrastructure, Objective #1 (establish and maintain a Community Investment Plan for all City assets), Strategy C (invest resources and technology to extend the service life of existing infrastructure to protect the City's investment and support a high quality of life standard). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funds are available for expenditure in FY 2019-2020 in the Water Administration Engineering, Contractual Services -Professional Account (No. 06017645-62300), and will be included in proposed budgets for expenditure in future fiscal years according to the terms of the contracts. Exhibits: 1. Agreement with Beyaz & Patel, Inc. 2. Agreement with Richard Brady & Associates, Inc. 3. Agreement with Tetra Tech, Inc. 25B-2 EXHIBIT 1 AGREEMENT TO PROVIDE ENGINEERING SERVICES FOR SEISMIC AND STRUCTURAL ASSESSMENT OF WATER STORAGE RESERVOIRS THIS AGREEMENT is made and entered into this 7th day of April, 2020 by and between Beyaz & Patez, 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 October 15, 2019, the City issued Request for Proposal No. 19-105, by which it sought qualified contractors to provide engineering services for the seismic and structural assessment of the City's potable water storage reservoirs. B. Contractor submitted a responsive proposal that was among those selected by the City. Contractor represents that it is able and willing to provide the services described in the scope of work that was included in RFP No. 19-105. 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 TIIEREFORE, 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 At the City's sole discretion, Contractor shall perform the services described in the scope of work that was included in RFP No. 19-105 and that is attached as Exhibit A, and as further delineated in Contractor's proposal, which 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. Contractor is one of three contractors selected to provide services on an as -needed basis under REP No. 19-105. The total compensation for services provided by all contractors selected under REP No. 19-105 shall not exceed the shared aggregate amount of $625,000 during the term of this agreement, including any extension periods. 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. 3. TERM This Agreement shall commence on the date first written above and terminate on April 6, 2023, 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. 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. 7. INSURANCE Prior to undertaking performance of work under this Agreement, Contractor shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Contractor shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Contractor's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the California Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self-insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. If Contractor is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by Contractor pursuant to this section: (i) Contractor shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be 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. �f� 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. 1►11 a 1►I y I ► 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 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) Santa Ana, CA 92702-1988 Fax 714- 647-6956 Executive Director Public Works Agency 2 -1 City of Santa Ana 20 Civic Center Plaza (M-21) P.O. Box 1988 Santa Ana, CA 92702 To Contractor: Beyaz & Patel, Inc. 10920 Via Frontera, Suite 210 San Diego, CA 92127 Attn: Subhash Patel 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 similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. 17. TERNIINATION 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-DISCRINIINATION 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. eY y 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 hn M. Funk Assistant City Attorney RECOMMENDED FOR APPROVAL Nabil Saba Acting Executive Director Public Works Agency CITY OF SANTA ANA Kristine Ridge City Manager CONTRACTOR �3eY�tz & YATE_L ItAC Name: SUB"A5" PATE-L. Title: PRc51;'�Nr B- 25fb EXHIBIT A SCOPE OF WORK INTRODUCTION AND BACKGROUND The City of Santa Ana is located in the County of Orange in Southern California. The City encompasses 27.2 square miles and a population over 343,000 people. The City of Santa Ana Public Works Agency— Water Resources Division oversees and maintains the daily operations of the Water System and Sanitary Sewer System. The City of Santa Ana's water system has an average day demand of about 43 MG with 45,000 services. It is comprised of approximately 478 miles of water main, 45 MG of storage at 5 sites, 7 MWD connections, 21 groundwater wells, 7 pump stations, 4 pressure regulating stations and utilizes 2 pressure zones Per the City's most recent Master Plan dated 2017, the City has seven locations with ground level storage tanks and one elevated storage tank. Three of the reservoirs are steel tanks and the remaining seven are concrete tanks. There are three storage tanks (reservoirs) at the John Garthe site. The following table has combined these three reservoirs at the John Garthe site to form one reservoir with an equivalent diameter to represent the total storage volume available at the site. Cambridge Concrete 1.3 1 Variable 17.2 Area Crooke Concrete 6.0 1 Variable 21 Area John Garthe Concrete 15.8 3 277 35 South Concrete 6.0 1 219 22 Walnut Concrete 7.0 1 Variable 22 Area The City is soliciting proposals from qualified professional consulting firms to provide engineering services to evaluate the concrete reservoirs only. The City shall select one firm to provide these services. The City has budgeted $625,000 in study and design funds for this purpose over a five year period. DESCRIPTION OF PROJECT The Consultant's scope of services shall include the following tasks: Task 1 - Proiect Management: The Consultant shall conduct a kickoff meeting with the City to discuss the goals and objectives for the project. At this kickoff meeting, project reporting/communication protocols will be City of Santa Ana - RFP 19-107 ENGINEERING SERVICES FOR SEISMIC AND STRUCTURAL ASSESSMENT OF THE CITY'S POTABLE WATER STORAGE RESERVOIRS 25B-11 established, a project schedule will be provided and key issues will be discussed to establish the project guidelines. Consultant will prepare and lead all meetings and provide meetings minutes. The Consultant shall conduct at least four project team meetings throughout the project duration and include key City staff as well as key sub consultants/contractors. The Consultant shall submit an initial schedule with pertinent milestones for the major tasks involved in the Project. The schedule shall be updated monthly, or more often, as required. Task 2 — Preliminary Engineering Services: It will be incumbent upon the Consultant to find and review all records, including, but not limited to the previously referenced "as -built" drawings and the most recent dive reports, if any. The Consultant shall also conduct interviews with appropriate City engineering and operations staff. City staff will assist in the records search as time permits. Task 3 — Field Inspection Services The Consultant shall provide all labor, equipment, materials and incidentals necessary to perform inspection of the interior and exterior of the existing reservoirs, including reservoir appurtenances. Investigation will include exterior observation of above grade walls, roof and appurtenances, may require the exposing of the existing pre -stressing, where required, (Contractor or registered engineer will need to specialize in the appropriate AWWA requirements for the type of tank) and determined by visual inspection and shotcrete sounding based on areas showing signs of possible distress. Extreme care shall be taken not to damage the existing prestressing when removing any material. Any areas that are chipped will be patched within 24 hours with appropriate material. Interior inspection will include observations of the floor, walls, any exposed footings, underside of roofs, pipes, appurtenances and confirmation of as -built tank dimensions (wall height and inside diameter). Inspections will be conducted while the reservoir is drained where applicable. A separate inspection while the reservoir is in operation with water up to the maximum operational level present in the tank. The Consultant shall provide its own small boat or inflatable raft for use in entering all tanks where water is present. When entering confined spaces, the Consultant shall meet all safety requirements in accordance with Cal -OSHA, Title 8, General Industry Safety Orders, Group 16, Article 108 (Confined Space Entry), Group 26 (Diving Operations), Article 152, 153 and other applicable sections. All Consultant staff entering the reservoirs must be certified in Confined Space Entry and follow any California Department of Public Health (DPH) requirements and American Water Works Association (AWWA) standards pertaining to disinfection of personnel entering potable water reservoirs. Where diving is required, the Consultant shall meet all applicable safety requirements and DPH and AWWA standards. Conduct pH testing of the concrete in sufficient locations to make an appropriate engineering judgment of its condition. City of Santa Ana - RFP 19-107 ENGINEERING SERVICES FOR SEISMIC AND STRUCTURAL ASSESSMENT OF THE CITY'S POTABLE WATER STORAGE RESERVOIRS 25B-12 Remove samples of sealants, joint compounds, steel pipe coatings, and any other coatings where appropriate, to determine if they contain lead, chromium or zinc in levels exceeding allowable limits addressed in Title 22 of the California Code of Regulations . Evaluate the condition of any observed concrete cracking or spalling, particularly in areas where there may be exposed rebar. Mark and photograph non -hairline cracks (wide enough to stick a dime in) using NSF 61-approved paint. Note areas in each reservoir where corrosion is evident, especially where exposed rebar is present. Determine whether existing sacrificial cathodic protection anodes in those areas are sufficient to deter corrosion. If not, make appropriate recommendations for additional cathodic protection, if warranted. As part of this investigation, the Consultant shall conduct an initial assessment of visually observable corrosion, and if warranted, perform the following tests to better define the extent of the problem and make appropriate mitigation recommendations: Electrical continuity tests using exposed reinforcing steel to record reinforcing steel -to - concrete potentials . 2. Electrical resistivity tests to determine the voltage difference between existing exposed rebar and other nearby sections of exposed rebar per ASTM C876. 3. Penetrating radar half -cell tests. 4. pH and chloride testing of spalled concrete or other samples that may be gathered if no spalled concrete samples are present. 5. For partially buried reservoirs, consider soil sampling around the tanks to determine potentials at the tank perimeter. Task 4 — Engineering Services The Consultant shall prepare a seismic, structural and corrosion and security assessment master report of the concrete reservoirs. Seismic & Structural Element: The evaluations shall be site specific and include a full review of the original design plans for each reservoir as well as take into consideration all conditions identified in Task 3. The report shall include analysis of whether or not the reservoirs meet current civil, structural and seismic design standards including ASCE 7 (Minimum Design Loads for Buildings and Other Structures), ACI 318 (Building Code Requirements for Structural Concrete), ACI 350 (Code City of Santa Ana - RFP 19-107 ENGINEERING SERVICES FOR SEISMIC AND STRUCTURAL ASSESSMENT OF THE CITY'S POTABLE WATER STORAGE RESERVOIRS 25B-13 Requirements for Environmental Engineering Concrete Structures) and the CBC (California Building Code) as applicable to the design and/or retrofit of potable water storage reservoirs. The Consultant's analysis shall take into account all structural components including floors, walls, columns, roofs and the entire tank lid including all entry portals. Report on the condition of expansion joints and sealants. Report on the condition of all appurtenances including floats, overflow piping, inlet and outlet piping, drains, ladders, etc. Recommend locations for destructive (core samples) testing of reservoirs with applicable analysis types. Upon approval from the City, commence with testing and proper repairs for the sample being selected. If non-destructive methods of testing can be recommended as alternatives, please provide a comparison with the corresponding core sample test and the advantages and disadvantages of one test over the other. Consultant shall perform a reservoir freeboard evaluation using both the current ASCE 7 requirements and the current requirements of AWWA D110. Compute and recommend safe water level recommendations based both on freeboard equations and the structural conditions of the tank walls. Corrosion Assessment Element: Once the initial corrosion assessment has been completed and appropriate additional testing, where warranted, has been performed, the Consultant shall prepare a "repair strategy" with budget -level construction costs for mitigating existing and anticipated corrosion problems in the reservoir, which shall include a report on the conditions of the coatings protecting all steel appurtenances (e.g., inlet/outlet, overflow and drain piping, etc.). That strategy shall include appropriate recommendations for replacing coatings, replacing corroded metal appurtenances with fiberglass, polyethylene, PVC, polypropylene or FRP appurtenances, and/or adding cathodic protection as needed. Security Assessment Element: Prepare an overview assessment of reservoir tank security. This assessment shall include an overview of the adequacy of existing tank security measures including padlocks, fencing, gates, tank vents, access points, hatches, cages and cameras and shall include recommendations to upgrade due to age or foreseen failure. This assessment is not intended to provide an exhaustive and detailed evaluation of other security apparatus. Summary of Conclusions and Recommendations: The Consultant shall provide a baseline evaluation that summarizes the general condition of all the reservoirs considered in this study. The conclusions shall prioritize any deficiencies found based upon consequence of failure and likelihood of failure criteria. This shall be done on a system wide level (all reservoirs evaluated) as well as on a site specific level. Any recommended City of Santa Ana - RFP 19-1C7 ENGINEERING SERVICES FOR SEISMIC AND STRUCTURAL ASSESSMENT OF THE CITY'S POTABLE WATER STORAGE RESERVOIRS 25B-14 repairs or retrofits shall require methods of rehabilitation, design criteria and baseline structural criteria. In the event that the Consultant finds that the reservoirs do not meet current structural and seismic codes, the following recommendations, at a minimum, shall be provided: Appropriate upgrades to bring the reservoirs into compliance, and Appropriate safe water levels and roof loads in current condition before repairs can be accomplished. The Consultant shall provide preliminary estimates for all recommended repair work with a schedule/timeline for when the repairs should occur and in the order in which they should occur. In those instances where it is not economically practical to upgrade a reservoir to meet the previously referenced codes and standards, the Consultant shall prepare: 1. A preliminary level cost opinion for replacing the storage facility. 2. A narrative on the constructability issues associated with any newly proposed storage facilities. 3. A preliminary estimated time of construction for each newly proposed storage facility. Design Element: If requested by the City, the Consultant shall provide final engineering design services for the appropriate recommended repair work from the reservoir assessments. The Consultant shall consider this element as part of the cost proposal and have the ability to provide these services. The Consultant shall provide any necessary site work, foundation design or repair elements, structural support, coatings, related mechanical or electrical work to provide a complete repair design. The Consultant's scope for this piece will generally include the following: The Consultant will provide a geotechnical report of the site where required by a licensed geotechnical engineer. The Consultant shall prepare all necessary bid documents including all civil, structural, mechanical or electrical work as required to provide a complete project. The City shall provide the boilerplate specification to the Consultant. 3. The Consultant shall manage a pre bid meeting when requested. City of Santa Ana - RFP 19-107 ENGINEERING SERVICES FOR SEISMIC AND STRUCTURAL ASSESSMENT OF THE CITY'S POTABLE WATER STORAGE RESERVOIRS 25B-15 4. The Consultant shall provide bid support services including responses to bidder requests for information (RFI), addendums, etc. 5. The Consultant shall provide construction engineering services for review and approval of submittals, responses to RFI's, as -builds and construction meetings when requested. Task 5 — Value Added Services The Consultant is invited to identify any additional tasks, inspections, or other services that the Consultant feels should be considered as part of this scope of work. If any value added services are identified, the Consultant shall provide a description of the item as well as a cost associated with this item. The cost will not be considered part of the base fee during the evaluation of the proposals, but may be added at the City's discretion upon award of a contract. ---End of SCOPE OF WORK Section.— City of Santa Ana - RFP 19-107 ENGINEERING SERVICES FOR SEISMIC AND STRUCTURAL ASSESSMENT OF THE CITY'S POTABLE WATER STORAGE RESERVOIRS 25B-16 z. K \� y, V f + BEYAZ & PATEL, INC Subhash Patel, PE, SE Project Manager 10920 Via Frontera, Suite 210 San Diego, CA 92127 (858)451-0374 Beyaz & Patel l u RESPONSE TO THE CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR SEISMIC AND STRUCTURAL ASSESSMENT FOR WATER STORAGE RESERVOIRS November 14, 2019 Table of Contents A. Cover Letter CL B. Statement of Agreement CL C. Firm and Team Experience I D. Understanding of Scope 3 E. Relevant Project Experience 9 F. References II Appendix I — Certifications Appendix 2 — Resumes of Team Members 25B-18 November 14, 2019 Mr. Rudy Rosas Principal Civil Engineer CITY OF SANTA ANA PUBLIC WORKS AGENCY 215 S. Center Street, Building A Santa Ana, CA 92703 SUBJECT: RESPONSE TO THE CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR SEISMIC AND STRUCTURAL ASSESSMENT FOR WATER STORAGE RESERVOIRS Dear Mr. Rosas: Thank you for the invitation to submit our proposal to evaluate the seismic and structural integrity of the City's concrete water storage reservoirs. Beyaz & Patel and our team are excited about the opportunity to work for the City of Santa Ana (the City) and principal civil engineer, Mr. Rudy Rosas on this project Our qualifications, experience, approach, project manager, and commitment to the City makes us ideally suited to deliver an outstanding project. Highlights of our proposal include: Water is our focus. For the last four decades, Beyaz & Patel, Inc. (Beyaz & Patel) —a Type-C corporation —has focused on structural design and rehabilitation of water and wastewater infrastructure in California. We are headquartered in San Diego and supported by 13 team members, including licensed professional and structural engineers, technicians, and CADD designers. Beyaz & Patel, Inc. is in concurrence with any and all provisions as contained in the standard agreement attached as Attachment 2, Standard Agreement in the Appendix of the J Experience. Beyaz & Patel has experience evaluating water reservoirs Request for Proposal. having inspected, evaluated and designed well over a hundred. Recently, as subconsultant to Dudek (our Civil team member) we completed reservoir studies and retrofit design for thirteen (13) City reservoirs for the City of Oceanside. We have primed similar projects in the past for the City of Petaluma, Palo Alto, and Sea Ranch for their City water storage systems. Our project list is extensive but the work never gets old. Other recent similar work includes a seismic assessment and design of a concrete tank the City of Redwood City that also serves as an emergency back-up water reservoir for the City's fire department; E Reservoir and Pump Station (again as a sub to Dudek, our civil team member), the Markham and Citrus II tank recoating projects for Eastern Municipal Water District; and Sand Hill Reservoir No. 2 Roof Replacement for the City of Millbrae. We have the knowledge and experience to provide a structural and seismic evaluation and analysis, make recommendations and, if required, prepare design plans and specifications to bring the City's concrete reservoirs up to the current seismic code. Our team has a thorough understanding of the federal, state, and local regulatory processes; technical standards; guidelines; ordinances; and impact to the local community required to complete this project. Responsiveness. Beyaz & Patel team has an established record of success because we will communicate often and effectively with the City. Deliverables are checked by a senior engineer for quality. Cost control and schedules are tracked by our qualified project manager. Leadership. Subhash Patel, PE, SE, President and principal structural engineer and co-author of the East Bay Municipal Water District's, Reservoir Design Guidelines, is our assigned Project Manager and primary point of contact for the Seismic and Structural Assessment of the City's Potable Water Storage Reservoirs. Subhash has extensive experience, specifically in Southern California, providing structural engineering design and rehabilitation services for water storage, Beyaz &Patel 25B-1 9 Statement of Qualifications conveyance and treatment He will manage structural, civil, geotechnical, corrosion, inspection, materials testing, and safety, working with the City's Principal Civil Engineer, Rudy Rosas, to provide expert evaluation, recommendations, and design and construction services for the City's concrete water storage reservoirs and system. Understanding. We work and live in Southern California. Our team is comprised of engineers and consultants that specialize in water infrastructure. As such, we understand the challenges municipalities face in the management of their water systems. We understand this and environment subject to seismic and fire hazards. We understand what a safe and reliable water collection, storage and distribution system means —for us, our neighbors, our work, our food crops, and in the event of a fire emergency. The Beyaz & Patel team is dedicated to providing the City with top-notch services from kick-off to close-out. Beyaz & Patel is thrilled about the possibility of working with our expert subconsultant team members and the City of Santa Ana on this project and thank you for the opportunity to be of service. Subhash Patel, PE, SE, Project Manager, will be the primary point of contact and can be reached at (858) 451-0375 (office), (858) 735-8899 (cell) or at the San Diego office located at 10920 Via Frontera, Suite 210, San Diego, CA 92127, or by email at spate)@beyazpatel.com. Thank you for your consideration. Very Sincerely, BEYAZ &pPATEL, INC. Subhash Patel, PE, SE, President Beyaz &Patel 25B-20 Statement of Qualifications Firm Profile Beyaz & Patel (Beyaz & Patel, Inc.) brings four decades engineering Expertise experience to the City of Santa Ana on water infrastructure projects Project Management throughout California. We are leaders in the seismic and structural Structural Engineering and Design assessment of water storage reservoirs and tanks, including retrofit design • Earthquake and Seismic Evaluations and rehabilitation. Our proposal will demonstrate a track record of project • Rehabilitation management efficiency and on -time completion. Feasibility Analysis Beyaz & Patel is a structural engineering firm that has been providing water and Facility Condition Assessments wastewater services throughout California for close to four decades. We work with Value Engineering utility and municipal public works and water departments to solve structural issues and challenges such as aging infrastructure and facility expansion. Constructability Reviews • Construction Services. Why Beyaz & Patel? Our team is especially qualified to perform a seismic and structural Reservoir Services assessment to assist the City determine an optimal course to rehabilitate Preliminary studies and design reports the seven reservoirs and in which order they should be performed. Field investigations Project understanding and commitment to excellence. Our professionals are Rehabilitation of existing structures passionate about engineering —they can't help it —we love what we do. And while Crack control our team may ask a lot of questions —we return a project that will meet all Retrofit design criteria for successful implementation. Long history of successful collaboration on concrete reservoir assessment and Roof replacement or retrofit rehabilitation throughout the State of California. Structural analysis/design Comprehensive services. Water storage tanks and reservoirs are a cornerstone Seismic and hydrodynamic analysis of our practice as well as our subconsultants, including partially buried, circular • Construction cost estimates and rectangular concrete and prestressed concrete reservoirs located in seismically sensitive areas Design in accordance with Planning and Design of Water Tanks ACI 350 • Specifications The Beyaz & Patel's team has experience in providing seismic and Contract drawings structural study and design services for reservoir rehabilitation projects Buoyancy and stability analysis similar in size and scope to the City's seven concrete reservoirs. Condition assessment Beyaz & Patel has worked with the municipalities, agencies and consulting firms on potable Photo voltaic systems water reservoirs for almost forty years. We have provided project management, seismic and structural assessments, design, bid and construction support services for reservoir projects of ' Pile foundations all sizes as both the prime and as a subconsultant and have a comprehensive understanding of Value engineering the tasks and resources required to successfully complete the work outlined in the RFP. Vibration analysis Similar projects where we provided project management services as the prime include structural and seismic evaluations for six of the City of Palo Alto concrete reservoirs and a similar project for the City of Pleasanton. As a subconsultant, we provided a seismic Public Agency Experience evaluation and structural condition assessment of the all -concrete 30 MG Miramar Reservoir —a rectangular covered reservoir and most recently, the seismic evaluation and City of Oceanside rehabilitation design for 13 reservoirs for City of Oceanside. City of San Diego Vista Irrigation District Beyaz & Patel Project Team City of Los Angeles We have assembled an experienced team of experts for the City. City of Menlo Park Beyaz & Patel is proud m introduce ourselves and our team of consultants to the City to Mid -Peninsula Water District provide expert and comprehensive assessment services in the following disciplines: Continued... Beyaz & Patel 25B-21 y Statement of Qualifications I Page 1 structural, civil, corrosion and cathodic, diving investigation, geotechnical and materials testing and inspection and security. Our project manager and primary point of contact is Subhash Patel, PE, SE. He will manage our team and communicate regularly with the City, providing necessary updates regarding budget and schedule. Subhash will manage resources and staffing, having working on complex, multidisciplined projects in the past, and will communicate regularly to the City and their Project Manager, Mr. Rosas. The roles of each member of our proposed team and a summary of their qualifications for this project are described below. Resumes for each team member can be found in Appendix 3. Please see the individual team member profiles on the following pages to learn more. DUDEK Dudek has successfully planned, executed and delivered reservoir analysis and design projects for clients throughout California. Their team specializes in the analysis, design, and construction of water infrastructure, including reservoirs and pump stations. They also possess unmatched reservoir experience having completed a substantial number of reservoir rehabilitation designs that are diverse in nature. Dudek's resume includes circular and rectangular, prestressed and non -prestressed, covers of wood, concrete, or aluminum, buried or free-standing, welded steel or bolted steel, and earth -embanked and partitioned. Beyaz & Patel has provided services on Dudek projects, both past and present as the structural lead for concrete reservoirs throughout Southern California. RF Yeager Engineers RF Yeager Engineering is a Southern California based Corrosion Engineering firm established in 2004. The firm has extensive experience in Corrosivity Assessments, Corrosion Control and Cathodic Protection Designs, Corrosion Surveys, Corrosion Assessments, and Special Inspection during Construction and are highly qualified in areas of corrosion control for water and wastewater systems, pipelines, reservoirs, treatment plants, pump stations, and pressure reducing stations. All work is conducted under qualified and certified personnel. Their goal for this project is to ensure preservation of the City's existing concrete reservoir facilities and to maximize the lifespan. They have the expertise needed to recommend solutions pm the City's corrosion control issues which will save time and money. Converse Consultants The Converse Professional Group, doing business as Converse Consultants, is a consulting engineering firm that provides Geotechnical Engineering, Engineering Geology, Soils and Materials Testing and Inspection, Environmental Services, Water Resources Management and Occupational and Environmental Health and Safety Services. Their experienced and dedicated team of professional's partners with clients to provide innovative solutions since 1946. The past, present and future of this firm is grounded on the principle of providing high quality service in a timely and cost-effective manner. Triad Consulting and Systems Design Group Triad Consulting & System Design Group (Triad Consulting) is an expert security firm providing technology consulting, system and infrastructure design, along with detailed project management and construction support services. Triad Consulting conducts hands- on professional services across the nation, including California Specifically, they have provided services to the Metropolitan Water District of Southern California and others. Furthermore, the firm is an independent consultant with no vendor affiliations. Their unbiased recommendations are prepared solely to serve the best interests the City. Not a product. Dive/CORR Dive/CORR was founded over 30 years ago by Dan Gross who has performed over four thousand tank inspections, primarily in Southern California He has provided services to most water districts in the region and possesses AWWA-certification. • San Diego County Water Authority • Metropolitan Water District of Southem California • City of Escondido • City of Encinitas • Santa Clara Valley Water District Water Storage Projects • Luther Pass Pump Station Recycled Water Reservoirs for South Tahoe Public Utility Department (On -going) • Reservoir Repairs (13 Reservoirs), Phase 3 for City of Oceanside (2019) • Silver Lake Reservoir Complex Master Plan for the City of Los Angeles (2019) • "D" Street Water Tower Study and Design for the City of Madera (On -going) • San Pablo Reservoir Hypolimnion Oxygenation Study for EBMUD (2019) • E Reservoir Replacement Project for Vista Irrigation District (On -going) • Garber Tank Roof System Value Engineering Study (2018) • California Water Reservoirs Seismic Assessment and Design for City of San Carios(2018) • Highland Park Reservoir and Access Improvements for City of LA (2017) Subconsultant Water Storage Experience • 12 Reservoirs for the City of San Diego (2016) • Seismic evaluation and preliminary design for 23 reservoirs for San Bernardino Municipal Water Department (On -going) • Markham Reservoir for the Vista Irrigation District (On -going) • Reservoirs for Eastern Municipal Water District (2018) And more... 25B-22 Beyaz &Patel Statement of Qualifications I Page 2 that the team responds to the Citys requests in a timely manner and complete deliverables according to schedule. Furthermore, he will ensure that the documents we produce will receive the highest quality and technical review. He will maintain open communication with the City's Principal Engineer and staff to ensure timely coordination of activities with City operation requirements. Mr. Patel has worked on water storage systems, including the evaluation and design of steel and concrete water tanks. towers. and reservoirs. Gary is a senior structural engineer at Beyaz & Patel and will serve as Technical Advisor and provide quality assurance oversight He has more than 30 years of professional structural engineering experience focusing on water and wastewater infrastructure, including concrete and steel water tanks, open and cut reservoirs. well as other design disciplines, quality assurance and onsite inspection. His recent experience includes the Dekoven Tank for the Mid - Peninsula Water District, Sand Hill Reservoir No. 2 Roof Replacement Study and Design, and City of Oceanside Daniel has been performing diving inspections and interior reservoir inspections for the last 30+ years and completed more than four thousand tank inspections. He has an instructor rating and spotless safety record. His certifications include AWWA, ASNT Level III, confined space training, and AWS and has over 3000 hours of "in field" coating inspection. Mr. Gross is the founder of Dive/CORR of Long Beach, California. structural design, and earthquake engineering on a variety of projects, with an emphasis on water and wastewater plants, tanks, and buildings. He has extensive experience in structural evaluation, seismic review, and risk analysis, including probabilistic risk assessments. His experience includes the design of several water/wastewater tank and reservoir projects, including the Lafayette Concrete Reservoir Outlet Tower and the Prestressed Concrete Digester Tank Upgrade Neil is a professional engineer with 20 years of experience in project management, engineering, planning, design, and construction support services for water, wastewater, and water reuse systems. Mr. Harper's relevant experience includes water distribution and reservoirs, pumping facilities, and treatment facilities. Neil's most recent reservoir experience includes the seismic evaluation and preliminary design for 23 reservoirs for the San Bernardino Municipal Water Department and seismic evaluation and rehabiliation design for 13 reservoirs for City of Oceanside. Richard (Rick) is a California Registered Civil Engineer and a NACE Int'I Certified Cathodic Protection Specialist and expert in corrosion engineering, inspections, and construction support services for water corrosion control and cathodic protection system designs, corrosivity assessments, pipe and coating materials of construction, and inspection and monitoring of installed piping systems. Rick also construction inspection services for projects that have included pipelines, water reservoirs, treatments plants, and roadways. Be az & Patel 25B-23 y Statement of Qualifications I Page 3 Carlos has 25+ years of geotechnical and earthquake engineering consulting experience with the ability to develop innovative and cost-effective engineering solutions. He has experience working in water/wastewater, transportation, and energy sectors. Mr. Amante is highly experienced in the technical delivery of projects involving ground investigation, seismic -resilient design of earthworks and foundations, slope engineering, liquefaction assessment, construction quality assurance and material testing, and constructability and value engineering. Project Organization Richard is a security expert with over 34 years of experience. He served as a Deputy Federal Security Director with the Transportation Security Administration, and is thoroughly familiar with laws, mandates, and recommendation for the Department of Homeland Security along with those homeland security requirements for utilities, ports, airports, and other transportation facilities. His tenure as the Chief Security Officer (CSO) allows him to provide clients with expertise regarding security risk management, physical, personnel, privacy, and project security. The Beyaz & Patel Team has worked on projects in the past and have a proven track record of reservoir project success. Every member of our team has a minimum of 15 years' experience working on water infrastructure for municipalities and agencies in California. We will not fail to deliver —safety, reliability, and innovation —on -time and on - budget to the City. The City of Santa Ana n %� GARY HO, PE, SE SNBHASH PATEL, PE, SE i ECHNICAL ADVISER Fp OJ EIi HqN gGER RICK. WITHERS,CPP,CMAS-rI �k fEI6 ❑ARENGINEIS LEaR SEcuuNV_QNSULTANT AMA N DA COOMBS, PE CIVIL ENGINEER TECHNICAL ASSISTANCE CACD oSMU.ER ENGINEERS CONSULTANTS ,RILLING CONTAGCTOPS SPECIALISTS RICK YEAGER CORROSION CONSVLIANI RANDALL GERVIS CORROSION CONSULTANT DANIEL GROSS INTERIOR GIVE INSPECTOR Beyaz & Patel 25B-24 Statement of Qualifications I Page 4 Beyaz & Patel proposes completing this project with a team of highly qualified engineers and experts who have completed numerous concrete reservoir study and design projects for agencies throughout Southern California. The Beyaz & Patel team has a long history of collaboration on potable storage facilities in California and the design of partially buried at -grade circular, and above -grade rectangular, and trapezoidal concrete tanks. We have worked together on the City of Oceanside Reservoir Repairs, Phase 3 project and successfully completed the project on time and within budget For a list of concrete tank projects, relevant to the seismic and structural assessment of the City's concrete reservoirs, is included in Firm and Team Experience. Project Management Approach Beyaz & Patel has historically used the following integrated cost control and scheduling procedures to successfully complete projects and we believe the system aligns with the goals and objectives of the City's project. Our project manager, Subhash Patel will prepare a detailed schedule and budget for each work task and submit a project progress report to the City each month. This report will delineate any project schedule or budget variances and show the percentage of work completed by task, as well as provide outlook for work tasks expected to be accomplished in the next period. This procedure allows the project manager to properly monitor and manage projects and prevent delay. The project manager, the principal contact with the City of Santa Ana (the City), will coordinate deliverables, site visit(s) and meeting(s) to ensure that the schedule is met Given that there are no substantial changes in scope, Beyaz & Patel is committed to the on -time delivery of each task order within budget. To ensure the project remain on course, we plan to have regular conference call meetings with the City engineer, Mr. Rosas, to discuss status, progress, and resolve any technical issues. Beyaz & Patel understands the schedule is a three-year duration with the opportunity to expand to five years. We have successfully completed complex projects under similar schedules and do not envision any problems in meeting the stated goals or timelines of this project Quality Control System Beyaz & Patel maintains an active, effective Quality Assurance/Quality Control (QA/QC) program for all of its projects. Beyaz & Patel's overall quality process is based on a dedication to excellence, performance and service. It is our belief that a project with a quality program dedicated to excellence can only be achieved through open and timely communication with the client, in this case, the City, throughout the life of the project, with communication aimed at meeting the specified requirements established at the kick- off meeting. A formal internal review procedure will be completed at each project milestone and the primary goal is to check the adequacy of design concept and documents, apart from the day-to-day project team's involvement. The review will also offer constructive suggestions for improvement To achieve the objectives and provide a responsive and comprehensive reservoir assessment and design, the reservoir and site conditions must be understood and key issues must be addressed. Specific issues associated with this project include: inlet piping; roof coatings; security concerns; cracking within tanks; vaults; and inspection and construction sequencing/phasing. First and foremost, we will listen and learn from the City project manager and staff to gain a full understanding of priorities, goals, and expectations. Secondly, we identify and analyze project issues early on in the preliminary design phase and address each issue systematically. � C.P.ty :7im,.n s�<. P.a<a E,.k as a�:aPo 13 1 18� a.. 171 J(bu­d Is 3 roe 2,7 3s (iar1< m.�a. 70 1 79 a.. a Technical Approach We have put together a technical approach to work outlined in the RFP which demonstrates our understanding of the work to be accomplished. TASK I — PROJECT MANAGEMENT Beyaz & Patel 25B-25 Statement of Qualifications I Page 5 Develop detail work plan, including a detailed schedule of tasks, prepare monthly progress reports, track and monitor project budget and schedules, and provide overall quality assurance and control review. Beyaz & Patel and our team of subconsultants will meet with Key City staff for a project kick off meeting. We will review project requirements, identify milestones, and critical path items in accordance with the goals and objectives for the project. Beyaz & Patel will facilitate the meeting, prepare an agenda and distribute meeting minutes. We will prepare a schedule for the Cit f s review. The schedule will be updated as required by the project. A minimum of four (4) project meetings will be scheduled throughout the project TASK 2— PRELIMINARY ENGINEERING SERVICES Our team will collect and review pertinent record information and documents including, geotechnical reports, as -built drawings, and the most recent dive reports and may involve working with City staff upon their availability to obtain records. TASK 3.0 - FIELD SERVICES Field services will include interior and exterior inspections of the reservoirs and investigation by structural, geotechnical, corrosion, cathodic, dive inspector, security and coating consultants. The inspections will be provided by staff and team members with AWWA and confined space entry certification. 3.1.1 Corrosion and Cathodic Protection: Our team will review existing reports, as -built drawings, and dive studies to help determine the general condition of the internal concrete, particularly on the submerged reservoir walls and floor. Conduct visual inspection of each reservoir interior after the reservoir has been taken out of service, drained, and made accessible for inspection. The results of this inspection will include: a map of obviously distressed areas on each concrete reservoir; characterization of each crack, flaw, spall or rust bleed in terms of minor, moderate and significant; Conduct coating inspection/testing of internal metallic appurtenances such as inlettoutlet piping, overflow piping, etc. Additionally, a visual inspection of the metal surfaces will be conducted and pit depth measurements and ultrasonic thickness (UT) measurements will be taken (where required). 3.1.2 Where warranted, conduct additional non- destructive internal inspections. These inspections may include: concrete rebound/sounding test by way of a steel rod or ball peen hammer (ASTM D4580). Where dull sounds are found, the area will be marked out for further investigation and/or repair. 2.2 Concrete to rebar cover testing using a Rebar Detection System (Proceq Profometer or similar). This will help to determine how much of the concrete has been degraded and may need future repairs. 2.3 Isolated half -cell potential testing (ASTM 876) where feasible and at visibly distressed areas to determine areas of active embedded reinforcement corrosion. Note that this testing will require access to two or more areas of exposed rebar (to be provided by others) in order to confirm that the embedded rebar is electrically continuous. 2.4 pH testing of concrete to determine if concrete has potentially lost passivity. 3.2 Diving Inspections • The dive inspection and testing required for the concrete reservoirs assumes that the tanks will be taken out of service and cleaned for the inspection and testing. Additionally, all confined space requirements (air monitor, permits, etc.) as well as ladder, entry/access, etc. (with the exception of a raft) will be provided by the City. I. External visual inspection of the exposed shell and roof ; 2. Internal Inspection of all surfaces including the roof underside/beams/shell/floor and all appurtenances; 3. Pit depth measurements in areas of active corrosion; 4. Damage from corrosion or other sources; 5. Measurement of sediment accumulation (sample to be taken if desired); 6. General conditions with regard to health and safety; 7. Physical evaluation of the cathodic system if present; 8. Check for evidence of earthquake damage; 9. Deficiencies in relation to current safety codes; 10. Leak testing /evaluation; 11. Remove sealant sample for testing. Sample site to be patched with NSF 61 approved epoxy (Aquatapoxy); 12. Take additional measurements as required. Our team will provide: One potable water dive team; decontamination procedure and materials; all diving equipment— diving to be performed with dedicated for drinking water only dry suits; digital still cameras and underwater strobes; Color Video Cameras and lighting; We will require from the city: All keys necessary to access the site and the roof hatches; all exterior ladders required to reach the roof; raised water levels at the time of boat inspection to allow a thorough roof evaluation. 3.3 Civil and Mechanical Inspection Our civil engineering and mechanical subconsultant, Dudek will visit each reservoir site w observe and document the condition of the exposed piping, valves, expansions joints, and associated appurtenances associated with the inlet, outlet, drain, and overflow pipes between the connection m the reservoir structure and nearest isolation valve (up m 20 feet away). Piping within on -site vaults or pumping facilities is not included in this assessment. TASK 4 — ENGINEERING SERVICES Beyaz & Patel will summarize findings in a seismic, structural and corrosion and security assessment Master Report of the concrete reservoirs. This includes the following elements: Structural and Seismic Evaluation Following completion of the field investigation, Beyaz & Patel will perform the seismic analysis for each reservoir/site to identify deficiencies as reviewed against applicable codes and standard such as CBC 2019, ACI 350 and AWWA The seismic analysis for the liquid inside the tank will conform to AWWA D-100, which is based on a two degree of freedom system (2DOF). The two degree of freedom refers to the impulsive and convective components in a seismic event The impulsive component is the liquid that is constrained at the lower portion of the reservoir. The convective component is portion of liquid that is at the upper portion that sloshes. The effect of these liquids will be analyzed and the corresponding hydrodynamic stresses calculated. Peak ground accelerations (PGAs) for each reservoir site will be obtained through the location of longitude and latitude of each reservoir from Beyaz &Patel 25B-26 Statement of Qualifications I Page 6 USGS website. The obtained PGA's will be used for the reservoir seismic analysis to determine: a. Concrete wall horizontal/circumferential stresses and reinforcement b. Concrete wall vertical reinforcement/prestressing C. Seismic cable stress for circular reservoir d. Sloshing and freeboard e. Roof slab, floor slab and foundation Following the reservoir structural and seismic analysis, repair approaches for concrete roofs, exterior wall surfaces, interior wall and roof surfaces, interior columns and observed leakage will be developed. Corrosion Assessment After the initial corrosion assessment is complete and additional testing, if required, performed, prepare a Repair Strategy, including the budget level construction costs to mitigate existing and anticipated corrosion problems in the reservoir. The report will include a report on the conditions of the: • Coating protecting; • All steel appurtenances; • Inlet/outlet; • Overflow and drain piping; • Replacing coatings including corroded metal appurtenances with fiberglass; Polyethylene; PVC; Polypropylene or FRP appurtenances; and/or adding cathodic protection as needed. Security Assessment Our subconsultant Triad Consulting, will conduct a security assessment of City of Santa Ana concrete potable water reservoirs listed in the RFP document. The assessment will follow guidance provided by ASCE/AWWA Guidelines for the Physical Security of Water Utilities and ANSI/AW WA G430: Security Practices for Operations and Management Specific tasks include: Meet with City of Santa Ana Water security stakeholders to discuss the security program in place, standards, identified issues, etc.; Site survey the potable water reservoirs listed in the RFP document for adequacy of existing physical and electronic security; Upon delivery of security assessment recommendations report, Triad Consulting will discuss findings and recommendations in a debrief meeting with Santa Ana Water security stakeholders. SUMMARY REPORT Provide a summary report, presenting results of the technical analysis and preliminary studies including the following. a. Field investigation notes b. Results of diver inspections C. Preliminary plans showing. I. Record drawings annotated with locations in extents of cracks and other structural repairs 2. Site plans defining various implements envisioned for each location 3. Preliminary details of new piping, repairs m appurtenances and replacement of same where needed. d. Structural analyses and alternatives for seismic and structural retrofit requirements • e. Recommendation of any reduction of water levels and roof loads prior to repairs are accomplished f Proposed requirements for coatings and cathodic protection systems g. Recommendations for building structure and other strategies from constructability review input h. Updated project schedule, including construction phasing and durations i. Engineers Opinion of Probable Construction Costs j. If upgrade to reservoir is not economically practical, provide constructability of newly proposed storage facility and preliminary cost associated with any newly proposed facility. Provide hard copies of draft report for City review. It is assumed that City will compile its comments into a single set with any conflicting comments resolved. Beyaz & Patel will compile its comments into a tabular form and provide written responses to comments. Provide hard copies and PDF digital copy for the final report. FINAL DESIGN Geotechnical Report. Beyaz & Patel's licensed geotechnical subconsultant will conduct geotechnical reconnaissance and prepare geotechnical report where required. Plans. Prepare construction drawings for the proposed reservoir repairs. The design will include civil, mechanical and structural drawings. Annotated record drawings from the site assessments will be formulized to provide definition of types and extents of structural and crack repairs and other repair or installation work. Separate plan sets will be developed for each site/reservoir, but will be developed to facilitate combining reservoirs with like features into packages. Plans will be prepared using AutoCAD and conformed to Cit f s drafting standards. 2. Technical Specifications. Prepare technical specifications for the construction of the proposed reservoir improvements. Specifications will be prepared in CSI format. Incorporate Cit f s standards as applicable. 3. Final Cost Opinion. Prepare final detail opinion of probable construction cost for the project. Any opinion of the construction cost prepared by Beyaz & Patel represents its judgment as design professional and is supplied for the general guidance of City. 4. Design Review Submittals. Provide submittals to the City for review and comments at the 90% level of completion. Information developed during assessments and technical studies will constitute between a 30% and 50% submittal. 5. Final Submittal. After incorporation of the City review comments, prepare one (1) set of final stamped and signed originals of the construction documents. 6. Bid Phase Services. • Attend prebid conference for each phase • Respond to contractor's questions • Prepare one (1) technical addendum per phase • Assist City on the award of the contract Beyaz &Patel 25B-27 Statement of Qualifications I Page 7 7. Construction Support Services. • Respond to RFIs • Review submittals • Attend construction meetings when requested • Prepare as -built drawings TASK 5 — ADDITIONAL ENGINEERING SERVICES If requested by the City, Beyaz & Patel will provide following additional services, beyond the services included in the scope. I. Attendance to additional meetings beyond those specifically identified in the scope. 2. Environmental services, including environmental reviews, analysis or studies, permit preparation and processing, attendance to public hearings, etc. • 3. Assistance with public participation and communications, including planning and participation in public outreach programs, attendance to public meetings and workshops, etc. 4. Planning, analysis or design of additional or alternative facilities. 5. Construction phase services such as office and field engineering support, field observation, construction contract administration, change order review and processing, etc. 6. Any additional project related services not specifically included in the scope. Beyaz &Patel 25B-28 Statement of Qualifications I Page 8 Ah 20 Relevant Projects Completed in the Last Five Years The Beyaz & Patel's team has experience providing seismic and structural assessment, engineering design and construction services for concrete reservoirs projects or all sizes, elevations, and on all physical aspects such as reservoir roof replacement, reservoir replacement, modifications, and upgrades. Recent projects (within the last five years) are detailed below and the services that were provided are similar to those detailed in the RFP. We feel these projects demonstrate our team's extensive qualifications managing reservoir study and design phase services. A summary table follows with the project, staff and services that the Beyaz & Patel team has provided on similar projects. More detailed project descriptions follow and include references. MMM" Project Name and Photo City of Oceanside Greg Keppler, PE, QSD Engineering Project Manager (now with) Vista Irrigation District (760) 597-3136 BEYAZ & PATEL Subhash Patel, PE, SE Lead Structural Engineer Gary Ho, PE, SE, Senior Structural Engineer DUDEK Neil Harper, PE Project Manager After completing a condition and seismic assessment of the Morro Hill Reservoir No. I as a subconsultant to Dudek, it was determined that seismic retrofits and structural repairs were needed to minimize earthquake vulnerability and ensure the safety, security, and reliability of the City of Oceanside's water supply. Services provided by Beyaz & Patel for the Morro Hills No. I —an above ground, 5.0 MG prestressed concrete reservoir —included structural engineering analysis to define additional details specific to the site, apply site specific parameters from the geotechnical investigations, and develop design alternatives and final detailed design for structural repairs and upgrades. Analysis included structural calculations to assess the seismic resistance and code compliance and finite element analyses to optimize the structural design. Final design included a complete seismic retrofit of the reservoir. Structural deficiencies included a lack of seismic cable, circumferential hoop overstress, dome roof ring girder overstress, extensive concrete cracking on roof slab, and extensive concrete cracking on floor slab. The retrofit addressed these deficiencies by adding seismic cables to address the overturning coverings, adding to wire strands to wall and roof ring girder to mitigate hoop overstress, and repairs to the concrete cracks in the roof and floor slab. BEYAZ & PATEL City of Oceanside Subhash Patel, PE, SE Greg Keppler, PE, QSD Lead Structural Engineer Engineering Project Manager Gary Ho, PE, SE, (now with) Vista Irrigation Technical Adviser/QA District DUDEK (760) 597-3136 Neil Harper, PE Project Manager Beyaz & Patel provided structural engineering services, as subconsultant to Dudek, to the City of Oceanside under for a 3.5 MG pre -stressed concrete, 50-year-old dome structure with painted gunite covering the walls. Subhash supervised the tasks involved with the structural engineering analysis, reviewed and approved details specific to the site, reviewed site -specific parameters from the geotechnical investigations, aided in the development of design alternatives and delivered the final detailed design for seismic retrofit repairs and upgrades. Beyaz & Patel 3,.._. 25B-29 Statement of Qualifications I Page 9 �� Ah City of Menlo Park Morad Fakhral Senior Project Manager (650)330-6600 Gary Ho, PE, SE, Project Manager Subhash Patel, PE, SE Technical Advisor/QA Dr. Hui Wu, Structural Engineer 20 The Sand Hill Reservoir No. 2 Roof Replacement, Design and Engineering Services for Construction, Plans, Specifications & Cost Estimates addresses the City of Menlo Parks' decaying water storage infrastructure and helps the City increase system reliability. Beyaz & Patel, as the prime consultant, provided project management, addressed all project concerns and delivered final construction drawings, including plans, specifications and cost estimates. Gary Ho, PE, SE, City of San Carlos Lead Structural Engineer Robert Weber, PE Subhash Patel, PE, SE Project Manager Principal Structural Engineer (858) 413-2400 Dr. Hui Wu, Structural Engineer Beyaz & Patel provided the structural design for two 0.4 MG circular above -ground prestressed concrete tanks. One tank is 48 feet in diameter and 31 feet tall and the other tank is 50 feet in diameter and 31 feet tall. Vista Irrigation District Brian Smith Vista Irrigation District (760) 597-3 116 BEYAZ & PATEL Subhash Patel, PE, SE Lead Structural Engineer Gary Ho, PE, SE, Senior Structural Engineer DUDEK Neil Harper, PE Project Manager Beyaz & Patel provided structural services, under the project management of Dudek, for the design of a new 5.3 MG partially buried circular prestressed concrete reservoir, control valve and pressure reducing station vault. Work included review of the geotechnical report prepared by the geotechnical consultant; preparation of detailed structural drawings and details; determination of the structural elements of the reservoir outlet sump; preparation of the structural calculations for the project; review of the accuracy of the technical specifications provided by the client; and preparation of 30%, 90%, and 100% design drawings. During construction, on an as needed basis, reviewed structural submittals, and provided technical support and on -site construction observation services. City of Los Angeles Department of Water and Power Joseph Resong, PE Civil/Structural Design Manager (213) 367-0937 Subhash Patel, PE, SE Lead Structural Engineer Gary Ho, PE, SE, Senior Structural Engineer Dr. Hui Wu, Structural Engineer r��l Beyaz & Patel is providing structural engineering services for the seismic retrofit of the Chlorination Station roof and interior ceiling. Preliminary structural analyses showed that the roof diaphragm and interior plaster lath ceiling would be overstressed in an earthquake. The seismic evaluation is being performed to determine the structural retrofit requirements needed to protect the chlorination equipment. Beyaz & Patel 25B-30 Statement of Qualifications I Page 10 Project References from Work Completed in the Last Five Years List of agencies, past and present, for whom we have provided work similar to the identified in detail for the last five years. Appendix ATTACHMENT 3: 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. Reference Customer Name: Mann Municipal water District Contact Individual: earl Gowan Address: 220 Mellen Avenue Phone Number: (415) 945-1577 Cone Madera, CA 94925 Facsimile Number:(415) 945-1599 Contract Amount: $327,322.00 Year: 2015 Description of supplies, equipment, or services provided 4.0MG Forbes Hill Reservoir Study, PDR, and Design Reference Customer Name. Cityofoceanside Contact Individual: Greg Keppler(now with Vista Irrigation District) Address: 30C North Coast Hwy Phone Number: (760) 597-3136 Oceanside, CA 92054 Facsimile Number: {760)597-2632 Contract Amount 5284,975.00 Year: 2018 Description of supplies, equipment, or services provided: Reservoir Repairs, Phase 3 consisted of the seismic evaluation, retrofit design and construction services for 12 potable reservoirs. Reference Customer Name: Cityof Menlo Park Contact lndlvldUal: Morad Fakhral Address: 701 laurel St Phone Number: (650) 330-6763 Menlo Park, CA 94025 Facsimile Number: (6501327-5497 Contract Amount: $e2,795.00 Year: 2019 Description of supplies, equipment, or services provided'. Sand Hill Reservoir No. 2 Roof Replacement Evaluation, Analysis, and Final Design THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana - RFP 19-032 Emergency Water and Sewer Repair Services Page 20 of 35 25B-31 Certifications Non -Collusion Non -Lobbying Non -Discrimination 25B-32 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: Signed 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. A notary public or other officer completing this /// Certificate wifies only rile identity of the certl8rnnte is aaached, and not the truthfulness, State of Califoml%accuracy, or validity of that document. County of S'll'V Subscribed and sworn to (or affirmed) before me on this day of D !( , 20 (g, by S"c3H,4s0 {(A-Tt-'- , proved to me on the basis o satisfactory evidence to be the person(¢) who appeared before me Notai Public Signature Notary Public Seal ELIZABErH L. BLOOM Notary Public - California a - San Diego County Commission R 2291507 My Comm, Expires Jul 1, 2023 City of Sa1epai32 m Eergency WatE �- epair Services Page 27 of 35 CITY OF SANTA ANA RFP NO.: 19-032 EMERGENCY WATER AND SEWER REPAIR 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 officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure of Lobbying Activities," in conformance with its instructions. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such subrecipients shall certify and disclose accordingly. Signed: ,Q,L , Q Title: President Firm: Beyaz & Patel, Inc. Date: November 14, 2019 City of Santa Ana - RFP 19-032 Emergency Water_ and Sewer Repair Services CITY OF SANTA ANA RFP NO.: 19-032 EMERGENCY WATER AND SEWER REPAIR SERVICES NON-DISCRIMINATION CERTIFICATION 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. 1 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. City of Santa Ana - RFP 19-032 Emergency Water and Sewer Repair Services 26 B.w36 CITY OF SANTA ANA RFP NO.: 19-032 EMERGENCY WATER AND SEWER REPAIR 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 subContractor or Consultant 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. 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: ,,Q,L9...V. r.1-1 Title: President Firm: Beyaz & Patel, Inc. Date: November 14, 2019 City of Santa Ana - RFP 19-032 Emergency Water eevLerr Repair Services Resumes of Team Members Beyaz & Patel Subhash Patel, PE, SE Project Manager and Primary Contact Gary He, PE, SE Technical Advisor/QA Dr. Harry Hui Wu Structural Engineer and Secondary Point of Contact Dudek Neil Harper, PE Lead Civil Engineer Amanda Coombs, PE Civil Engineer RF Yeager Engineering Rick Yeager Lead Corrosion and Cathodic Engineer Randall Gervis Corrosion and Cathodic Engineer Triad Security Consultants Rick Withers Lead Security Consultant Dive/CORR, Inc. Daniel Gross Lead Dive Inspector 25B-37 Bey az&,Patel Subhash Patel, PE, SE Structural Engineer Education Mr. Patel has over 35+years of experience providing structural engineering services for on water and wastewater infrastructure. He has worked on water storage projects M.S., Structural throughout California, including, prestressed concrete tanks and reservoirs, pump Engineering, University stations, drainage, piping and appurtenances. He has substantial experience managing of California, Berkeley, all project phases— predesign, design, bid, and construction. As the project manager, 1972 Subhash is responsible for our entire project team. He will coordinate and B.E., Civil Engineering, communicate with the City's project manager; schedule, budget; allocate resources, University of Baroda, assess, analyze, provide input, constructability, and biddability review; manage India, 1970 construction support services; and assure all deliverables receive a thorough quality control review. Registrations Professional Record Structural Engineer, 1.0 to 5.0 MG Reservoir Repairs Phase 3, City of Oceanside, California. Managing California, No. 54233 structural engineer for condition assessment, seismic evaluation, and rehabilitation of Civil Engineer, nine prestressed concrete reservoirs and one steel reservoir ranging in size from 1.5 California, No. C53540 MG to 5.0 MG. The work in Phase 3 included site investigations, condition assessment, and seismic evaluations. The reservoirs are above -ground and partially buried Professional Engineer reservoirs. The prestressed concrete reservoirs show evidence of coating deterioration, (Civil, Structural), shotcrete cover spalling, prestressed wire corrosion, and surface cracks. Washington, No.49115 Sand Hill Reservoir No. 2 Roof Replacement, City of Menlo Park, Menlo Park, Affiliations California. Technical Advisor/QA providing roof -replacement design and engineering guidance for a reservoir roof that was at the end of its useful life. It had started sagging Structural Engineers and water was ponding on the flat roof of the trapezoidal reservoir. Structural Association of San connections and joist were coming loose and water was penetrating through the roof Diego causing the wood to rot. Dr. Wu provided seismic evaluation and analysis services, American Society of identified design alternatives, and assisted in the preparation of the final design for the Civil Engineers new roof construction including installation of new mixers in Sand Hill Reservoir Nos. 1 and 2. 1.0 MG Forebay Tank, County of Los Angeles Department of Water and Power, Kern County, California. Managing structural engineer for design of the partially buried forebay tank, a 110-foot diameter, 22-foot tall circular prestressed concrete tank with an operating capacity of 1.0 MG. The tank includes a sump at the bottom to reduce the minimum water depth in the tank to maintain submergence over the pump intake. 5.3 MG "E" Reservoir, Vista Irrigation District, Vista, California. Managing structural engineer for design of a new 5.3 MG partially buried circular prestressed concrete reservoir, control valve and pressure reducing station vault. Work included review of the geotechnical report prepared by the geotechnical consultant; preparation of detailed structural drawings and details; determination of the structural elements of the reservoir outlet sump; preparation of the structural calculations for the project; review of the accuracy of the technical specifications provided by the client; and preparation of30%, 90%, and 100%design drawings. During construction, on an as needed basis, reviewed structural submittals, and provided technical support and on - site construction observation services. 25B-38 Bey az&,Patel Resume of Subhash Patel, PE, SE (Continued... 30-MG Miramar Clearwell No. 2 Reservoir, City of San Diego, San Diego, California. Managing structural engineer for a seismic evaluation and structural condition assessment of Clearwell No. 2 Reservoir, an all - concrete 30 mg rectangular covered reservoir that was constructed in 1974. Conducted a preliminary seismic analysis based on Seismic Zone 4, using the 1997 UBC, ACI 350, and NEHRP standards. Two options were considered for retrofitting the reservoir along with order -of -magnitude cost estimates and retrofit recommendations. 7.5 MG Middlefield Open -Cut Reservoir, Alameda County Water District, Fremont, California. Principal structural engineer for the seismic evaluation and retrofit of the 39-year-old 7.5 MG below grade open -cut rectangular concrete reservoir, and replacement of the existing wood roof with new steel metal deck. Reviewed all existing available information, inspected the existing reservoir roof, evaluated the cost effectiveness of different alternatives, and prepared a report recommending the most appropriate system for the roof and modifications of the support system. After acceptance of the report by the District, prepared Contract Documents for the project. 7.7 MG Tierrasanta Storage Tank Project, City of San Diego, California. Managing structural engineer for complete structural design of a 7.7 MG partially buried prestressed concrete reclaimed water storage reservoir. Dekoven Tank Replacement Project, Mid -Peninsula Water District, Belmont, California. Structural engineer for the replacement of two steel water tanks in a tightly -pocketed and seismically sensitive area hillsides north of South San Francisco. Will also be providing services during construction. 1.0 MG Eleventh Street and 1.0 MG Zuni Potable Water Storage Reservoirs Upgrade, City of Del Mar, Del Mar, California. Principal structural engineer for a feasibility study relative to the seismic upgrade of the 60-year- old partially below grade circular concrete 1.0 MG Eleventh Street and 1.0 MG Zuni potable water storage reservoirs. The work involved stress analyses using computer programs, making a comparative investigation of the pros and cons of the strengthening methods, preparing the final design and detailed drawings, and designing technical specifications for the construction work. 0.46 MG and 0.7 MG Grossmont No. 1 Tank, Helix Water District, La Mesa, California. Managing structural engineer for seismic analysis of the existing 0.46 MG reinforced concrete tank. Conducted field investigation and evaluation of the tank to determine forces on critical components and connections due to maximum credible and maximum probable earthquakes. Seismic forces were determined from review of existing plans and specifications, and by site visits. Also followed AWWA standards and utilized computer programs to analyze the tank and to identify deficient structural elements. Areas analyzed included the tank wall, roof structure, columns and footings. Subsequently, provided structural engineering services for design of a new 0.7 MG 70-foot-long by 50-foot-wide partially buried, cast -in -place reinforced concrete storage reservoir. 21.0 MG Alvarado Reservoirs, City of San Diego, California. Managing structural engineer for design, drawings and specifications, and construction support services for modification and expansion of the Alvarado Water Treatment Plant, including the structural design of two new 2.1.0 MG underground prestressed concrete reservoirs. 0.75 MG California Water Tank and Pump Station, City of Redwood City, California. Managing structural engineer for design of the 80-foot-d ia meter, 24-foot-tall 0.75 MG circular above ground prestressed concrete tank and pump station. The tank was designed for site specific seismic parameters. Seismic Retrofit of Two Reinforced Concrete Tanks, California Water Service, San Carlos, California. Structural engineer for a design build project in the highly seismic area of San Carlos. Project involved a seismic retrofit of two prestressed concrete water reservoirs and a pump station. 2.0 MG and 4.0 MG Fairfax Transmission Line Water Storage Project, Marin Municipal Water District, Corte Madera, California. Managing structural engineer for predesign of three treated water storage tanks. The predesign considered two 2.0 MG prestressed concrete tanks or steel tanks (including buried and exposed sites) at the Ross Reservoir site, and one 4.0 MG prestressed concrete tank (including buried and exposed sites) at one of two potential sites. 25B-39 Gary Ho, PE, SE Project Manager Education Mr. Ho has over 30 years of experience in structural engineering, design, M.S., Structural and earthquake engineering on water storage, conveyance and Engineering treatment, including reservoirs, tanks, and appurtenances. His extensive University of California experience in structural evaluation, seismic review, and risk analysis, Berkeley, 1976 including probabilistic risk assessments of structures has granted him work with some of the state's largest agencies and private companies. Mr. B.S., Civil Engineering, Ho manages complex design projects involving multiple disciplines. Many University of California, applaud his efforts to simply and streamline such efforts. He lends his Berkeley, 1974 structural expertise to agencies on condition assessment and value engineering studies, and is recognized for his work on concrete reservoirs Registrations and digesters with East Bay Municipal Water District. As technical adviser he will manage the technical review of all deliverables and provide his Structural Engineer, input on management, design, and constructability as well as other California 52534 aspects of the reservoirs project. Civil Engineer, Professional Record California C30496 Forbes Hill Reservoir Cover Replacement Design, Marin Municipal Water District, Corte Madera, California. Managing the design and Affiliations preparation of contract plans and specifications for a new roof structure American Concrete and replacement liner for Forbes Hill Reservoir. The work includes the Institute removal of the existing floating cover and liner, design of a new multi - span aluminum roof structure, design of a new CSPE geomembrane liner American Institute of Steel system, and site/civil design. Construction Reservoir Repairs Phase 3, City of Oceanside, California. Senior structural engineer for condition assessment, seismic evaluations, and Concrete Reinforcing Steel rehabilitation of nine prestressed concrete reservoirs and one steel Institute reservoir ranging in size from 1.5 MG to 5.0 MG. The work included site investigations, seismic assessments per AWWA D110 Standards, and Structural Engineers development of retrofit schemes. The reservoirs are above -ground and Association of Northern partially buried reservoirs. California Reservoir Design Manual, East Bay Municipal Utility District, Oakland, California. Co-author of the personnel reservoir design manual Western Construction for East Bay Municipal Utility District. The manual established the Consultants minimum requirements to be followed in the design of East Bay Municipal Utility District potable water reservoirs. The Design Manual was for use of all engineers working on District reservoir projects, and focused on the major tasks and activities involved in the design conventionally reinforced concrete, prestressed concrete reservoirs, steel and open and cut reservoirs and related structures. Los Angeles/Kern County Recycled Water Project, Phase II - Pump Station, County of Los Angeles Public Works Department, Kern County, California. Principal structural engineer for the structural design of reinforced masonry pump station building. Produced the calculation spreadsheets fo�,xLi,,dext analysis and design of the pump station. Performed seised �vyy analysis. Beyaz & Patel Hui "Harry" Wu Structural Engineer Education Dr. Wu is an experienced structural engineer and for the last three years has worked PhD, Structural exclusively on water and wastewater infrastructure projects including water storage. He Engineering, University is an expert in earthquake resistant design of structural systems (reinforced concrete, of Southern California, masonry, steel, and wood), tilt -up structural design, seismic retrofit design of structures, Los Angeles, California structural analysis, finite element analysis. Dr. Wu is also well versed in industry standard MS, Structural modeling programs used in structural engineering and an encyclopedia of current Engineering, Tsinghua building code requirements for reinforced concrete: ACI 318-14, for Steel AISC 360-16, University ASD, LRFD Manual, and IBC-2015, CBC-2016, ASCE 7-16. He performs large scale seismic BS, Structural testing of structural components and assemblies in reinforced concrete and steel. Engineering, Beijing Professional Record Institute of Civil Engineering and Morro Hills Prestressed Concrete Reservoir Construction Phase Services, City of Architecture, Beijing, Oceanside, Oceanside, California. Structural engineer for one of nine projects for the China City of Oceanside Reservoir Repairs contract. Services included structural engineering analysis to define additional details specific to the site, apply site specific parameters Registrations from the geotechnical investigations, and develop design alternatives and final detailed PE, Civil Engineering, design for structural repairs and upgrades. California No. C68210 Seismic Retrofit of Two Reinforced Concrete Tanks, California Water Service, San Affiliations Carlos, California. Structural engineer for a design build project in the highly seismic Concrete Reinforcing area of San Carlos. Project involved a seismic retrofit of two prestressed concrete water Steel Institute reservoirs and a pump station. Sand Hill Reservoir No. 2 Roof Replacement, City of Menlo Park, Menlo Park, Expertise California. Structural engineer providing roof -replacement design and engineering Earthquake resistant services for a reservoir roof that was atthe end of its useful life. It had started sagging design of structure and water was ponding on the flat roof of the trapezoidal reservoir. Structural systems (reinforced connections and joist were coming loose and water was penetrating through the roof concrete and causing the wood to rot. Dr. Wu provided seismic evaluation and analysis services, masonry) identified design alternatives, and assisted in the preparation of the final design for the Seismic retrofit new roof construction including installation of new mixers in Sand Hill Reservoir Nos. 1 design of structures and 2. Structural analysis, LA Reservoir Ultraviolet Disinfection Plant, City of Los Angeles, Department of finite element Public Works, Los Angeles, California. Structural engineer for the structural design of a analysis steel -framed building with lateral force -resisting system subjected to site -specific seismic spectrum and code -specified wind force. Provided the structural design for other Large scale seismic structural components including RC slab, trenches, valve vaults, return sumps, and trunk testing of structural line encasements considering static and dynamic soil pressure and buoyancy. components and assemblies of Dekoven Tank Replacement Project, Mid -Peninsula Water District, Belmont, reinforced concrete California. Structural engineer for the replacement of two steel water tanks in a tightly - pocketed and seismically sensitive area hillsides north of South San Francisco. Will also Telephone be providing services during construction. (828)376-3410 As -Needed Structural Design Services, Eastern Municipal Water District, Perris, Email California. Structural engineer for as -needed task orders including a condition hwu@beyazpatel.com assessment at the Hemet Water Reclamation Plant for a cracked beam and loading dock roll -up door. 25B-41 Beyaz & Patel Resume of Dr. Hui "Harry" Wu (continued... Reservoir Repairs Phase 3, City of Oceanside, Oceanside, California. Structural engineer for construction services for the seismic evaluation, and rehabilitation of nine prestressed concrete reservoirs and one steel reservoir ranging in size from 1.5 MG to 5.0 MG. The work in Phase 3 included site investigations, condition assessment, seismic evaluations. The reservoirs are above -ground and partially buried reservoirs. The prestressed concrete reservoirs show evidence of coating deterioration, shotcrete cover spalling, prestressed wire corrosion, and surface cracks. University Heights Steel Water Tower, City of San Diego, San Diego, California. Structural engineer for a seismic evaluation and assessment for an elevated steel water tower with an overall height of 142.5 feet and supported on twelve steel built-up columns. Mr. Ho analyzed the structural integrity of the water tower to conform to current code requirements and recommend improvements to rehabilitate the structure. Highland Park Reservoir Access Improvements, City of Los Angeles, Los Angeles, California. Structural engineer for the design of the chlorine analyzer pad and retaining wall for a prestressed concrete tank supplying the Mullholland Fountain. East Compton Prestressed Concrete Reservoir and Booster Pump Station, City of Los Angeles, Downey, California. Structural engineer for program management services for the design build of a prestressed concrete reservoir and pump station project for a water company. Lafayette Reservoir Outlet Tower Seismic Retrofit, Lafayette, California. Structural engineer for the seismic retrofit of the concrete Outlet Tower. The tower will be retrofitted to meet the current DSOD seismic criteria. Master Agreement for Professional Engineering Services at the Regional Water Pollution Control Plant, City of San Jose, San Jose, California. Structural engineer for various WPCP projects, including an emergency diesel generator, Pond A-18 South Gate Structure Condition Assessment, digester gas compressor, and fuel cell foundation platform. "D" Street Water Tower Seismic and Physical Integrity Evaluation, City of Madera, Madera, California. Structural engineer for project that involved a condition assessment of the existing water storage tower, a seismic and physical integrity evaluation at its present location, development of seismic strengthening measures, as required, to meet current building codes, and the evaluation of the feasibility of each aforementioned alternative. The project also includes preparing a Preliminary Design Report documenting all findings and recommendations. Iron Mountain Pumping Plant Switchyard, Head Gates and Auxiliary Power Rehabilitation Program, Metropolitan Water District of Southern California, Poway, California. Structural engineer for the lining removal and placement of concrete canal panels and fiber reinforced concrete reservoir liner, repairing siphon headwalls, replacing chain link fence, constructing two concrete pads, constructing one access ramp, and appurtenant work. Dr. Wu provided a review of the plans, structural engineering services, and preparation of the electrical drawings. Greg Ave Pressure Control Structure -Pump Modifications and New Control Building, Metropolitan Water District of Southern California, Sun Valley, California. Senior structural engineer providing the design of the control building at the existing pump station. The control building includes an electrical room, I&C room, workshop, restroom, and mechanical rooms. Dr. Wu reviewed available background document, provided design and specifications, probable cost estimates, and will provide bid support during construction. Main Wastewater Treatment Plant Digester Upgrade Project, Phase 3 Design Services, East Bay Municipal Utility District, Oakland, California. Structural engineer for life/safety improvements to prestressed concrete digesters including development of design criteria for modifications to larger manways. 25B-42 Neil Harper, PE Project Manager Neil Harper is a professional engineer with 19 years of experience in project management, engineering, planning, design, and construction support services for a variety of municipal and public agency projects. Specific areas of practice include water, wastewater, and water reuse systems. Mr. Harper's relevant experience includes water distribution and treatment facilities, pumping facilities, and reservoirs. He successfully manages projects and communicates regularly with clients to develop a thorough understanding of the project and the client's needs. Mr. Harper focuses on tracking project milestones and their relation to the project schedule and budget, allowing for ongoing knowledge of the project status. Project Experience Education California Polytechnic State University, San Luis Obispo BS, Bio-Resource and Agricultural Engineering, 1999 Seismic Evaluations and Preliminary Design for 23 Reservoirs, San Certifications Bernardino Municipal Water Department, San Bernardino County, Professional Civil Engineer (PE), California. Served as project manager, responsible for project to perform CA No. C63288 seismic evaluations and full analysis of 23 reservoirs and preparation of a Professional Affiliations technical memorandum. As part of our work, Dudek team members met American Society of Civil Engineers with Water Department engineering and operations staff to identify Orange County Water Association operational constraints for each reservoir. The 12 steel and 11 concrete reservoirs ranged from 0.1-MG to 10-MG of storage capacity. Analysis for each resevoir included a review of existing drawings and other available docuemnts, field investigations to review the existing condition of each reservoir, reviewing inspection records, and completing structural/seismic analyses in accordance with the 2010 CBC, ACI 350, and other governing code requirements. We developed multiple alternatives and conceptual repairs for each reservoir that included estimated construction costs and repair durations for each reservoir. Our findings were memorialized in a technical memorandum and allowed the Department and Dudek to collaboratively select and package 13 of the reservoirs into 3 separate design packages. Design of Seismic Repairs and Upgrades for 13 Reservoirs, San Bernardino Municipal Water Department, San Bernardino County, California. Following the seismic evaluation and preliminary designs of the 23 reservoirs, served as project manager for Phase 2 of the project which involved design of the upgrades for 13 of the reservoirs that was split into 3 separate bid packages. Each bid package was comprised of 3 submittals (75%, 100% and Final) which entailed construction drawings, specifications, bid documents, and an engineer's cost estimate. The 13 reservoirs selected for design upgrades were collaboratively chosen by the San Bernardino Municipal Water Department and Dudek based on the estimated cost and perceived urgency of the upgrades, estimated construction durations/outages of the reservoirs, water system operational constraints and phasing, and reservoir construction type (concrete or steel). 25B-" 3 Page 1 DUDEK Morro Hills No. 1 and 2 Reservoir Repairs and Booster Pump Station, City of Oceanside, California. Served as project manager for the detailed design of repairs to an existing 5.0-MG prestressed concrete reservoir and a 5.0- MG welded steel reservoir on a common site. Improvements to the reservoirs included replacing piping, buried and exposed valves, and appurtenances, adding inlet and outlet flow meters, and recoating. In addition, the prestressed concrete Morro Hills No. 1 reservoir required repairs of concrete spalling and cracks, rewrapping of and anchorage to address seismic deficiencies, and a new underdrain system. To accommodate the seismic retrofit, removal and replacement of the inlet/outlet vault and Morro Hills booster pump station was required. The new BPS consists of three 60-hp multi -stage vertical pumps with a design capacity of 1.5-MGD at 320-foot TDH. The pump station includes an emergency generator and water quality instrumentation and was designed to the City's specifications for architecture and 0&M access to the pumps and appurtenant electrical and control equipment. The project also included various site grading, drainage, and fencing improvements. 13.4-MG Goetz Road Tank, Eastern Municipal Water District, City of Perris, Riverside County, California. Served as project manager for the preliminary and final design of a 13.4-MG pre -stressed Type 1 concrete tank. Other design features on the tank site included 30-inch CML&C steel inlet and outlet piping, an altitude valve and check valve vault, reservoir mixing system, and chloramination boosting facility, site grading to partially conceal the tank and addressing site drainage for approximately 100-cfs that naturally drained through the site. The project also included hydraulic analyses to size the 30-inch transmission main and an alignment analysis that used a matrix rating system which scored each alignment in 10 different categories. 10.6-MG Roof Repairs and Rehabilitation for Dearborn Reservoir, City of Redlands, California. Served as project manager, responsible for engineering design services (preliminary design, final design, bidding period, and construction support services) for rehabilitation of their 10.6 MG Dearborn Reservoir. Initially, the City was advised that replacing the pre -stressed roof was required but did not have sufficient budget. The Dudek team reassessed the roof and developed a roof rehabilitation and repair alternative that was 50% of the cost of the City's original budget and 25% of the replacement cost for a new roof. The solution included fiber reinforcement of the cracked roof surface over the columns, new concrete drop panels, concrete jacketing the columns, enlargement of the concrete column footings, adding a concrete curb at the wall/floor interface to meet sheet the shear requirements of the current code, fiber reinforcement of the roof support beam that supported the two roof diaphragms, and miscellaneous repairs to the roof edges. Dudek prepared construction documents (drawings, specifications, bidding forms, and an engineer's estimate) for the reservoir's roof rehabilitation and repair. Ogden Reservoir, San Bernardino Municipal Water Department, City of San Bernardino, San Bernardino County, California. Served as project manager for design of a 12.0-million-gallon (MG) pre -stressed concrete reservoir, site piping, and appurtenances. The reservoir had to be designed to float with the other reservoirs in the 1416 Zone, serve as a forebay for the Ogden pump station which mandated raising the floor considerably, and minimize grading and disruption to the existing site facilities and adjacent structures and utilities in Ogden Street. Preliminary design activities included optimization of the site and maximizing the storage volume of the reservoir while not disturbing the recently constructed on -site facilities such as the 18,000-gpm booster pump station, 36- inch transmission main piping/valving/appurtenances, percolation basin and the 12kV switchboard, electric feed and SCE transformer. To accomplish this, extensive coordination between the structural engineer, geotechnical engineer and DN Tanks was required to minimize over -excavation, shoring and project construction costs while achieving the other project objectives. Burruel Reservoir Upgrades, City of Anaheim, Orange County, California. Served as project manager for preliminary design, final design, and construction support services for miscellaneous upgrades and recoating (including lead paint removal/abatement) of the 0.75-MG steel reservoir. Upgrades to the reservoir and site included piping, valving, enlargment and replacement of the roof hatch, safety upgrades (handrailing, lighting, and signage), replacement of the interior ladder, and site repaving. 25B_4 4 Page Amanda Combs, PE Lead Engineer Amanda Combs is a project manager with 19 years' experience leading high quality water and wastewater projects, from conceptual planning, preliminary design, and final design, to construction -phase services for pipelines, pump stations, water storage, and treatment plants. Project Experience Morro Hills No. 1 and 2 Reservoir Repairs and Booster Pump Station, City of Oceanside, California. Lead engineer for the design of repairs to an existing 5.0-MG prestressed concrete reservoir and a 5.0-MG welded steel reservoir on a common site. Improvements to the reservoirs included replacing piping, valves, and appurtenances, adding inlet and outlet flow meters, and recoating. In addition, the prestressed concrete Morro Hills No. 1 reservoir required widening of the footing, rewrapping and anchorage to address seismic deficiencies. To accommodate the seismic retrofit, removal and replacement of the inlet/outlet vault and Morro Hills booster pump station was required. The project also included various site improvements. M 4manda Come Education Virginia Polytechnic Institute and State University MS, Environmental Engineering, 2001 Virginia Polytechnic Institute and Henie Hills and John Paul Steiger Reservoir Repairs, City of Oceanside, State University California. Lead engineer for the design of various interior and exterior BS, Civil/Environmental repairs to two 3.0-MG prestressed concrete reservoirs. The Henie Hills Engineering, 1998 reservoir required various improvements to address seismic Certifications deficiencies, including widening of the footing, rewrapping, and Professional Civil Engineer, anchorage. In addition, a new concrete floor was constructed to CA No. 67287 address leakage from the deteriorated 3-inch gunite floor. Other improvements at both sites included new vault piping, valves, and appurtenances, addition of flow meters, and electrical upgrades. The John Paul Steiger site required grading and both on -site and off -site storm drain improvements as well. 13.5-MG Goetz Road Tank, Eastern Municipal Water District, City of Perris, Riverside County, California. Project engineer for the preliminary and final design of a 10-MG prestressed Type 1 concrete tank. Other design features on the tank site included 30-inch CML&C steel inlet and outlet piping, an altitude valve and check valve vault, reservoir mixing system, and chloramination boosting facility, site grading to partially conceal the tank and address site drainage for approximately 100-cfs that naturally drained through the site. Fire Mountain Recycled Water Reservoir and Pump Station, City of Oceanside, California. Lead engineer for the planning, preliminary design, and final design, of a 2.2-MG prestressed concrete reservoir and 1,150- gpm booster pump station as part of an expansion of the City's recycled water system to customers in the Lower Service Area. The new reservoir will be co -located with an existing City potable water reservoir. DUDEK Page 1of2 25B-45 DUDEK Features of the design include a potable water makeup vault and pipeline, a stormwater detention basin, and protection of adjacent sensitive habitat. Grossmont Tank Recoating and Repairs, Padre Dam Municipal Water District, El Cajon, California. Served as project manager for the design of various interior repairs and recoating for the District's 1.5-MG steel standpipe type reservoir. The District's reservoir has a shell height of 90 feet and is topped by a 1.1-MG upper tank owned and operated by an adjoining water agency. Retrofits included replacement of a suspended catwalk structure and fall protection enhancements, replacement of a roof access hatch, refurbishment of tank vents, replacement of electrical equipment, the addition of ports for mixing, and a new cathodic protection rectifier. Dudek also designed connections to existing 18-inch diameter welded steel yard piping for connection of a temporary pressure reducing station to supply the District's customers with higher pressure water from the upper Helix Water District tank. Fanita Terrace Recycled Water Reservoir Structural Analysis, Padre Dam Municipal Water District, Santee, California. Project manager for a seismic analysis and condition assessment of an existing 1.5-MG welded steel reservoir. The assessment included cost estimates and life cycle cost calculations for four rehabilitation and replacement alternatives, including repair or replacement of the existing roof due to corrosion of the rafters. E Reservoir Replacement and Pump Station, Vista Irrigation District, San Diego County, California. Lead engineer for the preliminary and final design of replacement of an existing 1.5-MG concrete reservoir constructed in 1929 with a new 2.9-MG cast -in -place concrete reservoir customized to maximize storage at the site. The project also involved design of a new 3,000-gpm, 230 feet TDH pump station to serve as a backup supply to the higher zone. Geotechnical constraints at the site included very hard underlying rock and a cut/fill transition beneath the existing reservoir. To mitigate this, the pump station design utilized vertical multi -stage, pad -mounted pumps rather than traditional vertical turbine pumps in cans and the reservoir design included removal of existing fill and backfill with controlled low strength material beneath the new structure. Other improvements included a stormwater detention basin and on and off -site storm drain improvements. Boulder Mountain Reservoir 3 Rehabilitation, City of Poway, California. Project manager for the design of improvements to an existing 1 MG steel reservoir. Upgrade work included drainage and site improvements, interior and exterior tank coatings, new inlet and outlet piping, replacement of miscellaneous tank appurtenances and safety features, cathodic protection improvements, and a new CMU block electrical/SCADA building. The design included piping and site provisions for a future adjacent reservoir. Design -Build Services for Gibbel Road Recycled Water Reservoir, Eastern Municipal Water District, Riverside County, California. Project engineer for the planning and preparation of the design -build bid package for a new 4-million-gallon welded steel tank and 4,000 feet of 30-inch inlet/outlet pipeline for the district's recycled water system. Chambers Recycled Water Tank Site Assessment, Eastern Municipal Water District, Riverside County, California. Project engineer for the planning and siting of a new welded steel tank for the district's recycled water system. Evaluated site adequacy, potential environmental requirements and constraints, geotechnical issues, and pipeline alignment alternatives; determined drainage and overflow rates; and provided preliminary site and grading plans for 4-million-gallon, 7-million-gallon, and 10-million-gallon options. DUDEK Page 2of2 25B-46 Richard F. Yeager Jr., PE Richard (Rick) F. Yeager Jr. is a California Registered Civil Engineer and a NACE Intl Certified Cathodic Protection Specialist with a broad background in corrosion engineering, inspections, and construction support services. Mr. Yeager has extensive experience in water and wastewater corrosion control and cathodic protection system designs, corrosivity assessments, pipe and coating materials of construction, and inspection and monitoring of installed piping systems. The NACE Certification meets the definition of "Corrosion Expert" as defined by the United States Environmental Protection Agency and under 40 CFR 280.12 of the Code of Federal Regulations. Additionally, Mr. Yeager has provided construction inspection services for projects that have included pipelines, water reservoirs, treatments plants, and roadways. Project Experience: As -Needed Corrosion Engineering Services & Annual Surveys Provide Cathodic Protection Survey and Performance testing of installed pipelines and reservoirs. To include monitoring, testing and troubleshooting all existing corrosion control facilities for corrosion. Performing coating assessments on process facilities, water treatment plants, and buried piping systems. Then assessing system damage and evaluating cathodic protection system performance and identifying repair or refurbishment requirements. A summary report listing all observations, conclusions, and recommendations is submitted at the completion of each annual survey. • Ramona Municipal Water District • Olivenhain Municipal Water District • Santa Fe Irrigation District • Leucadia Wastewater District • Otay Water District • San Dieguito Water District • City of San Diego • Padre Dam Municipal Water District • Vallecitos Water District Corrosion Control Evaluation and CP Design Responsible for designing new and retrofit cathodic protection systems for buried metallic pipelines and aboveground water storage tanks. Designs, galvanic anode and impressed current, take into account soil conditions, coating options, power availability and other parameters in order to achieve the most cost effective means of long term corrosion protection in accordance with nationally accepted standards. • City of San Diego- Morena Pump Station & Conveyance System • City of San Diego- Tierra Santa Pump Station & pipeline • City of San Diego- 691h & Mohawk Pump Station • City of San Diego- 301h St Pipeline Replacement Richard F. Yeager Jr., PE Principal Corrosion Engineer YEARS OF EXPERIENCE 22 YEARS WITH FIRM 15 EDUCATION B.S., Civil Engineering, California Polytechnic State University, 1997 National Association of Corrosion Engineers (NACE Int'1) • Basic Corrosion Course, 1997 • CP Design 1, 1999 • Cathodic Protection Certification Training, 2001 CERTIFICATIONS California Professional Civil Engineer No.C70686 NACE Int'1: • Cathodic Protection Specialist No. 6321 Confined Space Entrant/Attendee Certified DVBE/SBE Firm (CA Dept of General Services) Certified SLBE Firm (City of San Diego) SCOOP Certified Firm (SDCWA) 1016 Broadway, Ste. A, El Cajon, CA 92021 Phone: 619.312.0195 25B-47 • City of San Diego- Pacific Beach Pipeline • City of San Diego- North City Water Reclamation Facility PROFESSIONAL AFFILIATIONS • City of San Diego- North City Pure Water Facility Expansion • City of San Diego- Sloane PRS CP Design National association of Corrosion • City of San Diego- Cielo & Woodman PS CP Engineers (NACE Int'1) • City of San Diego- Otay 2nd PL Phase I • City of San Diego- Del Mar Heights PL ICCP Design San Diego Section Chairman, • City of San Diego- Sewer PS 79 CP Design and CSS 2002-2 03 • City of San Diego- I-15 DAR/City 66: PL CP Design San Diego Section Trustee, • City of San Diego- Cal Trans I-905 Crossing CP Design • City of San Diego- Upas Street Pipeline CP Design NACE I006 NACE I Policy Committee • City of San Diego- Otay Mesa Trunk Sewer Casing Cathodic resnt'l Protection NACE NACE Int'1 Policy Chair • City of San Diego- Torrey Santa Fe Road Pipeline 2012-2015 • Padre Dam Municipal Water District- ESA Secondary Connection NACE Int'1 Policy Past Chair • Eastern Municipal Water District- Cactus II Feeder Transmission 2015-Present Pipeline American Society of Civil Engineers • Eastern Municipal Water District- Menifee Valley Reservoir (ASCE) • City of Inglewood- Inglewood Pipeline Assessment • City of Inglewood- Sanford Treatment Plant Corrosion Assessment • City of Orlando, FL- Orlando Reuse Pipelines • Orange County Water District- Groundwater Replenishment Pipeline • Eastern Municipal Water District- Desalter pipelines Phase II • Eastern Municipal Water District- Reach 16-2 RW Pipeline • Eastern Municipal Water District- Nuevo Road I-215 Pipeline • Eastern Municipal Water District- Well 57 Pump Coating Inspection & CP Design • Padre Dam Municipal Water District- Sky Ranch Pipeline, pump station and reservoir • Las Vegas, NV- Nellis Air Force Base Visiting Quarters, Maintenance building, and Headquarters Building • Irvine Ranch Water District- Zone 3 Reservoir CP • Otay Water District- 680/944 Pipeline • City of Del Mar- 21s' St & 71h St Pump Station Cathodic Protection • Leucadia Wastewater District- B2, B3, L1, L2 Force Main CP Repairs • County of San Diego- Harbison Canyon SLS Corrosion Assessment • Eastern Municipal Water District- Bridge RW Pipeline CP Design • Vista Irrigation District- HP Tank CP Design • Lake Havasu City- BS 1C CP Design • Otay Water District- Heritage Rd PRS CP • LVVWD- Reservoir 3665 CP Design • Helix Water District- 36-inch CML&C Pipeline CP • MN WD- Regional LS FM Replacement CP More Experience Available Upon • SM WD- Reservoir CP System and Anode Well Survey Request • Eastern Municipal Water District- AMR North Goetz Rd CP • Coachella Valley Water District- Salton Sea SCH PS and PL CP Richard F. Yeager Jr., PE 1016 Broadway, Ste. A, El Cajon, CA 92021 Phone: 619.312.0195 r Dive/CORR, Inc. Daniel Gross DIVER/INSPECTOR As primary diver conducting the inspection, Dan has over thirty-five (35+) years of experience and has conducted more than 4000 reservoir inspections to date. He has been active in the underwater water tank inspection industry since 1982 and has been injury free from inception of the company to date. He has achieved the following certifications: 1) AWS - CW I - QC1 (Am. Welding Soc - Certified Welding Inspector) 2) Nationally certified by exam through ASNT Level III (Level III is the top level) Level III - Ultrasonic Technician Level III - Magnetic Particle Technician 3) Over 3000 hours of "in field" coating inspection 4) Diving instructor rating 5) Confined space training 6) B.S. Degree - University of Massachusetts Other Certifications Class "A" California State Contractors License #770523 CPR/First Aid (renewed yearly) Member in the following Associations AWWA-American Water Works Association NACE - National association of Corrosion Engineers ASNT - American Society for Non-destructive Testing AWS -American Welding Society OCWWA Orange County Water Works Association CWWA Inland County Water Works Association SCWUA Southern California Water Utilities Association 25B-49 Carlos Amante, PE, GE Principal Engineer / Project Manager Mr. Amante has over 25 years of broad geotechnical and earthquake engineering consulting experience where he has consistently demonstrated a wide-ranging breadth of knowledge and ability to develop innovative and cost- effective engineering solutions to numerous private and public sector clients. He has vast experience working on water/wastewater, transportation, energy, industrial, commercial and residential projects. Mr. Amante is highly experienced in project management and technical delivery of projects involving complex ground investigation, seismic - resilient design of earthworks and foundations, slope engineering, liquefaction assessment, construction quality assurance and material testing, and constructability/value engineering study. Relevant Experience ®Gmene ConwllaMb EDUCATION MS, Geotechnical Engineering, University of British Columbia, Canada, 1993 MEng, Master of Engineering, Earthquake Engineering, Kanazawa University, 1991 BS, Civil Engineering, University of the Philippines, Metro Manila, Philippines, 1984 REGISTRATIONS/CERTIFICATION S California, Geotechnical Engineer No. GE2724 California, Professional Engineer in Civil Engineering No. C57831 Two 8.0-MG Steel Water Storage Tanks, Westminster, CA. Geotechnical Project Engineer. Geotechnical investigation and site -specific seismic hazard analysis for two 190-ft diameter, 40-ft high steel water storage tanks, built side -by -side on a 4-acre site. Recommended site remediation consisting of soil surcharge program and installation of stone columns to mitigate weak upper clay soils and loose liquefiable sands underneath the site. 6.0-MG Highland Avenue Reservoir Replacement, Yorba Linda, CA. Geotechnical Project Manager. Geotechnical investigation and value engineering study of proposed permanent concrete water reservoir and two temporary steel water tanks to replace the existing buried hopper reservoir. 1.0-MG Arbor Ridge Steel Water Tank, Walnut, CA. Geotechnical Project Manager. Geotechnical investigation for a new welded -steel water tank located in the San Jose Hills. 3.0-MG Rawlings Reservoir Replacement, Cityof Tustin, CA. Geotechnical Project Manager. Geotechnical investigation for the proposed replacement of existing 4.2-MG hopper -type water reservoir with two cylindrical concrete water -tanks. 10.8-MG Water Storage Facility, Santa Clarita, CA. Geotechnical Project Manager. Geotechnical reconnaissance review for the proposed emergency and operational water storage facility, including a water reservoir along with supporting appurtenances that may include pipelines, pressure regulators, valves and pump stations. Apple Valley Water System Improvements, Apple Valley, San Bernardino County, CA. Lead Geotechnical Engineer. Geotechnical investigation for proposed water system improvements, including two 28-ft diameter, 16-ft high steel -bolted potable water tanks to replace the three existing water tanks at the Mesa Vista tank site, 6-inch diameter, 4,800-ft long transmission pipeline, and 8-inch diameter, 1,300-ft long distribution lines. 25B-50 ^'-` i[omene tonwlWMs 100,000-Gallon Pasall Road Water Tank, La Jolla Indian Reservation, San Diego County, CA. Lead Geotechnical Engineer. Geotechnical investigation for design and construction of a 27-ft diameter, 24-ft high bolted steel potable water storage tank adjacent to an existing irrigation water tank. 70,000-Gallon Duro Road Water Tank, San Pasqual Indian Reservation, San Diego County, CA. Lead Geotechnical Engineer. Geotechnical investigation for design and construction of a welded or bolted steel water storage tank with a shell height of less than 20 feet and a diameter of less than 36 feet. 4.0-MG Palm No. 3 Reservoir, Verdemont Water Infrastructure Improvements —Phase 1 Facilities, City of San Bernardino, CA. Lead Geotechnical Engineer. Geotechnical investigation for a new concrete reservoir, approximately 174 feet in diameter and 24 feet in height. Two 5.0-MG Steel Water Tanks, Plant 19A Improvements, Hesperia, CA. Lead Geotechnical Engineer. Geotechnical investigation for two new cylindrical, welded -steel water tanks, with each tank approximately 174 feet in diameter and 35 feet in height. 2.0-MG 2300 Zone East Reservoir, San Bernardino, CA. Lead Geotechnical Engineer. Geotechnical investigation for design and construction of a new concrete reservoir, 113 feet in diameter and 30 feet in height. 5.0-MG "Whitegates" Concrete Water Tank, City of Riverside, CA. Geotechnical Project Manager. Geotechnical investigation for the proposed buried reinforced concrete potable water tank located on a hilly, rocky terrain. 7.5-MG "Emtman II" Concrete Water Tank, Riverside, CA. Geotechnical Project Manager. Geotechnical update study for the proposed 200-ft diameter reinforced concrete potable water tank located on a hilly, rocky terrain. 11.0-MG "Raley" Concrete Water Tank, Riverside, CA. Geotechnical Project Manager. Supervised geotechnical update study for proposed 230-ft diameter below -grade reinforced concrete potable water tank located on a hilly, rocky terrain. 5.25-MG St. Joseph Reservoir No. 1, Arcadia, CA. Geotechnical Project Engineer. Geotechnical investigation and site -specific seismic hazard analysis for a new rectangular concrete reservoir. EVMWD Diamond Regional Sewer Lift Station, Lake Elsinore, CA. Lead Geotechnical Engineer. The project consisted of the proposed lift station consisting of 47-ft by 87-ft concrete structure with two below -grade wet wells about 54 ft deep, diesel generator, odor control system, chemical feed equipment, electrical building, pigging station, flow metering vault and all associated site yard piping and site grading. Lead for the geotechnical investigation of the project. 25B-51 5®q iomene ConwllaMb Hashmi Quazi, PhD, PE, GE - Principal-in-Charge/QA/QC Dr. Quazi has over 31 years of experience providing geotechnical engineering services and has earned a EDUCATION reputation for providing quality work in an honest and ethical • PhD, Civil Engineering, University manner, on time and within budget. Dr. Quazi provides quality of Arizona, 1987 control, budget oversight, and technical assistance on various ' MS, Civil Engineering, Arizona State University, 1982 types of projects, including pipelines, water treatment plants, BS, Bangladesh Engineering wells, pump stations, water basins and other related projects. University, 1978 Relevant Experience REGISTRATIONSICERTIFICATIONS 6651 Orange Count Water District North Basin Groundwater California, Civil Engineer, Engineer, g y E California, Geotechnical Engineer, Protection Pipeline, Fullerton and Anaheim, CA. Principal in #2517 Charge. Provided resource and budget oversight, technical review and contract management for the geotechnical observation, materials testing and inspection. The project consisted of the construction of 27,713 linear feet of PVC pipeline, jack and bore operations for steel casing of varying sizes at three separate locations and installation of fiber optic well communications for two 4-inch PVC fiber optic conduits within pipeline trench and pull boxes. Orange County Water District Groundwater Replenishment System, Fountain Valley, CA. Principal in Charge. Provided resource and budget oversight, technical review and contract management for the geotechnical observation, materials testing and inspection. The project consisted of modifying the OCWD Groundwater Replenishment System from 70 MGD to 100 MGD. The project involved the Advanced Water Treatment Facility (AWPF) expansion, and the Secondary Effluent Flow Equalization project. The expansion required the construction of several new structures, including two 7.5 MG above -ground steel storage tanks, 1,000 linear feet of 54-inch diameter pipeline, 200 linear feet of 54-inch diameter pipeline, a UV facility for installation of two new UV trains, a decarbonation tower, a lime saturator, and other modifications and upgrades. Orange County Sanitation District P1-37 Primary Clarifiers 16-31 & Related Facilities, Fountain Valley, CA. Principal in Charge. Provided resource and budget oversight, technical review and contract management for the geotechnical observation, materials testing and inspection. The project included the construction of 16 new primary clarifiers with support equipment, improvements to existing primary clarifier 6-15 and improvements to primary clarifiers 1-5. Orange County Sanitation District P1-100 Sludge Digester Rehabilitation, Fountain Valley, CA. Principal in Charge. Provided resource and budget oversight, technical review and contract management for the geotechnical observation, materials testing and inspection. The project involved the rehabilitation of 12 digesters at the OCSD Plant 1. The project was intended to repair and replace aging equipment, such as pumps, sludge grinders, heat exchangers, and piping, thus making the facilities more efficient for increased solid waste handling. It also includes 1,500 s.f. expansion of the Power Building No. 5. 25B-52 V C.m Mc nwltaM Siva Sivathasan, PhD, PE, GE, DGE, QSD, F.ASCE - Principal Engineer Dr. Sivathasan is a registered civil and geotechnical engineer EDUCATION in California, with 25 years of geotechnical and construction ' PhD, Civil Engineering, University of experience. He is skilled at analyzing complex geotechnical California, Davis, 2002 • MS, Civil Engineering, University of problems and has prepared comprehensive reports with California, Davis, 1997 detailed recommendations. He also has extensive knowledge • BS, Civil Engineering, University of of construction projects from managing geotechnical Peradeniya, Sri Lanka, 1994 observation and testing, special inspection and material testing, and Caltrans source inspection services. He has been REGISTRATIONS/CERTIFICATIONS providing these services on pipeline, water treatment plants, pump stations, wells, reservoirs and other related project ' California, Civil Engineer types. No. 63185 • California, Geotechnical Engineer No. 2708 Relevant Experience • Diplomate in Geotechnical Engineering No. 1169 Orange County Water District Groundwater ' CFR 1910.120 OSHA 8-Hour Replenishment System, Fountain Valley, CA. Project Refresher Training • CFR 1910.120 OSHA 40-Hour Manager. Responsible for geotechnical investigation and Training geotechnical observation and testing during construction. The • Nuclear Soil Density Gauge project consisted of modifying the OCWD Groundwater Certification Replenishment System from 70 MGD to 100 MGD. The project involved the Advanced Water Treatment Facility (AWPF) expansion, and the Secondary Effluent Flow Equalization project. The expansion required the construction of several new structures, including two 7.5 MG above -ground steel storage tanks, 1,000 linear feet of 54-inch diameter pipeline, 200 linear feet of 54-inch diameter pipeline, a LIV facility for installation of two new LIV trains, a decarbonation tower, a lime saturator, and other modifications and upgrades. California Water Service Pump Station 42, Los Angeles, CA. Project Manager. Responsible for geotechnical investigation and geotechnical observation and testing during construction. The project consisted of booster station upgrades at Pump Station 42 adjacent to property at 1037 North Eastern Avenue, Los Angeles, California. The concrete masonry pump building, a 4,000-gallon surge tank concrete pad, and one diesel generator pad were constructed at the site. The project included a seismic hazard evaluation to meet current applicable seismic codes. The structure loads for the proposed construction are not known at this time and are anticipated to be low. East 27t' Street Water Main Replacement, Long Beach, CA. Project Manager/Project Engineer. Provided oversight of the geotechnical observation and testing, special inspection and material testing during construction. The project consisted of replacing existing water line with 4,100 linear feet of cast iron pipe on East 27th Street, Elm Avenue, Pasadena Avenue, Linden Avenue and Via Passilo in the City of Long Beach, California. The project included the installation of various valves, service laterals and fire hydrants; reconnecting existing service lines and fire hydrant lines to the new water line; replacing existing water meters; abandoning existing water mains and service laterals. 25B-53 @C.m McmwllaM Mark Schluter, PG, CEG, CHG - Lead Geologist Mr. Schluter has 40 years of experience in applied EDUCATION engineering geology, hydrogeology and geotechnical • Graduate Studies, Engineering engineering. As a senior engineering geologist, he has Geology/Ground Water Hydrology, conducted a wide range of geotechnical studies for dams, California State University, Los reservoirs, pipelines, pump stations, treatment plants, and Angeles, 1984 groundwater studies for projects throughout California and • BS, Earth Sciences, California State Nevada. His responsibilities include supervision of field Polytechnic University, Pomona, 1979 investigations, instrumentation and providing thegeology and AA, Pasadena City College, seismic hazard evaluations for the geotechnical investigation Pasadena, 1976 study. Mr. Schluter provides supervision and project management of field services during all phases of project grading and construction. REGISTRATIONS/CERTIFICATIONS • California, Professional Geologist Relevant Experience No. 4527 • California, Certified Engineering Geologist No. 1415 Orange County Water District Groundwater • California, Certified Hydrogeologist Replenishment System, Fountain Valley, CA. Senior No.41 Geologist. Provided oversight of geological conditions and • 40-Hour Hazardous Materials Health analysis for the project. The project consisted of modifying & Safety Course, 29 the OCWD Groundwater Replenishment System from 70 CFR 1910.120, 1990 MGD to 100 MGD. The project involved the Advanced Water Treatment Facility (AWPF) expansion, and the Secondary Effluent Flow Equalization project. The expansion required the construction of several new structures, including two 7.5 MG above -ground steel storage tanks, 1,000 linear feet of 54-inch diameter pipeline, 200 linear feet of 54-inch diameter pipeline, a UV facility for installation of two new UV trains, a decarbonation tower, a lime saturator, and other modifications and upgrades. Orange County Sanitation District P1-37 Primary Clarifiers 16-31 & Related Facilities, Fountain Valley, CA. Senior Geologist. Provided oversight of geological conditions and analysis for the project. The project included the construction of 16 new primary clarifiers with support equipment, improvements to existing primary clarifier 6-15 and improvements to primary clarifiers 1-5. Orange County Sanitation District P2-90 Trickling Filters Project, Huntington Beach, CA. Senior Geologist. Provided oversight of geological conditions and analysis for the project. A new secondary treatment facility with a rated treatment capacity of 60 MGD was planned and constructed at OCSD Plant No. 2 to upgrade the sewage treatment process to meet current secondary treatment standards. The project excavation required construction dewatering due to shallow groundwater conditions, river recharge and ocean tides. The Proposed Trickling Filters Project consisted of the following major structures: Three (3) Trickling Filters with diameter of about 150-foot each, Six (6) Secondary Clarifiers with a diameter of about 135-foot each, Solids Contact Tank and Sludge Re -aeration Facility, Trickling Filter Pump Station, Blower and Power Building, Odor Control Facility and 108-in diameter Primary Effluent Conduit. Orange County Sanitation District Brookhurst P2-66, Task 3, Huntington Beach, CA. Senior Geologist. Provided oversight of geological conditions and analysis for the project. The project involved the P2-66 headworks replacement within the Orange County Sanitation District's Plant No. 2 sewage treatment facility in Huntington Beach. 25B-54 IIA- TRIADCONSULTING —h SVSTFM DFSIGN GROIIF'. I Il — EDUCATION RICHARD A. WITHERS, CPP, CMAS, CISM SENIOR CONSULTANT • M.A., Security Management Webster University, San Diego Campus, 1997 • M.A., Computer Resources and Information Management, Webster University, San Diego Campus, 1997 • B.S., Criminal Justice and Criminology, University of Maryland, University College, 1994 • Former Adjunct Professor, University of Phoenix Online, College of Criminal Justice & Security: Security Management and Criminal Justice Graduate Programs PROFESSIONAL REGISTRATIONS / CERTIFICATIONS • Certified Protection Professional (CPP), ASIS International, (#727521), 1997 • Certified Master Anti -Terrorism Specialist (CMAS), Anti- Terrorism Accreditation Board, 2007 • Certified Information Security Manger (CISM), Information Systems Audit and Controls Association, (#0404401), 2003 • Certified in Homeland Security — CHS-III, (#101568), 2003; Fellow, American Board for Certification in Homeland Security, 2015 • Infrastructure Liaison Officer (ILO), FBI - InfraGard- Los Angeles Chapter / DHS, 2010 • Infrastructure Protection Certificate, DHS - TEEX, 2017 AREAS OF EXPERTISE REPRESENTATIVE EXPERIENCE Mr. Withers is an internationally recognized subject matter expert with over 34 years of experience within the security industry. He is a Fellow, American Board for Certification in Homeland Security and Board Certified in Security Management as a Certified Protection Professional with an extensive background in Enterprise Security Risk Management; development, creation, and expansion of security policies, requirements, procedures, guidelines, specifications and organizational security architectures. His tenure as the Chief Security Officer (CSO) for several technical and Fortune 500 companies allows him to provide clients with expertise regarding security risk management, physical, personnel, privacy, project, information, and cyber security. As a retired Counterintelligence Officer, Mr. Withers provides a solid hands-on background in force protection, counter -terrorism, counter -espionage, and Technical Surveillance Countermeasures (TSCM). He served as a Deputy Federal Security Director with the Transportation Security Administration, and is thoroughly familiar with laws, mandates, and recommendation for the Department of Homeland Security along with those homeland security requirements for utilities, ports, airports, and other transportation facilities. Mr. Withers is a member of the Association of Threat Assessment Professionals (ATAP) and InfraGard, an information sharing and analysis partnership between the Federal Bureau of Investigation (FBI) and the private sector. SELECTED PROJECT EXPEREINCE UTILITIES Massachusetts Water Resources Agency, Security Assessments — Boston, MA (2019) Vulnerability assessmentof3 critical sites Security Assessment Recommendations Report Tarrant Regional Water District, Security Assessments and • Security Master Planning Security Master Plan Consulting —Fort Worth, TX (2017-2018) • Threat and Vulnerability Assessment Project Manager & Senior Security Consultant Security Organization Concept of Operations • Enterprise Security Risk Management &Security Security Master Plan Technology Convergence Vulnerability Assessments of25 Facilities • Project Management Contra Costa Water District, Security Assessments and • Counter -Terrorism / Counterintelligence / TSCM Recommendations Report— Contra Costa, CA (2017) Project Manager & Senior Security Consultant Vulnerability Assessments oft Water Treatment Plants 2 5 gk- 5 6- Recommendations Report TRvDCaNSI m RICHARD A. WITHERS, CPP, CMAS, CISM — Senior Consultant Placer County Water Agency, Security Master Plan Consulting —Auburn, CA (2016-2017) Senior Security Consultant Security Standards Development Security Master Plan Vulnerability Assessments of 68 Facilities City of Buena Park Water Department, Vulnerability Assessment & Planning,' and Security Upgrade for Boiserranc Well Consulting Buena Park, CA (2015 & 2016) Project Manager & Senior Security Consultant Vulnerability Assessment Recommendations Report Security Upgrade and Recommendations for Boiserranc Well Metropolitan Water District of Southern California, Vulnerability Assessment Update and Security Program Review Los Angeles, CA (2013 and 2018) Project Manager & Senior Security Consultant Vulnerability Assessments of 8 new or refurbished critical infrastructure sites Security Operations Review Security Plan Update Santa Clara Valley Water District, Security Planning Study Consulting —San Jose, CA (2008-2009) Senior Security Consultant District -wide site surveys and needs analysis of 23 sites New York Power Authority, Security Assessments and CIP Compliance Consulting —White Plains, NY (2008-2010) Senior Security Consultant Vulnerability Assessments NERC CIP Compliance San Diego Gas & Electric, Orange Grove Energy Project, Security Plan Development Consulting —San Diego, CA (2008) Senior Security Consultant NERC/FERC Compliance Review Security Plan Metropolitan Water District of Southern California, Task Based Security Consulting Los Angeles, CA (2006-2008) Project Manager & Senior Security Consultant Assess Remote Site Entry Control Structures Vehicle Barrier System Study Perimeter Alarm Study Institutional Key Control Study VSAT Conversion City of Beverly Hills Water Department, Security Enhancement Project Consulting Beverly Hills, CA (2006) Senior Security Consultant Site Surveys MUNICIPAL GOVERNMENT City of Portland, OR, Security Assessments and Security Master Plan Consulting —Portland, OR (2017-2018) Vulnerability Assessments of92 Facilities Security Master Plan Canyon County, ID, Vulnerability Assessments and Security Master Plan Consulting —Caldwell, ID (2017 — 2018) Senior Security Consultant Vulnerability Assessments of 18 Facilities Security Master Plan City of Temecula, CA, City -Wide Video Surveillance Plan Consulting —Temecula, CA (2017) Senior Security Consultant City Video Retention Policy City-wide Video Surveillance Plan Report City-wide Video Operational Use Analysis City of Riverside, CA, Urban Area Security Initiative Consulting —San Bernardino & Riverside, CA (2016-2017) Project Manager & Senior Security Consultant Vulnerability Assessments of71 Facilities Entry ofAssessments into the California Common Operating Picture (CaICOP) Software Platform. City of Riverside, CA, Urban Area Security Initiative Consulting —San Bernardino & Riverside, CA (2018 present) Project Manager & Senior Security Consultant Vulnerability Assessments of 105 Facilities Entry ofAssessments into the California Common Operating Picture (CalCOP) Software Platform. Riverside County, CA, Task Based Security & Technology Consulting —Riverside, CA (2015 —2018) Board of Supervisors Chamber Technology Upgrades Riverside University Health System o Vulnerability Assessment ofRUHS Main Hospital and Campus — Moreno Valley, CA o Physical Security Recommendations for 15+ RUHS Off -Campus Projects Transportation & Land Management Agency o Security Assessmentof20TMLAlocations o Recommendation Reports PROFESSIONAL AFFILIATIONS • Anti -Terrorism Accreditation Board (ATAB) • ASIS International ♦ Co -Chairman (2015 & 2016), Security Applied Sciences Council ♦ Past Chairman (2004 & 2005), Information Technology Security Council • Association of Threat Assessment Professionals (ATAP) • FBI - InfraGard • Information System Auditing and Controls Association QSACA) • Information Security Systems Association (ISSA) • Marine Corps Counterintelligence Association (MCCIA) ♦ Vice -Chairman of the Board (2014 —Present) 25gk-56 TawDCaN MU BEVAZ & PATEL, INC. Subhash Patel, PE, SE Project Manager 10920 Via Frontera, Suite 210 San Diego, CA 92127 (858) 451-0374 Beyaz & Patel EXHIBIT C Beyaz & Patel E hme Hng expercz emce 1975 November 14, 2019 Mr. Rudy Rosas CITY OF SANTA ANA 215 Center Street, Building Santa Ana, CA 92703 10920 Via Frontera Suite 210 San Diego, CA 92127 (858) 451-0374 phone w .beyazpatelxom O w Jacebookcom/beyazpatel © #beyazpatel Subject: Cost Proposal for Engineering Services for Seismic And Structural Assessment of the City's Potable Water Storage Reservoirs Dear Mr. Rosas: Please accept our rate sheets. Regards, Beyaz & Patel, Inc. Subhash Patel, PE, SE President and Principal Structural Engineer r 25B-59 BEYAZ & PATEL, INC. HOURLY BILLING RATE SCHEDULE Fiscal Year 2019 Professional Classification Principal Engineer Senior Structural Engineer Senior Engineer Engineer Technical Classification CAD Designer Administrative Classification Clerical/Word Processing Hourly Billing Rates $241.00 $209.00 $164.00 $137.00 $130.00 $75.00 Notes: 1. Hourly billing rates are adjusted annually at the beginning of the fiscal year. 2. Other Direct Costs will be billed at cost. 3. Mileage will be billed at Federal standard mileage rate. 25 B-60 Beyaz & Patel, Inc. EXHIBIT 2 AGREEMENT TO PROVIDE ENGINEERING SERVICES FOR SEISMIC AND STRUCTURAL ASSESSMENT OF WATER STORAGE RESERVOIRS THIS AGREEMENT is made and entered into this 7th day of April, 2020 by and between Richard Brady & Associates, 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 October 15, 2019, the City issued Request for Proposal No. 19-105, by which it sought qualified contractors to provide engineering services for the seismic and structural assessment of the City's potable water storage reservoirs. B. Contractor submitted a responsive proposal that was among those selected by the City. Contractor represents that it is able and willing to provide the services described in the scope of work that was included in RFP No. 19-105. 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 At the City's sole discretion, Contractor shall perform the services described in the scope of work that was included in RFP No. 19-105 and that is attached as Exhibit A, and as further delineated in Contractor's proposal, which 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. Contractor is one of three contractors selected to provide services on an as -needed basis under REP No. 19-105. The total compensation for services provided by all contractors selected under REP No. 19-105 shall not exceed the shared aggregate amount of $625,000 during the term of this agreement, including any extension periods. 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. 2=�`1 3. TERM This Agreement shall commence on the date first written above and terminate on April 6, 2023, 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. 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. 2'C2 7. INSURANCE Prior to undertaking performance of work under this Agreement, Contractor shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Contractor shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Contractor's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the California Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self-insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. If Contractor is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by Contractor pursuant to this section: (i) Contractor shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be 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. 2=93 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. 1►11 a 1►I y I ► 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 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) 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 To Contractor: Richard Brady & Associates, Inc. 2655 Camino Del Rio North, Suite 100 San Diego, CA 92108 Attn: Richard Brady 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 similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. 17. TERNIINATION 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-DISCRINIINATION 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. 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 gy.. J n M. Funk Assistant City Attorney RECOMMENDED FOR APPROVAL Nabil Saba Acting Executive Director Public Works Agency CITY OF SANTA ANA Kristine Ridge City Manager CONTRACTOR Name: �Z IcI}A�D g12R0�r Title: C D Page 8 of 8 25B-68 EXHIBIT A SCOPE OF WORK INTRODUCTION AND BACKGROUND The City of Santa Ana is located in the County of Orange in Southern California. The City encompasses 27.2 square miles and a population over 343,000 people. The City of Santa Ana Public Works Agency— Water Resources Division oversees and maintains the daily operations of the Water System and Sanitary Sewer System. The City of Santa Ana's water system has an average day demand of about 43 MG with 45,000 services. It is comprised of approximately 478 miles of water main, 45 MG of storage at 5 sites, 7 MWD connections, 21 groundwater wells, 7 pump stations, 4 pressure regulating stations and utilizes 2 pressure zones Per the City's most recent Master Plan dated 2017, the City has seven locations with ground level storage tanks and one elevated storage tank. Three of the reservoirs are steel tanks and the remaining seven are concrete tanks. There are three storage tanks (reservoirs) at the John Garthe site. The following table has combined these three reservoirs at the John Garthe site to form one reservoir with an equivalent diameter to represent the total storage volume available at the site. Cambridge Concrete 1.3 1 Variable 17.2 Area Crooke Concrete 6.0 1 Variable 21 Area John Garthe Concrete 15.8 3 277 35 South Concrete 6.0 1 219 22 Walnut Concrete 7.0 1 Variable 22 Area The City is soliciting proposals from qualified professional consulting firms to provide engineering services to evaluate the concrete reservoirs only. The City shall select one firm to provide these services. The City has budgeted $625,000 in study and design funds for this purpose over a five year period. DESCRIPTION OF PROJECT The Consultant's scope of services shall include the following tasks: Task 1 - Proiect Management: The Consultant shall conduct a kickoff meeting with the City to discuss the goals and objectives for the project. At this kickoff meeting, project reporting/communication protocols will be City of Santa Ana - RFP 19-107 ENGINEERING SERVICES FOR SEISMIC AND STRUCTURAL ASSESSMENT OF THE CITY'S POTABLE WATER STORAGE RESERVOIRS 25B-69 established, a project schedule will be provided and key issues will be discussed to establish the project guidelines. Consultant will prepare and lead all meetings and provide meetings minutes. The Consultant shall conduct at least four project team meetings throughout the project duration and include key City staff as well as key sub consultants/contractors. The Consultant shall submit an initial schedule with pertinent milestones for the major tasks involved in the Project. The schedule shall be updated monthly, or more often, as required. Task 2 — Preliminary Engineering Services: It will be incumbent upon the Consultant to find and review all records, including, but not limited to the previously referenced "as -built" drawings and the most recent dive reports, if any. The Consultant shall also conduct interviews with appropriate City engineering and operations staff. City staff will assist in the records search as time permits. Task 3 — Field Inspection Services The Consultant shall provide all labor, equipment, materials and incidentals necessary to perform inspection of the interior and exterior of the existing reservoirs, including reservoir appurtenances. Investigation will include exterior observation of above grade walls, roof and appurtenances, may require the exposing of the existing pre -stressing, where required, (Contractor or registered engineer will need to specialize in the appropriate AWWA requirements for the type of tank) and determined by visual inspection and shotcrete sounding based on areas showing signs of possible distress. Extreme care shall be taken not to damage the existing prestressing when removing any material. Any areas that are chipped will be patched within 24 hours with appropriate material. Interior inspection will include observations of the floor, walls, any exposed footings, underside of roofs, pipes, appurtenances and confirmation of as -built tank dimensions (wall height and inside diameter). Inspections will be conducted while the reservoir is drained where applicable. A separate inspection while the reservoir is in operation with water up to the maximum operational level present in the tank. The Consultant shall provide its own small boat or inflatable raft for use in entering all tanks where water is present. When entering confined spaces, the Consultant shall meet all safety requirements in accordance with Cal -OSHA, Title 8, General Industry Safety Orders, Group 16, Article 108 (Confined Space Entry), Group 26 (Diving Operations), Article 152, 153 and other applicable sections. All Consultant staff entering the reservoirs must be certified in Confined Space Entry and follow any California Department of Public Health (DPH) requirements and American Water Works Association (AWWA) standards pertaining to disinfection of personnel entering potable water reservoirs. Where diving is required, the Consultant shall meet all applicable safety requirements and DPH and AWWA standards. Conduct pH testing of the concrete in sufficient locations to make an appropriate engineering judgment of its condition. City of Santa Ana - RFP 19-107 ENGINEERING SERVICES FOR SEISMIC AND STRUCTURAL ASSESSMENT OF THE CITY'S POTABLE WATER STORAGE RESERVOIRS 25B-70 Remove samples of sealants, joint compounds, steel pipe coatings, and any other coatings where appropriate, to determine if they contain lead, chromium or zinc in levels exceeding allowable limits addressed in Title 22 of the California Code of Regulations . Evaluate the condition of any observed concrete cracking or spalling, particularly in areas where there may be exposed rebar. Mark and photograph non -hairline cracks (wide enough to stick a dime in) using NSF 61-approved paint. Note areas in each reservoir where corrosion is evident, especially where exposed rebar is present. Determine whether existing sacrificial cathodic protection anodes in those areas are sufficient to deter corrosion. If not, make appropriate recommendations for additional cathodic protection, if warranted. As part of this investigation, the Consultant shall conduct an initial assessment of visually observable corrosion, and if warranted, perform the following tests to better define the extent of the problem and make appropriate mitigation recommendations: Electrical continuity tests using exposed reinforcing steel to record reinforcing steel -to - concrete potentials . 2. Electrical resistivity tests to determine the voltage difference between existing exposed rebar and other nearby sections of exposed rebar per ASTM C876. 3. Penetrating radar half -cell tests. 4. pH and chloride testing of spalled concrete or other samples that may be gathered if no spalled concrete samples are present. 5. For partially buried reservoirs, consider soil sampling around the tanks to determine potentials at the tank perimeter. Task 4 — Engineering Services The Consultant shall prepare a seismic, structural and corrosion and security assessment master report of the concrete reservoirs. Seismic & Structural Element: The evaluations shall be site specific and include a full review of the original design plans for each reservoir as well as take into consideration all conditions identified in Task 3. The report shall include analysis of whether or not the reservoirs meet current civil, structural and seismic design standards including ASCE 7 (Minimum Design Loads for Buildings and Other Structures), ACI 318 (Building Code Requirements for Structural Concrete), ACI 350 (Code City of Santa Ana - RFP 19-107 ENGINEERING SERVICES FOR SEISMIC AND STRUCTURAL ASSESSMENT OF THE CITY'S POTABLE WATER STORAGE RESERVOIRS 25B-71 Requirements for Environmental Engineering Concrete Structures) and the CBC (California Building Code) as applicable to the design and/or retrofit of potable water storage reservoirs. The Consultant's analysis shall take into account all structural components including floors, walls, columns, roofs and the entire tank lid including all entry portals. Report on the condition of expansion joints and sealants. Report on the condition of all appurtenances including floats, overflow piping, inlet and outlet piping, drains, ladders, etc. Recommend locations for destructive (core samples) testing of reservoirs with applicable analysis types. Upon approval from the City, commence with testing and proper repairs for the sample being selected. If non-destructive methods of testing can be recommended as alternatives, please provide a comparison with the corresponding core sample test and the advantages and disadvantages of one test over the other. Consultant shall perform a reservoir freeboard evaluation using both the current ASCE 7 requirements and the current requirements of AWWA D110. Compute and recommend safe water level recommendations based both on freeboard equations and the structural conditions of the tank walls. Corrosion Assessment Element: Once the initial corrosion assessment has been completed and appropriate additional testing, where warranted, has been performed, the Consultant shall prepare a "repair strategy" with budget -level construction costs for mitigating existing and anticipated corrosion problems in the reservoir, which shall include a report on the conditions of the coatings protecting all steel appurtenances (e.g., inlet/outlet, overflow and drain piping, etc.). That strategy shall include appropriate recommendations for replacing coatings, replacing corroded metal appurtenances with fiberglass, polyethylene, PVC, polypropylene or FRP appurtenances, and/or adding cathodic protection as needed. Security Assessment Element: Prepare an overview assessment of reservoir tank security. This assessment shall include an overview of the adequacy of existing tank security measures including padlocks, fencing, gates, tank vents, access points, hatches, cages and cameras and shall include recommendations to upgrade due to age or foreseen failure. This assessment is not intended to provide an exhaustive and detailed evaluation of other security apparatus. Summary of Conclusions and Recommendations: The Consultant shall provide a baseline evaluation that summarizes the general condition of all the reservoirs considered in this study. The conclusions shall prioritize any deficiencies found based upon consequence of failure and likelihood of failure criteria. This shall be done on a system wide level (all reservoirs evaluated) as well as on a site specific level. Any recommended City of Santa Ana - RFP 19-1C7 ENGINEERING SERVICES FOR SEISMIC AND STRUCTURAL ASSESSMENT OF THE CITY'S POTABLE WATER STORAGE RESERVOIRS 25B-72 repairs or retrofits shall require methods of rehabilitation, design criteria and baseline structural criteria. In the event that the Consultant finds that the reservoirs do not meet current structural and seismic codes, the following recommendations, at a minimum, shall be provided: Appropriate upgrades to bring the reservoirs into compliance, and Appropriate safe water levels and roof loads in current condition before repairs can be accomplished. The Consultant shall provide preliminary estimates for all recommended repair work with a schedule/timeline for when the repairs should occur and in the order in which they should occur. In those instances where it is not economically practical to upgrade a reservoir to meet the previously referenced codes and standards, the Consultant shall prepare: 1. A preliminary level cost opinion for replacing the storage facility. 2. A narrative on the constructability issues associated with any newly proposed storage facilities. 3. A preliminary estimated time of construction for each newly proposed storage facility. Design Element: If requested by the City, the Consultant shall provide final engineering design services for the appropriate recommended repair work from the reservoir assessments. The Consultant shall consider this element as part of the cost proposal and have the ability to provide these services. The Consultant shall provide any necessary site work, foundation design or repair elements, structural support, coatings, related mechanical or electrical work to provide a complete repair design. The Consultant's scope for this piece will generally include the following: The Consultant will provide a geotechnical report of the site where required by a licensed geotechnical engineer. The Consultant shall prepare all necessary bid documents including all civil, structural, mechanical or electrical work as required to provide a complete project. The City shall provide the boilerplate specification to the Consultant. 3. The Consultant shall manage a pre bid meeting when requested. City of Santa Ana - RFP 19-107 ENGINEERING SERVICES FOR SEISMIC AND STRUCTURAL ASSESSMENT OF THE CITY'S POTABLE WATER STORAGE RESERVOIRS 25B-73 4. The Consultant shall provide bid support services including responses to bidder requests for information (RFI), addendums, etc. 5. The Consultant shall provide construction engineering services for review and approval of submittals, responses to RFI's, as -builds and construction meetings when requested. Task 5 — Value Added Services The Consultant is invited to identify any additional tasks, inspections, or other services that the Consultant feels should be considered as part of this scope of work. If any value added services are identified, the Consultant shall provide a description of the item as well as a cost associated with this item. The cost will not be considered part of the base fee during the evaluation of the proposals, but may be added at the City's discretion upon award of a contract. ---End of SCOPE OF WORK Section.— City of Santa Ana - RFP 19-107 ENGINEERING SERVICES FOR SEISMIC AND STRUCTURAL ASSESSMENT OF THE CITY'S POTABLE WATER STORAGE RESERVOIRS 25B-74 3 RICHARD BRADY B ASSOCIATES, INC. Prepared for: Rudy Rosas, P.E. Principal Civil Engineer 2655 Camino Del Rio N. Suite 100 San Diego, California 92108 Phone: (858) 496-0500 www.richardbrady.net OF SANTA ANA 215 S. Center Street, Building A Santa Ana, CA 92703 25B-75 WHY CHOOSE BRADY? • BRADY's Proposed Project Manager, Richard Brady, P.E., BCEE, is one of the most experienced reservoir rehabilitation design experts in the United States with more than 150 million gallons of water storage tank experience in Southern California alone. • Richard Brady began his career at James M. Montgomery (JMM) Consulting Engineers in 1980. Mr. Brady is intimately aware of JMM concrete reservoir designs, (Crooke, Cambridge, South, and Walnut Reservoirs) • BRADY Vice President Max Dykmans, P.E., S.E., is the former Owner of DYK Incorporated (now called DN Tanks) and has been involved in thousands of individual prestressed concrete reservoirs during his decades at DYK, (John Garthe Reservoirs) • BRADY's Corporate resume exceeds 500 million gallons of reservoir projects in individual sizes from 250,000 gallons to 52 million gallons. • BRADY's concrete reservoir rehabilitation experience includes all types: conventionally reinforced concrete and prestressed concrete, and all shapes: circular, rectangular, square, and custom shapes. • Lee Biggers, P.E., S.E., is a BRADY Vice President and leads our Structural Engineering Group. Lee has more than 45 years of experience in concrete reservoir rehabilitation up to 21.5 MG. • BRADY's lower overhead structure will deliver cost competitive engineering services, with unmatched quality and experience. (Alvarado WTP - 2 x 21 MG & 1 x 35 MG Prestressed Concrete Reservoirs) 091 lm��Js ` RICHARD BRADY &ASSOCIATES, INC. 25B-76 CONTENT A. COVER LETTER 1 ................................................................................................ B. ................................................................................................ AGREEMENT STATEMENT 3 C. FIRM AND TEAM EXPERIENCE 4 ................................................................................................ D. ................................................................................................ UNDERSTANDING SCOPE OF SERVICES 7 E. ................................................................................................ RELEVANT PROJECT EXPERIENCE 13 F. ................................................................................................ REFERENCES 15 APPENDIX 17 5MG Circular Prestressed Concrete Reservoir Inspection, City of Fountain Valley, CA Max Dykmans, P.E., S.E.; Richard Brady, P.E., BCEE; R. Lee Biggers, P.E., S.E.; Randy Smith, Jacob Finkler, P.E. (From left to right) 0 RICHARD BRADY &ASSOCIATES, INC. 25B-77 ALL SPECIFIC RFP QUESTIONS ANSWERED ON ONE PAGE! A. Cover Letter • Richard Brady, P.E., BCEE and BRADY CEO is the authorized representative who can make legally binding commitments for BRADY. • BRADY's type of business entity is a C Corporation. B. Agreement • BRADY takes no exceptions to the City's Standard Agreement. C. Firms and Team Experience • Richard Brady, P.E., BCEE will serve as the project manager/principal agent. • George Murdoch will be in charge when Richard Brady is unavailable. • Key personnel include Max Dykmans, P.E., S.E., Lee Biggers, P.E., S.E., Amanda Del Bello, P.E., Jacob Finkler, P.E., Howard Johnson, Ryan Nishimura, P.E., and George Murdoch. • Firm size is 55 employees. We are pleased to report we don't have 90,000 employees and we're not listed on the New York Stock Exchange. • Richard Brady & Associates (BRADY) is a professional services organization where our reputation is our number one priority. Clients get "roll up the sleeves" customer service the old-fashioned way, where we place client satisfaction above quarterly profits. BRADY is not a bottom line driven organization. • Richard Brady will be the primary contact person to represent BRADY. D. Understanding Scope of Services • BRADY strongly believes that concrete reservoirs from the 20th century can be rehabilitated and salvaged at a cost much lower than replacement. A concern that the City should be aware of is that large consulting firms don't share this philosophy because of their corporate desire to assume zero risk. It is less risky to design a replacement reservoir over rehabilitation. BRADY seeks tofind maximum valueforour clients where being cost conscious is a major driver. E. Relevant Project Experience • BRADY's resume for completing similar assignments in the past 5 years in southern California is unmatched by any other firm, regardless of their size. F. References • This is BRADY's strong point. We know our clients will provide rave reviews for our past performance. We encourage you to call every reference we have provided. RICHARD BRADY &ASSOCIATES, INC. 25B-78 A. COVER LETTER November 14, 2019 Mr. Rudy Rosas. P.E. Principal Civil Engineer City of Santa Ana Public Works Agency 215 S. Center Street, Building A Santa Ana, CA 92703 Subject: Engineering Services for Seismic and Structural Assessment of the City's Potable Water Storage Reservoirs — RFP No. 19-105 Dear Mr. Rosas, Richard Brady & Associates, Inc. (BRADY) is pleased to submit this proposal to provide Engineering Services for Seismic and Structural Assessment of the City's Potable Water Storage Reservoirs. BRADY will provide the City of Santa Ana with a team of highly skilled, Southern California - based professionals committed to providing responsive service and successful project execution. Our team brings a wealth of relevant past experience that will directly benefit the City in the performance of these seismic and structural evaluations. Our staff has worked on more than 100 reservoir projects exceeding 500 million gallons in total water stored. Given the importance of this project to BRADY, I (Richard Brady. P.E., BCEE) will serve as the Proiect Manager for this assignment. When including the resume of BRADY Vice President Max Dykmans. P.E.. S.E.. to mine, our reservoir resume is unmatched by any firm in the United States, including any firm in the ENR Top 50. Max is the former Owner of DYK Incorporated (now called DN Tanks). He is well known throughout the industry as an expert in reservoir design, construction, and rehabilitation and has been involved in thousands of individual reservoirs during his decades at DYK. His experience will be invaluable for the review of the City's prestressed concrete reservoirs (the John Garthe 5 MG twin reservoirs) and the circular 6 MG South Reservoir (Pritzker design). Our niche is in the water market with a specialized emphasis on water storage projects. Our projects have been completed in partnership with a diverse range of public interest organizations, regulatory agencies, corporate stakeholders, and active local community interest groups. Projects have been located in a variety of environments, from populated beach communities to rural parts of Southern California. BRADY has unmatched and extensive knowledge of reservoir design and construction, as not only RICHARD BRADY &ASSOCIATES, INC. 25B-79 are we a designer of reservoir projects, we also possess a State of California Class A contractor's license (#778834) and have completed numerous design -build reservoir projects as the General Contractor. Ouroutstandingservice and reputation in Southern California area resultof successfully completing challenging reservoir were contacted by Vista Irrigatioi their critical 5.0 MG prestressed in 1961. The external gunite coating had spalled in several areas at the base of the tank, allowing corrosion and failure of the external wrapping wire (see photos). designs, construction and rehabilitation projects. In 2017 we i District (VID) regarding a serious structural issue with one of concrete reservoirs constructed With the failure of the 5.0 MG Westminster Reservoir in 1998 forever in the memories of firms working in the reservoir design and construction business, we immediately advised VID to take the tank out of service and commenced an evaluation of the structural integrity of the 55-year-old reservoir. We developed a rehabilitation plan that BRADY performed under a sole source contract as the General Contractor and Designer of Record for $3,490,000, with the primary purpose to return this reservoir to service as soon as possible. The work was completed in less than 9 months, roughly twice as fast as that would be achieved through a design - bid -build execution model. The project was deemed a huge success for VID. and as result they contracted BRADY for a second similar 5.0 MG reservoir rehabilitation project. that is currently underway at a sole -sourced contract cost of $6,317,331 (see photo below). For further proof that BRADY is southern California's leader for the rehabilitation of concrete tanks, the City of Upland chose BRADY over all other firms in the industry to assess their existing 7.5 MG Reservoir 15 in November 2016. The existing Reservoir 15 is a "Pritzker Tank" (a form of a prestressed concrete reservoir similar to Santa Ana's South Reservoir) built in the mid-1970s. It is similar in construction to the 5.0 million -gallon Pritzker tank that failed catastrophically in Westminster, CA. Due to this unfortunate design similarity and because the tank is completely exposed at grade, the City made the decision to build a new reservoir adjacent to the existing reservoir. BRADY designed the new 7.5 MG replacement reservoir that will begin construction in 2020. In the meantime. the City hired BRADY via a sole source contract to install a number of 7-wire strand "belts" around the entire reservoir as a precautionary move given the new tank won't be in service for up to two years (see photos below). M ' � _ . __-- RICHARD BRADY &ASSOCIATES, INC. Lee Biggers, P.E.. S.E.. BRADY Vice President and head of our Structural Engineering Group will serve as our Proiect Structural Engineer. Mr. Biggers has more than 45 years of structural engineering experience on a vast number of reservoir projects, many of which involved concrete tanks similar to the City's tanks to be studied in this contract. This experience includes the award winning 21.5 MG Overmyer reinforced concrete reservoir rehabilitation project for the City of Huntington Beach. In addition, Lee is thoroughly versed in and knowledgeable of all current building codes and regulatory structural requirements. Howard Johnson, BRADY Executive Vice President and former Utilities Manager for the City of Huntington Beach, will serve as our Technical Advisor on this project. Howard has over 30 years of "hands on" experience with operating distribution systems and reservoirs, and therefore is an invaluable asset for an assignment like this. George Murdoch, BRADY's Orange County Office Manager and former Utilities Manager for the City of Newport Beach, will serve as our Quality Assurance Manager (QAM) on this project. Like Howard, George has over 40 years of "hands on" experience with operating distribution systems and reservoirs, and therefore is also an invaluable asset for an assignment like this. Both Howard and George have the operator's perspective in mind, and are well known and respected throughout the Los Angeles and Orange County water industry. As requested in the RFP, I, Richard Brady, am the authorized representative who can make legally binding commitments for BRADY. BRADY is a C Corporation. We look forward to the opportunity to serve the City of Santa Ana and its project management staff and operations staff. If you have any questions regarding our proposal, please contact me directly at 619/701-1956 or by email at rbrady@rbrady.net. Sincerely, CEO RCE#36175 B. AGREEMENT BRADY has read and understands the City Professional Services Agreement. BRADY is prepared to sign an agreement that includes indemnification and hold harmless language. BRADY has not identified any issues related to the Professional Services Agreement. RICHARD BRADY &ASSOCIATES, INC. 25B-81 C. ORGANIZATIONAL CHART ALITYASSURANCEI I PROJECT MANAGER I I TECHNICAL ADVISOR UALITY CONTROL George Murdoch I I Richard Brady, PE, BCEE F-1 Howard Johnson ASSISTANT PROJECT MANAGER Amanda Del Bello, P.C. ELECTRICAL TRUCTURAL / SEISMIC EVALUATIONS Ryan Nishimura, PE R. Lee Biggers, PE, SE INTERIOR CONDITION SSESSMENT / DIVE TEAM Jacob Finkler, PE Joel Reyes Amanda Del Bello, PE Garrett Murawsky, PE Randy Smith E SURVEY GEOTECHNICAL REPORT CORROSION ASSESSME Coast Survey Nick Coates NOVA Services *Resumes for each BRADY team member can be found in Appendix A. V&A Engineering n flf RICHARD BRADY &ASSOCIATES, INC. 25B-82 a C. CONSULTANT TEAM KEY YEARS DEGREE(S) REGISTRATION ROLE EXPERTISE ERSONNEL Reservoirs; civil Richard Brady BS Civil PE 39 Project Manager engineering; value Engineering BCEE engineering; project management. MS Structural Interior Reservoir design; Jacob Finkler BS Civil PE 11 Assessment & structural engineering; Engineering Dive Engineer civil engineering Seismic and structural Lee Biggers BS, MS Civil pE, SE 45 Structural engineering; Engineering Engineer reservoir design and rehabilitation Grade V Water Distribution; Grade II Water quality Assurance/ George Murdoch Treatment; 40 QA/QC Manager Quality Control AW WA Grade III Water Distribution Assistant Project Amanda MS Civil Manager Reservoir design; Del Bello BS Civil PE 10 / Interior structural engineering; Engineering Assessment & civil engineering Dive Engineer Garrett MS Civil Murawsky BS Civil PE 4 Civil / Design Design Production Engineering Joel Reyes 40 CADD Section Design Production Manager BS Electrical Electrical Electrical Design, Ryan Nishimura Engineering PE 20 Engineer SCADA, I&C Start-up& Testing Reservoir and BA Business State License water treatment Howard Johnson Administration Water Treatment 35 Operations plant operations Operator and maintenance; hydraulics. C RICHARD BRADY &ASSOCIATES, INC. 25B-83 C. SUB -CONSULTANTS BRADY is both an engineering firm and Class A general contractor. BRADY has the capacity to perform all of the design work using our in-house design disciplines. Subcontractors will include: NOVA COAST SURVEYING, INC. ._A V&A consulting engineers C Coast Surveying, Inc. has provided land and engineering surveying services throughout Southern California for the past 38 years offering a broad range of surveying services that includes Construction Layout, Design Surveys, Aerial Mapping, Property Related Surveys and Structural Monitoring Surveys. Current and recent clients include the City of Los Angeles, LA Metro, SCRRA, Caltrans, US Navy, OCTA, LAWA, the counties of Orange and Los Angeles, and numerous municipalities. Coast Surveying has a proven track record of providing the surveying services on schedule and within budget. At Coast Surveying we pride ourselves on our depth of surveying experience, our accessibility, our accountability and our responsiveness. Coast Surveying is a Certified DBE/SBE firm and operates from a single location in Tustin, California. Coast currently employs 28 people, 5 of who are professional licensed surveyors. V&A Consulting Engineers, Inc. (V&A) is a consulting firm founded upon corrosion engineering and condition assessment as core disciplines in May 1979. V&A has earned a national reputation as a company providing comprehensive and specialized services to assist utility owners with evaluating, rehabilitating, and preserving municipal infrastructure assets. We provide the information utility owners need to make smart decisions Ibased on the data we collect in the field. We have completed several pump station condition assessment projects for water and wastewater systems throughout California. V&A is made of professionals passionate and dedicated to this practice and has the necessary experience and breadth of resources to successfully tAk RICHARD BRADY &ASSOCIATES, INC. 6 D. UNDERSTANDING SCOPE OF SERVICES Though no project can follow a "cook book" approach, there are many things we've learned over the years that form the basis of our initial thinking for reservoir rehabilitation projects. The critical and/or unique elements of this project are significant but not unusual. As noted above, we view reservoir projects as civil engineering designs with a hydraulic emphasis. If you don't get the hydraulics right, everything else falls apart. We take understanding existing hydraulics very seriously, and recognize it as and one of the most important aspects of a reservoir rehabilitation design. Our experienced structural team has successfully rehabilitated concrete tanks up to 21.5 MG. We have found what makes a reservoir project unique are the hydraulic considerations and ensuring water reliability and water quality. Items we address in our assessment of the pros and cons for each alternative include: 1. Hydraulic considerations. How does the reservoir function with the entire system? 2. How is flow distribution within the reservoir handled? 3. How is water quality assured by proper distribution and mixing over a continuous period? 4. How can we assure reservoir turnover to manage the "age of water"? 5. Access for operations and maintenance: How do we assure safe access, where do we locate new hatches, and how do we provide adequate ventilation and lighting? For example, BRADY strongly recommends that internal stainless steel stairs be installed to eliminate the need to scale a 20 to 30- foot ladder, no matter how many safety measures are provided. We strive to eliminate any way a person can be injured by entering a reservoir. 6. Overflow and drainage. Where does overflow discharge to? How is drainage of the reservoir satisfied? Designing for the City's O&M personnel is a critical success factor and BRADY will work closely with the City's O&M staff. Though it may be a functional solution to a problem, a project is often considered a failure by the designers in hindsight if the needs of O&M are not thoroughly satisfied. In addition to the technical approach, a well thought out management approach is the other side of the balance beam. We know from our long history in the water business that schedule and budget compliance are critical success factors. We know the City has the public to answer to, and there is nothing worse than going over budget or long on schedule which means going back to the City Council. Making sure we don't go down this path begins with a clear understanding of the project's scope and the City's specific requirements, the assembly and commitment of an experienced team along with all necessary resources, establishment, monitoring, and maintenance of the project's deliverables within set parameters, which includes schedule and budget, and RICHARD BRADY &ASSOCIATES, INC. 25B-85 execution of the work with all appropriate levels of review to ensure that the project's delivery meets the standards and expectations of the City. All of the City's reservoirs to be studied under this contract have lived long lives and have served the City well for many decades. The City's reservoirs were once state of the art and very commonly used throughout the Southern California region. Each of these design solutions lasted well into the 1990's and early 2000's for small to medium sized tanks, surviving many earthquakes. For example, the 20 MG Alvarado Regulating reservoir design of 1946 and the 35 MG Earl Thomas reservoir design of 1955, both located at the City of San Diego's Alvarado Water Treatment Plant, were "state of the art" for their era, but could not stand the test of time. Given their extreme poor condition, there was no alternative to demolition and replacement. The demolition and replacement of these two large reservoirs were designed by our Project Manager, Richard Brady, P.E., BCEE. We have successfully met this challenge before in an award -winning way. We were able to squeeze 42 MG of new storage in the existing 20 MG footprint by raising the HGL by 1 1. Alvarado WTP, 1950s, 20 MG and 35 MG Reservoirs 2. 20 MG Regulating Reservoir, 1992, roof in distress 3. Demolition, sloped walls, gunite removed 4. Subgrade forthetwo new 21 MG Reservoirs 5. Floor slab underway, shoring in place 6. West Reservoir accelerated construction 7. 75%complete, West Reservoir (right side of photo) S. 90%complete, West Reservoir (right side of photo) 9. West Reservoir placed into service (right side of photo) 10. Project completed, APWA 1995 National Project of the Year for the United States (all projects), $25M or less r foot, and lowering the bottom by 20 feet. This project from start to finish can be seen in the progressive photos below. The time has come to rehabilitate the City's reservoirs with 21st century design standards and to comply with today's structural design codes that continue to evolve, typically after the most recent devastating earthquake (Northridge, 1994). How this project turns out will depend on how we make the key decisions together. Resolving these issues in a timely and cost-effective way is the "BRADY sweet spot". We always search for the easiest solutions to a problem and follow the path of least resistance. Where Reservoir Projects Go Wrong? — the BRADY Focus 1. Any potential environmental issues are not resolved in advance. Keeping promises is critical. 2. Hydraulics. Reservoirs and associated pump stations are actually attempts to solve a hydraulic problem — how to deliver water in the desired quantity and pressure, all of the time. 3. Overflow events. The amount of water released in an overflow can be significant, and substantial downstream damage can occur to private properties unless this hydraulic issue is thoroughly understood. 4. Confined spaces/safety. As noted previously, it is always important to consider the safety of Operations and Maintenance (O&M) staff during the design. It is our desire to minimize confined spaces at all times, but when unavoidable, to provide superior means of ingress and egress such as internal and external stairs to provide the best design for those tasked with O&M of a facility. The existing reservoirs are actually very large confined spaces, any improvements we can make to improve access and safety is worth the exercise. 5. A study of "unintended consequences" should be a part of the early planning process. Taking facilities even partially out of service that currently perform an essential daily water supply function is never as easy as it sounds. We know from our long history working on very similar projects, it is imperative to "keep the water flowing". We know that every activity requires the development of a detailed sequence of events to show how the work will be performed in the most expeditious method possible, with the most important component — the contingency plan — in the event assumptions do not turn out as planned. 6. We strongly believe that the City's existing reservoirs are ideal candidates for complete rehabilitation, at a cost considerably less than constructing a new tank. BRADY has completed many "tank within a tank" projects, most notably the 21.5 MG Overmyer Reservoir for the City of Huntington Beach. The reservoir roof was removed, columns were reinforced, a new wall and floor were placed on the inside of the existing reservoir to act as "form work". We replaced the roof and returned 21.5 MG to service at a cost of $6.6M, which was a staggering savings to the City. Most recently, in a design/build sole source contract for Vista Irrigation District, we rehabilitated a 5.0 MG reservoir that was built in 1961. We completed the project at Y2 the cost of a new tank, in Y2 of the time. Photos of other "before" and "after" photos are shown on the following page. 0 RICHARD BRADY &ASSOCIATES, INC. 9 25B-87 Methods BRADY will use to execute our approach: 1. Conduct the kick-off meeting the day following the notice to proceed. This meeting will be in a workshop format between all BRADY staff assigned to this project and City of Santa Ana engineering and operations and maintenance staff. Roles and responsibilities will be defined; system hydraulics will be reviewed in sufficient detail to eliminate any assumptions; project objectives will be identified as target goals that must be met; and all critical path items will be identified. 2. As it stands now, we see the critical path items as follows: a) Research and documentation of existing conditions and utilities. BRADY will conduct a site reconnaissance of each site and appurtenant facilities with City personnel. This task will serve to inform the team of logistical considerations, site layout constraints, utility locations (both above ground and underground), and other concerns. The BRADY Team will corroborate data on existing plans to confirm preliminary plans, layouts, locations of utilities, improvements and other related facilities. b) If necessary, BRADY is prepared to conduct dive inspections with our two certified structural engineer/divers, Amanda del Bello, P.E., and Jacob Finkler, P.E. (photos below) c) Confirming all hydraulic assumptions. d) Reviewing our new geotechnical studies to confirm reservoir structural seismic design criteria. e) Completing the seismic review of the existing designs is a key decision point. Understanding how we will bring the existing reservoirs "up to code", perhaps installing baffling systems to achieve desired improvements in circulation, and provide access to complete interior work is critically important. BRADY will assign individual task leaders to work in tandem to complete the critical path items. TASK LEADE AREA OF RESPONSIBILITY Garrett Murawsky, P.E. Existing Condition and Utilities Richard Brady, P.E., BCEE Confirm Hydraulic Assumptions Howard Johnson George Murdoch Amanda Del Bello, P.E. Interior Dives and Interior Condition Assessment Jacob Finkler, P.E. Randy Smith R. Lee Biggers, P.E., S.E. Seismic Evaluations Max Dykmans, P.E., S.E. Richard Brady, P.E., BCEE Basis of Design Reports George Murdoch Howard Johnson Of specific concern, the City's existing 6 MG South Reservoir will be our immediate focus due to the design similarity to the City of Westminster's 5 MG Pritzker tank failure in 1998. The tank was designed following the "Pritzker" method for prestressed concrete, and became notoriously famous when the City of Westminster's 5 MG Pritzker tank failed catastrophically on September 21, 1998 at 5:45 a.m., instantaneously releasing a full 5 million gallons of water into the adjacent residential neighborhood. We are aware that the City reinforced the reservoir following the Westminster failure, and the City's reservoir still in service is partially below grade, making the chance of catastrophic failure unlikely. The only known Pritzker still in service is a 7.5 MG reservoir owned by the City of Upland. For the City of Santa Ana, 21 years has passed since the Westminster failure. The existing reservoir is showing signs of some distress. Spalling concrete is occurring, which means corrosion of reinforcing steel is occurring. Some steel reinforcement is likely now exposed to the elements. RICHARD BRADY &ASSOCIATES, INC. tt r - • • For all the reservoirs in question, BRADY's approach will be separated into two phases: Phase 1 1. Interior boat inspection by BRADY structural engineers to view the underside of the reservoir roofs; the reservoir elevation should be as high as possible to allow the best view, but also provide enough headroom for the engineers. 2. Drain the reservoir to allow BRADY structural engineers to assess the structural condition of the reservoir floor, columns, walls, and wall to footing interface. 3. Conduct an inspection of the reservoir exterior. 4. Perform corrosion assessments for each reservoir. 5. Perform site specific geotechnical studies. 6. Obtain site specific surveys. 7. Perform tank security assessments for each site. 8. Review the existing structural drawings, to determine whether the reservoir meets current structural/seismic design codes, with specific emphasis on the reservoir roofs. 9. Discuss what it will require to take the reservoir out of service for an extended time to allow for construction lasting up to 12-18 months. 10. Prepare a letter report of our findings, conclusions, and recommendations. Meet with the City and to discuss the contents of the report. Phase 2 1. Investigate design options to repair and rehabilitate each reservoir and to bring them up to current seismic design codes. 2. Prepare repair strategies. 3. Develop cost estimates for proposed repair options. 4. Develop construction schedules. n �� 111 RICHARD BRADY &ASSOCIATES, INC. 12 25B-90 E. RELEVANT PROJECT EXPERIENCE A partial list of projects performed by BRADY containing similar scope details, and contact information are summarized in the table below. PROJECT NAME / SCOPE OF WORK PROJECT REFERENCE LOCATION TEAM CONTACT 35 MG Earl Thomas Design and Construction Administration Richard Brady, PE Mike Wallace Reservoir/City of San Diego 619/419-6884 21.5 MG Overmyer 2 small reservoirs were demolished Richard Brady, PE Debbie De Bow Reservoir/City of (1 and 1.5MG) and a 21.5 MG Lee Biggers, SE 714/536-5525 Huntington Beach reservoirwas rehabilitated; design and construction administration 5.0 MG HP Reservoir Design -build for the rehabilitation of a Richard Brady, PE Randy Whitman Rehabilitation 5.0 MG prestressed concrete reservoir Lee Biggers, SE 760/597-3157 originally constructed in 1961 2-21MG Regulating Design and Construction Administration Richard Brady, PE Norm Pierce Reservoirs/City of San Diego 619/987-1915 (retired) 7.5 MG Prestressed Design of the new Prestressed Concrete Richard Brady, PE Bob Critchfield Concrete Reservoir/City of Reservoir Lee Biggers, SE 909/291-2930 Upland 5.0 MG Reservoir and Design -build for the rehabilitation of a Richard Brady, PE Temo Galvez Booster Pump Station/City 5.0 MG prestressed concrete reservoir Lee Biggers, SE 714/593-4517 of Fountain Valley originally constructed in 1972 10 MG San Antonio Park Structural review and rehabilitation Richard Brady, PE Bob Critchfield Reservoir Evaluation/City of analysis study Lee Biggers, SE 909/291-2930 Upland Amanda Del Bello, PE 5.0 MG HB Reservoir Design -build for the rehabilitation of a Richard Brady, PE Greg Keppler Rehabilitation 5.0 MG prestressed concrete reservoir Lee Biggers, SE 760/597-3136 originally constructed in 1961 Amanda Del Bello, PE 20 MG Pechstein Reservoir Structural review and roof rehabilitation Richard Brady, PE Greg Keppler Rehabilitation analysis study Lee Biggers, SE 760/597-3136 Amanda Del Bello, PE 7.5 MG Pritzker Tank Interim Design/Build Fix Richard Brady, PE Bob Critchfield Repair Lee Biggers, SE 909/291-2930 6.0 MG Peters Canyon Evaluation of Roof Replacement Richard Brady, PE Lisa Ohlund Reservoir/East Orange Alternatives Lee Biggers, SE 949-542-3351 County Water District 10 MG El Morro II/Laguna Structural review and rehabilitation Richard Brady, PE David Youngblood County Water District analysis study Jacob Finkler, PE 949-342-1440 Lee Biggers, SE 2-1 MG Reservoirs and 1 at Structural review and rehabilitation Richard Brady, PE Mark Reifer 10MG/California American analysis study, design for improvements Lee Biggers, SE 626-614-2517 Water Jacob Finkler, PE 2-8 MG Reservoirs Structural review and rehabilitation Richard Brady, PE Scott Miller analysis study Lee Biggers, SE 714-545-3693 Amanda Del Bello, PE n �� 111 RICHARD BRADY &ASSOCIATES, INC. 13 25B-91 PROJECT NAME / LOCATION BEFORE AFTER 35 MG Earl Thomas �"'...s+.'_� Reservoir/City of San Diego` - � X 21.5 MG Overmyer of`. 5 tl� 0-1Reservoir/City Huntington Beach '`Lt 2-21MG Regulating - Reservoirs/City of San Diego 5.0 MG HP Reservoir` = - •, f Rehabilitation/ Vista Irrigation - District 7.5MG Pritzker Tank 1 NEW • _ _ Now O ID RICHARD BRADY &ASSOCIATES, INC. 14 25B-92 F C CLIENT REFERENCES �Qti00NTAlpN e AGE COG, o f 9jeR 'pjSS� ww VISTA IRRIGATION DISTRICT CITY OF HUNTINGTON BEACH Debbie DeBow, P.E. (714) 536-5528 CITY OF FOUNTAIN VALLEY Temo Galvez, P.E. (714) 593-4517 CITY OF UPLAND Bob Critchfield, P.E. (909) 291-2930 EAST ORANGE COUNTY WATER DISTRICT Lisa Ohlund (949) 842-3351 LAGUNA COUNTY WATER DISTRICT David Youngblood, P.E. (949) 342-1440 VISTA IRRIGATION DISTRICT (VID) Randy Whitmann, P.E. (760) 597-3187 RICHARD BRADY &ASSOCIATES, INC. 15 25B-93 APPENDIX A. ATTACHMENT 3: REFERENCES A-17 ................................................................................................ B. ATTACHMENT 4: NON -COLLUSION AFFIDAVIT B-18 ................................................................................................ C. ATTACHMENT 5: NON -LOBBYING CERTIFICATION C-20 ................................................................................................ D. ATTACHMENT 6: NON-DISCRIMINATION CERTIFICATION D-21 ................................................................................................ E. RESUMES E-23 ................................................................................................ F. JMM DESIGN METHODOLOGY FOR CONCRETE RESERVOIRS F-49 ................................................................................................ RICHARD BRADY &ASSOCIATES, INC. 25B-94 Appendix ATTACHMENT 3: REFERENCES List and describe fully the contracts performed by your firm which demonstrate your ability to provide thesupplies, equipment or services included in the scope of the proposal specifications. Attach additional gapes if required. The City reserves the right to contact each of the references listed for additional information regarding your firm's qualifications. Reference Vista Irrigation District (VID) Customer Name: Contact Individual: Randy Whitmann P.E. Address: 1391 Engineer Street Phone Number: 760-597-3187 Vista, CA 92081-8840 Facsimile Number Contract Amount $3,491,000 Year: 7/2016 - 5/2018 Description of supplies, equipment, or services provided: HP Reservoir- Study, recommendations, design, rehabilitation Reference Customer Name: City of Fountain Valley Contact Individual: Tema Galvez, P.E. Address: 10200 Slater Avenue Phone Number: 714-593-4517 Fountain Valley, CA 92708 Facsimile Number: 714-593-4494 Contract Amount: $338,715 Year: 1/2019 - 6/2020 (ongoing) Description of supp:'ies, equipment, or services provided: Reservoir 2 & pump station - study, recommendations, design, CM of rehabilitation and new structures. Reference Customer Name: City of Upland Contact Individual: Bob Critchfield. P.E. Address: 1370 N Benson Ave Phone Number: 909-291-2930 Upland, CA 91786 Facsimile Number: NA Contract Amount: $705,390 Year: Description of supplies, equipment, or services provided: 6/2017 - 7/2018 Reservoir 15 - Study, recommendations design fix for Pritzker tank. THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana - RFP 19-W2 Emergency Water and Sewer Repair Services Page 20 of 35 RICHARD BRADY &ASSOCIATES, INC. A-77 25B-95 NON -COLLUSION AFFIDAVIT (Title 23 United States Code Section 112 and Public Contract Code Section 71D6) In conformance with Title 23 United States Code Section 112 and Public Contract Code 7166 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; thatthe BIDDER has notdirectly 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 depositary, orto any member or agent thereof to effectuate a collusive or sham bid. Nate: 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 State of California County of Subscribed and sworn to (or affirmed) before me on this day of 20_, by , proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me - r� i4-7-%P4C/Pt1� Notary Public Signature Notary Public Seal City of Santa Ana - RFP 19-032 Emergency Water and Sewer Repair Services Page 27 of 35 flf RICHARD BRADY &ASSOCIATES, INC. B-18 25B-96 JURAT 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 Counlyof Sar "p�ago Subscribed and swom to (or affirmed) before me on this // day of N aufa L-, ✓ , 20/7 by 2A'ahs,tf �raAiN I proved to me on the basis of satisfactory evidence to be the persons) who appeared before me. IEVAN DYPJMNs Notary Public - California San Diego County Commission N 2296521 NaComm. Expires Aug 21, 2023 Signature (Seal) OPTIONAL INFORMATION INSTRUCTIONS The mail ofatl Jones completeam California after January 1, 2015 Meatus in the Perm as set lost within this Juat There are no exceptions If Jural to be completed does not Fncow ibis form, to rwfery must correct to verbiage by using ejuretaWmp matuining to correct Wegarg or attaching a separate juml team seen as see one wet does Contain the proper woNyrg. In addition, Ire solely must re swe an cat or arfirma6on Gem to DESCRIPTION OF THE ATTACHED DOCUMENT U.." signor regani to beleft0on s of me conienle of the ducumenl The doeumere must he signed AFTER the oat or alfirealiw. days document was previously A/Ga'i-C-0a3&.. Asir �0.N} signed Imusfbe iesignetlt fiant Who notary public during fhery2tpocess Jule or description detached docummQ . State and county Information must be the state and county where the document signers) personally appeared before the notary public. true or description sinful tloeemeti wnrmued) • Date of notarization most be the date the signers) personally appeared which must also be the same date the jurat process is completed, / Number of Pages Document Date Print the name(s) of the document sigmer(s) who personally appear at the time of notarization. • Signature ofthe notary public must match the signature on file Win the Additional infomation office of the county clerk. • The notary seal impression must be clear and photographically reproducible. Impression must not cover text or Ines. If seal impression smudges, meal if a sufficient area permits, otherwise complete a differenljurat form. -a Additional information Is not required but could help to ensure this jural is not misused or attached to a different document. •Y Indicate the or type of attached document, number of pages and date. • Securely attach this document to the signed document with a staple. 2015 Ver=.ion wwve.NotaryC lasso a... 800-873-9866 (a RICHARD BRADY &ASSOCIATES, INC. B-19 25B-97 CITY OF SANTA ANA RFP NO.: 19-032 EMERGENCY WATER AND SEWER REPAIR 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 toinfluence 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 cert'rficaticn is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such subrecipients shall certify and disclose accordingly. Signed: k—<�X pC,E--Jj.- Title: (_(--r'a Firm: (ZAL�AF• -Qa,&r t SC0, 1` — Date: l ` —� i — -Z-b E i' City of Santa Ana - RFP 19-032 Emergency Water and Sevver Repair Services Page 1 of 35 � 6 �� llf RICHARD BRADY &ASSOCIATES, INC. c-20 r - •• CITY OF SANTA ANA RFP NO.: 19-032 EMERGENCY WATER AND SEWER REPAIR SERVICES NON-DISCRIMINATION CERTIFICATION 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, ortransfer; 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 partand 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. City of Santa Ana - RFP 19-032 Emergency Water and Sevier Repair Services Page 29 of 35 +F, n fll RICHARD BRADY &ASSOCIATES, INC. D-21 25B-99 CITY OF SANTA ANA RFP NO-: 1 M32 EMERGENCY WATER AND SEWER REPAIR 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 ordersofthe 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 subContractor or Consultant as a result of such direction bythe administering agency, the Consultant may requestthat 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: Title: i Firm: �A A,-L pir-A.Qti. 4, I�SS�I;�F y Date: —1 � I City of Santa Ana - RFP 19-032 Emergency Water and Sewer Repair Services Page 30 of 35 0 RICHARD BRADY &ASSOCIATES, INC. D-22 25B-100 BRADY YEARS EXPERIENCE 39 YEARS WITH FIRM 20 (Firm's Owner) PRIMARY WORK LOCATION San Diego EDUCATION BS, Civil Engineering, San Diego State University, 1980 Leading Professional Service Firms, Harvard Business School LICENSES / CERTIFICATIONS Civil Engineer, California No. 36175 Diplomate, American Academy of Environmental Engineers, No. 97-20026 PROFESSIONAL AFFILIATIONS American Public Works Association American Water Works Association San Diego County Water Works Group 0 Richard Brady, PE, BCEE Principal -in -Charge & Project Manager Professional Summary Richard Brady is the founder, President and Chief Executive Officer of Richard Brady & Associates (BRADY). He has 39 years of experience in water resources planning and in the design, management, and construction administration of drinking water supply projects. His fields of specialization include: predesign, design, value engineering, construction management, and start-up services for many large drinking water treatment plants, pump stations, and reservoir projects. Mr. Brady is a graduate of Harvard Business School's "Leading Professional Service Firms" and the "Owner -President Management" program. He is also an internationally - recognized water engineer, and a contributing author to the AWWA's "Water Treatment Plant Design". He has served as the Program Manager for the City of San Diego Water Infrastructure Master Plan, and his design experience includes nationally -acclaimed water treatment facilities. Project Experience 35 MG Earl Thomas Reservoir Demolition and Replacement Project, Client: Malcolm Plrnie and the City of San Diego Title: Project Manager Design of a 35 MG prestressed concrete, circular reservoir 411 feet in diameter and 40 feet tall. Responsible for civil site work, including the appurtenant piping, pumping, and flow control equipment required for operation of the new clearwell. Design services include preparation of civil site plans; structural, mechanical, and electrical drawings, and supplemental specifications for the prestressed concrete tank. Two Partially Buried 21 MG Prestressed Concrete Reservoirs Client: City of San Diego, California Title: Project Manager Managed construction administration phase of the reservoirs. Each reservoir has a diameter of 311 feet and a water depth of 39 feet. A portion of the roof of one of the reservoirs became a Native Plant Demonstration Garden featuring plants indigenous to San Diego. From this garden, the nature study area of the canyon below and areas surrounding the plant are interpreted. 4.5 MG Miramar Ranch North Reservoir Client: City of San Diego Title: Project Manager Managed the design and construction phase of a 4.5 MG pre -stressed concrete reservoir. 1.1 MG Alvarado Water Treatment Plant Filter Backwash System Rehabilitation Client: Malcolm Pirnle and the City of San Diego Title: Project Manager Design and construction of a 1.1 MG prestressed concrete, circular backwash tank 65 feet in diameter and 45 feet tall. Responsible for civil site work, including the appurtenant piping, pumping, and flow control equipment to replace the existing filter backwash system for eight 120 mgd filter modules. Design services include preparation of civil site plans; structural, mechanical, and electrical drawings; and supplemental specifications for the prestressed concrete tank. RICHARD BRADY &ASSOCIATES, INC. E-23 25B-101 BRADY Richard Brady, PE, BCEE Principal -in -Charge & Project Manager Point Loma Water Tank and Pipeline Client: City of San Diego Title: Project Manager Design of a 650,000 gallon prestressed concrete reservoir, and 1,000 feet of 12-inch diameter steel pipeline to serve industrial and fireflow requirements at the Point Loma Wastewater Treatment Plant. 3.2 MG Santa Ynez Reservoir Client: Santa Ynez River Water Conservation District Title: Project Manager Managed the construction phase of a 3.2 MG prestressed concrete reservoir and responded to contractor requests for clarifications and provided project assistance to resident construction manager. 17 MG Conventionally Reinforced and Buried Los Coches Reservoir Client: Padre Dam Municipal Water District Responsible for predesign, design, and construction management. 1.0 MG Steel Tank and Booster Pump Station Client: U.S. Navy Responsible for predesign, design, and construction management. 3.3 MG Shadowridge (Lupine Hills) Reservoir Client: Vista Irrigation District Responsible for predesign, design, and construction management of a partially buried prestressed concrete reservoir. Otay Water Treatment Plant Upgrade Client: Montgomery Watson Harza Title: Project Manager Design of a new U.V. disinfection system and ancillary facilities, including yard piping, grading, chlorine contractor, and related work to be added to the existing water treatment plant. The plant is designed for an immediate upgrade to 40 mgd and for the future expansion to 60 mgd. Project included the study of plant hydraulics and emergency power requirements. City of Poway WTP Aqua Ammonia Feed Facility Client: City of Poway Title: Project Manager Design of a new aqua ammonia facility at the 36 mgd Lester J. Berglund Water Treatment Plant in the City of Poway. Design of a new chemical feed building, chemical storage facility, concrete enclosure for the 6,000-gallon aqua ammonia tank, and new yard piping. Responsible for review and approval of contractor submittals and request for information. Seismic Evaluation Study of Three Prestressed Generate Reservoirs Client: City of Cerritos Title: Project Manager Performed a seismic evaluation study of three prestressed concrete reservoirs. The first reservoir is a 12 MG partially buried concrete reservoir. The second and third are both 6 MG above ground reservoirs. Investigated current condition and structural integrity of each reservoir through an examination of all project related documents. Participated in a site investigation, and performed detailed analytical structural calculations, and developed a preliminary structural design and cost estimate to retrofit the reservoirs. Overmyer Booster Station and Reservoir Rehabilitation Project Client: City of Huntington Beach Title: Project Manager 0 RICHARD BRADY &ASSOCIATES, INC. E-24 25B-102 BRADY Richard Brady, PE, BCEE Principal -in -Charge & Project Manager Design of rehabilitation methods for the 21.5 MG partially buried Overmyer Reservoir No. 3, including demolition plans for two reservoirs located adjacent to Overmyer No. 3 and the upgrade and rehabilitation of the Overmyer Booster Pumping Station. Pumping station houses two Johnston vertical turbine pumps that are driven by 450 HP Waukesha natural gas fed engines through right angle gear drives. The pumps are rated at 6,500-gpm capacity at 165 feet total dynamic head. San Diego 17 Flow Control / Pumping Facility Client: City of San Diego / San Diego County Water Authority Title: Project Manager Project began with a siting study and progressed through final design of a flow control and pumping facility at the City of San Diego's Alvarado WTP. The facility pumps filters water from the Alvarado WTP into the Authority's Aqueduct (Pipeline 4) at a pumping rate of 10 to 100 cubic feet per second, for delivery to the City's mid -city distribution service area. The 60 mgd pumping plant features 6 vertical turbine pumps flow control valves, and state-of-the-art instrumentation and controls. SDCWA Interim Filtered Water Pipeline Client: Malcolm Pirnie and the City of San Diego Title: Project Manager Design of 720 feet of a 30-inch steel pipeline, which transfers treated water from the San Diego County Water Authority's Pipeline 4 Aqueduct, (a 108-inch treated water pipeline in Lake Murray Boulevard) to the City of San Diego's Alvarado WTP for an emergency source of treated water. Design of an above -ground metering and pressure reducing station, consisting of parallel above -ground 24-inch Cla-Val pressure reducing valves, followed by twin 24-inch venturi meters with integral modulating flow control valves. 200 mgd Alvarado Water Treatment Plant Expansion and Rehabilitation Project - Phase II Client: City of San Diego Title: Project Manager Design of new sedimentation basins, ozone contactors, and filter backwash facilities, as well as upgrades and rehabilitation to the existing sedimentation basins, filters, and operations building. Responsible for the preparation of a preliminary design study for the existing filter backwash water storage and conveyance facilities, and evaluation of flocculation and sludge removal equipment for new and existing basins. Provided technical support and project background information to the VE team, and an evaluation of the impact due to implementing VE ideas. Participated in all technical review meetings, assisted in preparation of project design schedules, and reviewed construction cost estimates. Prepared periodic design progress reports, design calculations, and technical documents concerning treatment capacity for review by the California Department of Health Services. Prepared permit review packages for the City's Development Services Department. 200 mgd Alvarado Water Filtration Plant Expansion and Rehabilitation Project - Phase Client: City of San Diego Title: Project Manager Design of rapid mix facilities for the first expansion phase of the Alvarado WTP. Design and electrical, mechanical and structural layout of: the effluent control structure and filter washwater recovery basin, and new rapid mix facilities and influent pumping facilities. Provided assistance with specifying pump control valves and the sequence of operation for two 10/8/5 MGD, 2-speed 150 HP and four 25 MGD, constant speed, 400 HP pumps. Fallbrook 3/Rainbow 1 Flow Control Facility Client: San Diego County Water Authority Title: Project Manager Design of a replacement facility for the existing Fallbrook 3 (30 cfs) / Rainbow 1 Flow Control Facility (22 cfs). Project required a surge and hydraulic analysis to specify flow control equipment, including sleeve valves and venturi meters. Age and severe cavitation problems dictated that this facility be replaced with a state-of-the-art flow control facility capable of handling the high pressures from the Authority's aqueduct and the varying demands from the adjacent water districts. 0 RICHARD BRADY &ASSOCIATES, INC. E-25 25B-103 BRAY Richard Brady, PE, BCEE Principal -in -Charge & Project Manager Filter Valve Upgrades and Rehabilitation, Robert A. Perdue Water Treatment Plant Client: Sweetwater Authority Title: Project Manager Design for upgrades to existing filter backwash facilities at the 30 MGD Robert A. Perdue WTP, and preparation of design drawings and specifications for replacement all valves, operators, backwash piping, and electrical supply piping. Performed field surveys of all existing backwash piping, control system equipment, and physical facilities, and conducted an investigation into an existing air release problem in the filters. Eastside Reservoir Project - Secondary Inlet Client: Metropolitan Water District of Southern California Member of the Value Engineering (VE) team, which reviewed the 30%design of a 96-inch diameter secondary inlet pipeline, tunnel, shaft, and outlet structure. Eastside Reservoir Project- Inlet/Outlet Tower Client: Metropolitan Water District of Southern California Member of VE team which reviewed the 90% design of a 260-foot high concrete shaft type outlet structure for the 800,000 ac-ft Eastside Reservoir and associated facilities, including 144-inch pipelines, tunnel and butterfly valves, hoists, fish screens, bulkheads, and an access bridge. Eastside Reservoir Project: P-1 Pumping Facility Client: Metropolitan Water District of Southern California Member of the VE team which reviewed the 90% design of a 2,100 cfs pumping station that included 12 4.5 MW variable speed pumps, large diameter piping and valving, chlorination equipment, and a pressure control facility. South Bay Flow Control Facilities Client: San Diego County Water Authority Title: Construction Manager Project consisted of four separate flow control facilities and pipeline projects. Project included construction of pipelines up to 48-inches and concrete and block buildings that house large diameter valves and controls, which regulate flow deliveries to various member agencies of the Authority. Projects were coordinated between several water agencies and have a total construction cost of over $6 million. San Carlos Pump Station Rehabilitation Project Client.: City of San Diego, Water Utilities Department Title: Project Manager Replacement of existing pump station with a new 3,900 gpm, 210 HP facility, including a 140 kW natural gas driven generator. Drinking Water Quality Improvement Program Client: City of San Diego Water Utilities Department. Title: Project Manager Prepared reports addressing City-wide issues of water supply and transmission, water quality, environmental considerations, specific predesign reports for the Alvarado (200 mgd) and Miramar (215 mgd) WTPs, and master planning for the Lower Otay (60 mgd) and North City (60 mgd) WTP. The estimated construction cost for projects identified in the DWQIP is $460 million dollars. 24 mgd Lester J. Berglund Water Treatment Plant Expansion Client: City of Poway Title: Project Manager Project included demolition of the existing Hardinge filters and construction of four dual media filters, new chemical storage and feed facilities, chlorination system improvements and chlorine scrubber facilities, new rapid mixing pumps and chemical diffusion system, a new wash water tank and related pumping system n �� flf RICHARD BRADY &ASSOCIATES, INC. E-26 25B-104 BRAY Richard Brady, PE, BCEE Principal -in -Charge & Project Manager improvements, and the expansion of the existing Control Building. Washington Aqueduct's 240 mgd Dalecarlia and 120 mgd McMillan Water Treatment Plants Client: U.S. Army Corps of Engineers, Baltimore District Title: Project Manager Prepared the Comprehensive Performance Evaluation (CPE) and the Conceptual Plan for the Modernization of the project. The two reports were ordered by the USEPA following a boil -water advisory that was issued to nearly 1 million people in December of 1993. Hudson River Supply Alternatives Project for the New York City Department of Environmental Protection Client: Bureau of Water Supply and Wastewater Collection Title: Quality Assurance Manager Project investigated mid-term alternatives for the pumping and treatment of 100 mgd, 200 mgd, and 300 mgd from the Hudson River supply. Long-term alternatives investigated capacities of 400, 800, and 1,200 mgd. 80 mgd Val Vista Water Treatment Expansion and Upgrade Project Client: City of Phoenix, Arizona Title: Project Manager Performed predesign, design and cost estimating for the design of a 140 mgd raw water pump station, grit removal, pre -sedimentation, and flocculation / sedimentation. Sydney Water Board BOOT Tender Submission Project Client: City of Sydney, Australia Title: Project Manager Development of conceptual designs for four new water treatment plants that were planned to be constructed in Sydney, Australia. The four plants included the 4200 ML/day (1,100 mgd) Prospect WTW, 600 MIL/clay (158 mgd) Macarthur WTW, 210 M/day (58 mgd) Woronora WTW, and 190 ML/day (53 mgd) Illawarra WTW projects. 40 mgd Lower Otay Filtration Plant Expansion Project Client: City of San Diego Complete rehabilitation of the existing plant and the construction of a new 75 mgd (1,050 HP) raw water pump station, rapid mixing, two flocculation and sedimentation basins, and 8 new filters. Other new facilities included chemical feed and storage, a 3,100 square foot expansion of the existing Operations Building, and a 600 kW emergency system. Responsible for predesign and design. 30 mgd RobertA. Perdue Pretreatment Addition and Modifications Project Client: Sweetwater Authority Complete rehabilitation of the existing treatment plant and the addition of a new facility, including rapid mixing, 2 two -stage flocculation and sedimentation basins, chemical feed and storage, chlorine feed and storage, and a 2,600 square foot expansion of the existing Operations Building. Responsible for predesign, design, and construction management. 90 mgd Escondido -Vista Water Treatment Plant Expansion Client: City of Escondido Expansion of the existing 37.5 mgd facility to 90 mgd. New treatment facilities included the construction of two sedimentation basins, each with four stages of flocculation, four filters, sludge equalization, activated carbon feed and storage, and other new chemical feed and storage systems. Responsible for design and construction management. PROFESSIONAL AFFILIATIONS American Public Works Association American Water Works Association San Diego County Water Works Group 0 RICHARD BRADY &ASSOCIATES, INC. E-27 25B-105 BRAY Richard Brady, PE, BCEE Principal -in -Charge & Project Manager PUBLICATIONS & PRESENTATIONS Brady, R. D., "Function and Form - Winning with Public Support", APWA International Public Works Congress and Exposition, Philadelphia, PA, September 2001. Brady, R. D., "Activated Carbon Processes," Water Treatment Plant Design, American Water Works Association, American Society of Civil Engineers, McGraw-Hill, 1997. Brady, R. D., and Millar, R. M., "Art and the Engineer: The Alvarado Water Treatment Plant Expansion and Rehabilitation," 1993 AWWA Engineering and Construction Conference, Cincinnati, OH, March 1994. Brady, R. D., "Alvarado Water Treatment Expansion and Rehabilitation," Proceedings, 1992 AWWA Annual Conference, Vancouver, B.C., June 1992. llf RICHARD BRADY &ASSOCIATES, INC. 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E-30 25B-108 BRAY YEARS EXPERIENCE 38 PRIMARY WORK LOCATION Orange County EDUCATION Water Utility and Environmental Resources LICENSES / CERTIFICATIONS California State Water Resources Control Board Water Grade V Water Distribution Certification (#3157) and Grade II Water Treatment Certification (#11727) American Water Works Association Grade III Water Distribution Certification PROFESSIONAL AFFILIATIONS Association of California Water Agencies (ACWA) American Water Works Association (AWWA) George Murdoch Technical Advisor Professional Summary George Murdoch has over 38 years of experience in utility operations and management. His primary areas of expertise include water distribution and treatment, wastewater operations as well as storm drain, streetlight, and oil & gas operations. He maintains the highest level of state water distribution certification and certified in water treatment. During his career he participated in the construction of two treatment facilities, a reservoir cover, numerous lift stations and pumping stations as well as built the Supervisory Control and Data Acquisition system (SCADA). Before joining Brady in 2018, Mr. Murdoch served as the Municipal Operations Director for the City of Newport Beach. In this capacity, he managed a fullservice water and wastewater utility as well as storm drain, streetlight and oil & gas operation with an annual operating budget of $33M and a staff of 60 employees serving a population of over 70,000. After retiring from the City of Newport Beach, Mr. Murdoch received the lifetime achievement award for 38 years of dedication and public service. Mr. Murdoch currently serves as a board of directors fora local water agency. Work Experience Brady (2018) - Assist cities and districts with annexation of service boundaries. Coordinate efforts with Local Area Formation Commission. Assist with oil well strategic planning. Assist with Supervisory and Data Acquisition strategic planning and updates. City of Newport Beach Utilities General Manager/Municipal Operations Director (2007-2018) - Responsible for directing and managing all city utility operations including water, wastewater, streetlights, storm drains and oil & gas. Responsible for a $33 million -dollar budget and 60 employees. City infrastructure and services include; 200 miles of water main and 190 miles of sewer collection system, 27,000 service connections, 22 wastewater lift stations, 3 reservoirs, 2 treatment facilities, 5 water pump stations, 16 oil wells, 3,000 street lights, and 4 water wells. Responsible for conducting rate studies and establishing rate adjustments for water and sewer services. Prepared and presented staff reports, resolutions, and municipal code to City Council for approval. Responsible for media and emergency operations as well as water conservation and efficiency compliant with state regulations. Served as the state designated Chief Operator responsible for water quality and distribution to 70,000 residents. Other projects include conversion of streetlights to LED lighting, Variable frequency drive replacements saving over a half million dollars a year in energy savings. City of Newport Beach Utilities Manager (2005-2007) - Managed water divisions including maintenance and repair, water quality, meter reading and customer service. Responsible for water supply and resources assuring the city has an adequate safe water supply. Managed the streetlight electrical division maintaining and repairing over 3,000 streetlights. Prepared and presented staff reports and contracts for City Council approval as well as Urban Water Management Plans and state water supply permits. City of Newport Beach Water Production Supervisor (2000-2005) - Supervised the division managing all water production facilities including pump stations, reservoirs, treatment facilities and pressure regulating facilities. Converted the treatment facilities from chlorination to chloramination using automation and new injection systems. Conversion of pumping operations to variable frequency drives for energy efficiency. Oversaw construction of the 600AF reservoir cover project. Responsible for City's water quality and distribution. City off Newport Beach Utilities Worker/ Water Plant Operator (1980-2000) - Provided hands on water and wastewater operations and maintenance activities including water and sewer main construction and replacement, water service installation and customer service. Operations of the City's water treatment plants, pump stations, and reservoir facilities. Oversaw the City's water laboratory taking samples and processing for bacteriological and physical testing to comply with state and federal regulations. Created the first automation system (SCADA) to remote control, monitor and alarm water and waste water stations. Participation in the construction and implementation of the City's water well operations and new treatment facilities. RICHARD BRADY &ASSOCIATES, INC. E-31 25B-109 BRADY JOINED FIRM 2010 EDUCATION B.S., Business Management, Columbia University, New Orleans, LA, 1997 LICENSES / CERTIFICATIONS California Grade II Water Treatment Certification (#9671) Department of Public Health certified in Bacteriological Quality and General Physical Analyses C Howard Johnson Technical Advisor/SME Professional Summary Mr. Johnson has over 35 years of water and wastewater experience, with a special emphasis in the planning, engineering and design of water facilities, water resource management, and operational evaluations. Over the course of 30 years at the City of Huntington Beach, Mr. Johnson commissioned, administered and managed numerous Master Plans and Urban Water Management plans that have resulted in over $90 million dollars of Capital Improvement Projects. He has also administered and managed various financial studies related to water supply, operational utility costs, weighted average of pumping costs, connection fees for regulatory compliance, utility demand analysis and forecasting, rate structures, Prop. 218 compliance, billing system requirements, conservation, and AMR/AMI meter reading systems. Under his management, the Southern California Gas Company and Southern California Edison recognized Huntington Beach as being one of the best operated and maintained utility divisions. Project Experience Orange County Water District, Annexation In 2013, Orange County Water District (OCWD) retained BRADY to facilitate multi -agency discussion on a large annexation request from (3) member agencies. Mr. Johnson acted as the facilitator, bringing all (19) member agencies to consensus on these annexation. Mr. Johnson conducted a series of meetings with all agencies, developed a "cost neutral" concept and annexation conditions that lead to agreements with the (3) requesting agencies excepted. The annexations in question had been in the development stages for over 15+ years. BRADY, in cooperation with OCWD and its member agencies were able to present contracts that led to a unanimous vote of the OCWD Board excepting the annexations as requested. Poseidon Resources Huntington Beach 50 MGD Desalination Project, Phase land 2. BRADY was selected to study distribution and demand scenarios for the distribution and sale of 50 MGD of desalinated water. The study was completed under a contract with the Municipal Water District of Orange County. Mr. Johnson acted as the Project Manager for the development of distribution scenarios. Mr. Johnson met with potential end users to identify institutional concerns and mitigation measures. Phase 2 required Brady to perform a cost analysis of the different distribution scenarios. BRADY was able to develop distribution scenarios that realized all 50 MGD to be used by local agencies. These scenarios saved millions of dollars in construction costs. In 2015, Orange County Water District (OCWD) retained the services of BRADY to work with their staff to develop distribution scenarios if OCWD was to take the entire 50 MGD into its existing system or within its member agencies. Mr. Johnson was assigned to this ongoing task that is scheduled to go before the Board in the summer of 2016. Technical Advisor/QA/QC Manager - Reservoir No. 2 Rehabilitation Project; Client: City Fountain Valley, CA BRADY was selected to provide design services for the City of Fountain Valley's Reservoir No. 2 rehabilitation project. Reservoir No. 2 is a buried 5 million -gallon prestressed concrete tank constructed in 1971 and is located within a City park. The project consisted of two phases. BRADY provided civil, structural, architectural and mechanical design services to extend the useful life of the tank. Howard Johnson provided review of all design documents and subject matter expertise on the selection of pumps, motors, and operating system. He also provided owner's operating manual for City use. RICHARD BRADY &ASSOCIATES, INC. E-32 25B-110 BRADY YEARS EXPERIENCE ort YEARS WITH FIRM 13 EDUCATION M.S., Civil Engineering, San Diego State University, 1973 B.S., Civil Engineering with Honors, North Carolina State University, 1964 LICENSES / CERTIFICATIONS Structural Engineer, California, No. S1825 Civil Engineer, California. No.C18330 Professional Engineer in WA, VA, NC, FL, TX, OK, CO NCEES, No.22539 Lee Biggers, PE, SE Lead Structural Engineer/Seismic Professional Summary Lee Biggers, S.E., has over 40 years of experience in the structural engineering profession, and has been responsible for the structural design of construction projects collectively totaling over $500M in construction cost. He has designed single and multi- story residential buildings, schools, waterfront structures, bridges, water/ wastewater structures, and airfield hangars. Mr. Biggers has also performed forensic investigations, peer reviews, rehabilitations, seismic studies, expert witness litigation, and value engineering over the course of his career. He has prepared PS&E packages, provided structural design, assessed structural stability and load -bearing capacities, and conducted seismic evaluations for new and existing structures. Reflecting his contributions to the profession, Mr. Biggers was inducted as a Fellow of the Structural Engineers Association of California. Project Experience Structural Engineer -21.5 MG Overmyer Reservoir Rehabilitation and Structural Upgrade - Huntington Beach, CA (City of Huntington Beach) — Mr. Biggers provided structural engineering services for the 21.5MG Overmyer Reservoir Rehabilitation. Following a detailed structural evaluation of the City of Huntington Beach's Overmyer Reservoir 1, 2, and 3, and based on recommendations from Richard Brady & Associates, the City elected to demolish Reservoirs 1 and 2, which held 1.0 and 1.5 million gallons, respectively. The City of Huntington Beach then elected to rehabilitate and structurally upgrade the larger 21.5 million gallon Overmyer Reservoir No. 3. To accomplish this task, the City retained Richard Brady & Associates to prepare design and construction documents. The upgrade of Overmyer Reservoir No. 3 included a complete structural upgrade of the below -ground retaining wall system and roof supporting columns. New 25-foot high cast -in -place reinforced concrete retaining walls and structurally -upgraded columns were built. In addition to the reservoir upgrade, Structural Engineer - Whitegates Reservoirs and Pump Stations; Riverside, CA (City of Riverside) —The Design/Build (D/B) project included design of two reservoirs and two pump stations. The new reservoirs provide a combined capacity of 9 MG with two pump stations capable of operating at 1600 MGD. Each of the two pump stations included utility service entrance, metering and power distribution, interior lighting, level, flow and pressure instruments, control panels with PLCs and spread spectrum wireless communications, VFDs and/or soft start motor controllers. Provided complete design, construction support, inspection and startup and commissioning services in support of this impressive project submitted for award to the Design Build Institute of America (DBIA). Structural Engineer - Peck Reservoir Booster Pump Station Upgrades; Huntington Beach, CA (City of Huntington Beach) — Project consisted of electrical, mechanical and structural upgrades to an existing water booster pump station to provide dual mechanical/electrical drive capabilities for four (4) existing 350 HP pumps. Primary project objective included evaluating the feasibility of upgrading existing Natural Gas (NG) engine driven pumps with right angle gear drives by adding combination gear drives and 350 HP variable speed electric motors to make electrical energy the new prime mover rather than the NG engines. The study required close coordination with Southern California Edison (SCE) to determine the capacity of the utility's distribution system in a densely populated residential area. RICHARD BRADY &ASSOCIATES, INC. E-33 25B-111 BRAD" JOINED FIRM 2017 PROFESSIONAL EXPERIENCE BEGAN 2007 LICENSES / CERTIFICATIONS Professional Civil Engineer, California, No.C78825 EDUCATION M.S., Civil Engineering, San Diego State University, CA, 2015 B.S., Civil Engineering, Manhattan College, Riverdale, NY, 2007 Amanda Del Bello, P.E. Professional Summary Ms. Del Bello has 12 years of experience in the engineering field with an emphasis in structural inspection and design. As Project Manager, she plays a key role in the inspection, design, project deliverables, and construction services for reservoirs, waterfront structures, bridges and infrastructure. As a team leader and commercial diving supervisor, she has successfully conducted and managed underwater and above water inspections, follow-on design services, and construction support for a variety of clients. She has participated in design for new structures and design of repairs for numerous facilities including reservoirs, pump stations, piers, wharves, seawalls, bridges, marinas, retainingwalls, and utility vaults. Ms. Del Bello is a commercially trained ADCI SurfaceSupplied Air Diver and is PADI SCUBA certified. Inspection & Safety Credentials ADCI SurfaceSupplied Air Diver& Diving Supervisor NHI Safety Inspection of In -Service Bridges Certification (FHWA-NHI 130055) Underwater Bridge Inspection Certification (FHWA-NHI 130091) OSHA Confined Space Entrant; EM-385-40; OSHA-30 tat Aid/CPR/AED First Responder & Oxygen Provider Competent Person for Fall Protection Project Experience Project Manager - HB a MG Reservoir Rehabilitation, Vista Irrigation District, CA Responsible for inspection, condition assessment report and recommendations which resulted in replacingthe concrete dome with an aluminum dome, seismic upgrades and yard piping replacement. Responsible for coordinating all project deliverables including contract documents, basis of design report, plans, and specifications. Reservoir Structural Condition Assessment and Recommendations, City of Upland, Upland, CA. Engineer -Diver responsible for above and below water inspection of a 10MG concrete reservoir. The reservoir was constructed in 1975 and exhibited structural defects. Responsible for inspection, condition assessment report, and structural recommendations. The effort initiated a concrete coring and testingstudy to determine whether to repair or replace portions of the reservoir. Pechsteln 20 MG Reservoir Inspection, Vista Irrigation District, CA. Responsible for structural inspection of the partially buried prestressed concrete reservoir with emphasis on the 1960s era glulam beam and light framed roof structure. Inspection, structural analysis and report focused on whether the roof structure was eligible for repair or replacement Structural defects and deficiencies in the design were found and a new aluminum dome roof was recommended to be installed to increase the reservoirs useful life. While design forthe roof replacement is implemented, design of temporary repairs were made. Emergency Repairs to North Embarcadero, San Diego, CA. Project Manager/engineer-diver for emergency inspection and design of repairs to the concrete sheet pile wall after ship impact. Design of repairs to sheet pile wall, wales, and tie back system. Provided specifications and plans for repair and construction support services. Oceanside Harbor, CA. Project Manager/engineer-diver for several condition assessment and repair projects for the City of Oceanside at Oceanside Harbor. Work included above and below water assessment of piles, docks, and ramps. Responsible for report preparation, cost estimates, recommendations for repair and feasibility studies for adding additional docks and gangways. WFI and Assessment Future Portside Pier Restaurant, San Diego, CA. Engineer -diver performing above and below water inspection of 50 year old concrete and steel pile supported platform and timber superstructure. Responsible for coordinating site investigation, condition assessment recent and recommendations for repair versus replacement options. RICHARD BRADY & ASSOCIATES, INC. E-34 25B-112 BRADY JOINED FIRM 2016 PROFESSIONAL EXPERIENCE BEGAN ?006 LICENSES AND CERTIFICATIONS PE C77580, CA EDUCATION M.S., Structural Engineering, UC San Diego, CA, 2007 B.S. Civil Engineering, Univ. of Minnesota, 2006 B.A., Mathematics, Macalester College, MN, 2004 PROFESSIONAL AFFILIATIONS AWWA CA -NV Tank Structures & Reservoirs Committee American Society of Civil Engineers Engineers Without Borders USA Structural Engineers Association of California Jacob Flnlder, P.E. Team Leader & Professional Summary With 13 years of experience in engineering consulting, Mr. Finkler has served as project manager and structural design engineer on numerous infrastructure projects. Experience includes authoring engineering condition assessments; structural rehabilitation design; preparation and coordination of construction documents; assembling design -build solicitations; and providing construction support services. Mr. Finkler specializes in the evaluation of existing structures and the design and execution of follow-on repairs and upgrades. He has performed field engineering investigations on hundreds of varying structures including reservoirs, foundations, pipelines„ utility vaults, piers, wharves, seawalls, floating docks, retaining walls, and bridges across the United States and abroad. Clients include municipalities, energy organizations, the US Department of Defense, state DOTS, utility owners, and construction contractors. Inspection & Safety Credentials BRADY Company Safety Committee Chairman ADCI Surface -Supplied Air Diver & Diving Supervisor, UW Bridge Inspector (FHWA-NHI-130091) OSHA Confined Space Entrant; EM-385-40; OSHA-30, Trench & Excavation Competent Person 1st Aid/CPR/AED First Responder & Oxygen Provider Project Experience Inspector Team Leader, El Morro Reservoir No. II Tank Inspection, City of Laguna Beach, California. Led the structural condition assessment of a 5 MG rectangular concrete reservoir. Assembled assessment report that included documentation of findings, photos, figures, prioritization and recommendations for repairs, and estimates of probable costs. Follow-on work to include a seismic analysis and design of repairs for the existing structural systems. Project Manager, Lift Station #9 Rehabilitation, South Coast Water District, Dana Point, California. Executed structural investigation and condition assessment in a confined space concrete dry well structure. The effort included evaluation of several rehabilitation options, from which a fiber reinforced polymer (FRP) solution was selected. Design of repairs and the production of construction documents was followed by bidding and construction support services. Inspection Team Leader & Engineer Diver, Clubhouse Lake System Improvements, Fairbanks Ranch Association, California. Oversaw execution of above and below water condition assessment atthe Clubhouse Lake Dam, with a focus on the piping outlet structures. The effort included production of plans, specifications, and estimates for improvements to the existing facilities. Provided CM resident engineer services during the construction phase. Inspector Team Leader, AT&T Utility Vault Inspections, Southern California Region. Provided engineering assessment services in support of new fiber optic cable installation throughout Southern California. The scope of services included engineering inspection and identification of allowable core locations in over 500 utility vaults. A signed and stamped core certification report was produced for each vault. Responsible for oversight and coordination of engineering team and participation in vault inspections. Field Engineer, 5 MG Reservoir II, City of Fountain Valley, CA. Performed engineering construction support services, including: structural observations, identification of defective concrete areas, and general oversight of work progress. The work at this 1971 partially buried circular concrete reservoir included minor structural repairs and major site civil improvements. Fee: $200k Englneer-Diver, Hyperion Water Treatment Plant Outfall Pipe, Los Angeles, California. Engineer - diver performed underwater inspection work. The one -mile long, approximately 20-foot-diameter outfall pipe carries wastewater treatment plant effluent into the ocean. Inspection focused on the concrete pipe encasement and concrete pipe support collars. RICHARD BRADY &ASSOCIATES, INC. E-35 25B-113 BRADY JOINED FIRM 2006 PROFESSIONAL EXPERIENCE BEGAN 2000 EDUCATION B.S. Electrical Engineering University of California, San Diego, 2005 LICENSES / CERTIFICATIONS Professional Electrical Engineer California, No. 20050 SDG&E Qualified Designer Applicant (OH) PROFESSIONAL AFFLIATIONS C Ryan Nishimura, P.E. Electrical Professional Summary Mr. Nishimura is a Professional Engineer with 13 years of professional experience in engineering. Mr. Nishimura is also proficient in AutoCad, AutoCad P&ID, AutoCAD Plant 3D, ETAP (Load Flow, Short Circuit, Protective Device Coordination & Arc Flash Analysis), Microstation, Plantspace P&ID, Sketchup, Allen Bradley RSLogix 500/5000, Schneider Electric Concept, Control Microsystems Telepace, Allen Bradley FactoryTalk, GE Fanuc Proficy, and Wonderware InTouch as well as programming experience in Matlab, Visual Basic, C, Java, KML (for use with Google Earth), and relay ladder logic programming. In addition to engineering design work, Mr. Nishimura also has extensive field experience during installation and startup/commissioning of electrical and industrial control systems in the built environment. Project Experience Electrical & Control Systems Engineer, North City Pure Water Facility Project, City of San Diego - The Project consisted of electrical design for the new 34 MGD Pure Water Plant in San Diego. The plant utilizes Ozone, BAC filtration, Ultra filtration, Reverse Osmosis, UV and CO2 systems. The power requirements were 12kV 15MVA Main Electrical Building, medium voltage 1000HP pumps at the pump station, and multiple process systems. The DCS system is networked to the North City plant that also feeds the raw water to the new plant. Smart MCCs and ARC resistant switchgear were incorporated into the design. Multiple valve networks and analyzer networks were part of the design along with a fully integrated security system. Provided electrical and controls system design, which included power, grounding, lighting, controls, and integration to the City's Des system. Electrical & Control Systems Engineer, Pump Station, City of Upland - The project consisted of a new 7.5 MG pre -stressed concrete reservoir, chlorine injection system, and site amendments. Provided electrical and controls system design, which included SCE coordination, power, grounding, lighting, controls, and integration to the City's SCADA system. Electrical & Control Systems Engineer, Reservoir 2 and Pump Station, City of Fountain Valley- The project consisted of a new booster pump station, SCADA system, and upgrades to the existing 5 MG reservoir and existing site. Sewer liftstation 106 was completely replaced and upgraded. Provided electrical and controls system design, which included SCE coordination, power, grounding, lighting, controls, and integration to the City's SCADA system via the existing fiber optic network. Electrical & Control Systems Inspector/Construction Manager, SCADA Upgrades Project, City of Westminster - This project consisted of providing the City with an upgraded SCADA system to maintain and operate their water system. The system consists of ten wells, a reservoir, and three turnout connections to MWD. This project included multiples phases of working closely with the City operations to assess all sites to determine the conditions and needs at each site to develop an RFP and assisting in the bidding phase to select a design -build contractor. During the design phase, assistance was provided to review all design and provide input and review comments. During construction, field inspections were performed to verify that all aspects of the RFP and needs of the City were incorporated. Electrical and Control Systems Designer, Whitegates Reservoirs #1 and #2, City of Riverside - Design -build project involved the design of two buried reinforced concrete reservoirs and two buried booster pumping stations. Reservoirs volume totaled 9 MG. Work included design, obtaining permits, excavation, construction of concrete reservoirs and booster stations, backfill, grading, underground utilities, electrical, SCADA and instrumentation, water quality enhancement, interconnections to existing utilities, site improvements (consisting of, but not limited to: landscaping, drainage, lighting, security, access road), testing, and startup of the four facilities. BRADY also provided design, programming, commissioning and startup services for the on Programmable Logic Controllers (PLCs) and Operator Interface Terminals (OITs). Assisted in producing the Piping Instrumentation and Controls, and the Electrical designs, programmed the PLCs and OITs at both pump stations and participated in loop checks, startup and commissioning at the two facilities. RICHARD BRADY &ASSOCIATES, INC. E-36 25B-114 YEARS EXPERIENCE 3 years LICENSES / CERTIFICATIONS Professional Civil Engineer, California. No.C90365 EDUCATION M.S., Civil and Environmental Engineering, California Polytechnic State University, San Luis Obispo, CA B.S., Environmental Engineering, California Polytechnic State University, San Luis Obispo, CA SOFTWARE SKILLS • AutoCAD Civil 3D • MicroStation • ArcGIS • FLOW-3D • FLO-2D • HEC-HMS • HEC-RAS • MATLAB (Barrett D. Murawsly, PE Civil Professional Summary Mr. Murawsky is a civil engineer specializing in water and wastewater treatment for both centralized and decentralized systems. Over his past two years at BRADY he has assisted with numerous reservoir inspections and the design and drafting of several extensive projects. His attention to detail and proficient use of AutoCAD Civil 3D aid in creating profiles, site grading plans, and detailed design drawings. Project Experience Project Engineer/Designer - HB 5 MG Reservoir Rehabilitation, Vista Irrigation District, CA Designed new inlet/outlet yard pipingforthe HB reservoirto improve reservoir mixing and water quality. Designed civil site work surrounding reservoirto include grading plan, paving plan, and general site layout. Sized site drainage features for design rain event. Compiled contract documents, including basis of design report, plans, and specifications. Project Engineer/Designer - Pressure Reducing Stations, Upland, CA Analyzed the distribution system hydraulics for the City of Upland, CA to determine how to effectively implement pressure reducing stations to increase operation flexibility during future system rehabilitation and emergency situations. Implemented pressure data loggers to track and analyze system pressures at proposed pressure reducing station locations and areas of concern, indicated from the hydraulic model. This data was used to establish set points for the pressure reducing valves. Researched existing utilities and created site plans for each proposed location. Pipeline profiles were created to indicate connections to existing pipelines and establish vertical spacing requirements for existing utility crossings. Project Engineer/Designer - 8 MG Steel Reservoirs No. 1 and No.2 Inspection, Westminster, CA Inspected two existing above ground steel reservoirs for interior and exterior coating failure. Coating failure, primarily on the interior of the reservoir, resulted in corrosion of roofing members. Coating defects were mapped and quantified to determine the most efficient and economical solution to increase the reservoirs service life. A report was submitted to the client, which emphasized the results of the inspection and recommendations for repair. Project Engineer/Designer - HB 5 MG Reservoir Inspection, Vista Irrigation District, CA Inspected existing above ground prestressed concrete reservoir with concrete dome roof for structural deficiencies. The inspection focused on identifying cracks and spalling of the reservoir footing, wall, and roof. These structural deficiencies were mapped and repair suggestions were submitted to the client along with report on inspection findings. Project Engineer/Designer - Pechstein 20 MG Reservoir Roof Inspection, Vista Irrigation District, CA Inspected existing partially buried prestressed concrete reservoir with wooden roof for structural deficiencies. Inspection focused on identifying and quantifying areas of corrosion in roofing hardware and locations of dry rot, delamination, and checking within the glulam beams. The reservoir roof was inspected from the outside of the reservoir as well as by boat on the inside of the reservoir. Structural deficiencies were mapped and a report was submitted to the client, which highlighted findings and proposed that a new aluminum dome roof be installed to increase the reservoirs useful life. Project Engineer/Designer - Electrical Vault Inspection, HA Builder Group, CA Inspected existing underground electrical vault for structural deficiencies, including concrete cracks and spalling. Developed repair plans for the replacement of the existing steel vault cover and conventional concrete spall repairs around vault opening. Project Engineer/Designer - Retaining Wall Inspection and Design for Regulator Station, SDG&SE, CA Inspected existing screen wall surrounding regulator station for concrete cracks and spalling. Developed repair plans for existing screen wall defects and profile for new retaining wall for site expansion. RICHARD BRADY &ASSOCIATES, INC. E-37 25B-115 BRADY YEARS EXPERIENCE 37 EDUCATION Houston Technical Institute, 1977 University of Houston, 1978-1979 University of California Los Angeles, 1989 C Joel R. Reyes Senior Professional Summary Mr. Reyes has 37 years of design experience in drafting, management, and systems administration in the fields of Architecture and Civil/Structural Engineering. His design program experience includes AutoCAD (23 yrs) and MicroStation (25 yrs). He is highly proficient in both applications with an emphasis on system configurations and troubleshooting. He has a complete understanding of the BIM Industry standard and can integrate various models. In addition to direct project design, setup, layout, and deliverables coordination, he maintains all CADD workstations and related software upgrades. Serving in the official title of, CADD Manager, his vast knowledge of multiple platforms and application software allow him to navigate and replicate the various client -specific environments. His flexibility and constant ongoing training ensures that he remains current with the latest release versions of industry standard CADD applications. Project Experience CADD Manager -Bentley Microstation V81 SS2, Portsmouth Gaseous Diffusion Plant - Decontamination & Decommissioning - On -Site Disposal Cell, Fluor- Babcock & Wilcox Portsmouth, LLC under contract to the United States Department of EnergyTitle - Served in role of CADD Manager for the OSDC in Piketon, Ohio, in partnership with Fluor. Established programmatic CADD design standards and created CADD manual. Ordered computer hardware and design software to accommodate 5 workstations. Supervised the CADD department in the creation of preliminary design drawings and exhibits. Created site layouts and grading plans and all other Civil drawings necessary for implementation of selected remedy waste disposal option. Oversaw and managed the direct interaction with FBP contract awarded A & E firm to maintain compliance with FBP's policies and standards as it related to electronic media submittals. Trained and mentored junior CADD designers and junior engineers in the application design software. Responsible for all CADD-related project issues. Senior Designer -Bentley Microstation V81 SS3, Water Group Job 926, Orion Construction/City of San Diego - Prepared plan & profile construction documents for waterline replacements in the City's Point Loma area. All drawings were created per the City of San Diego's CIP guidelines and Citywide CADD & Drafting Standards-2012 edition. Coordinated all job set CADD & design requirements for BRADY and Orion Construction. Senior Designer -Bentley Microstation XM, 1-680 Smart Lane Electronic Toll System, Electronic Transaction Corporation/Alameda County Corridor Management Agency - Prepared plan & detail construction documents for electronic toll system upgrade to current HOV lane located in the Alameda County corridor limits boundary. All drawings were created per CalTrans standard plans preparation manual and the electronic files strictly adhere to the Caltrans CADD manual. Senior Designer -Bentley Microstation XM, Water Group Job 790, Orion Construction/Harris & Associates/City of San Diego - Prepared plan & profile construction documents for waterline replacements in the City's La Jolla area. All drawings were created per the City of San Diego's CIP guidelines. Coordinated all job set CADD & design requirements for BRADY between prime partners Orion Construction and Harris & Associates. RICHARD BRADY &ASSOCIATES, INC. E-38 25B-116 A NOVA JESSE BEARFIELD, PE SENIOR ENGINEER RESUME Jesse has 15 years of experience providing geotechnical services. He has a broad base of experience focused on geotechnical consulting and providing technical recommendations for site remediation, foundation design, earth stabilized walls and pavements. Jesse has vast experience performing work in the field and as an office and geotechnical manager, having acted as Project Engineer, Project Manager, and as a Field Engineer on numerous small to large geotechnical projects. He provides senior review on all NOVA projects. • Civil Engineering, South Dakota State Vista Irrigation District HP Reservoir, Vista, CA: Senior Engineer So University at Brookings, SD during a geotechnical investigation for retrofitting of an existing water reservoir that is 25 foot tall and 150 foot in diameter. Other features will include a mechanical building with an antennae tower, associated paved • driveways, and a security fence. • P-079 CPEN Water Distribution Improvements, MCB Camp • State of California Pendleton, Oceanside, CA: Senior Engineer during a geotechnical Professional Engineer investigation for 29,050 feet of water transmission main improvements, #84335 to be completed in two segments. Both segments include of installation • Radiation Safety Officer of 24-inch diameter PVC lines and segment one includes the removal • Nuclear Gauge Operator of an existing 18-inch transmission line. Supporting infrastructure will Certification include a 50-foot diameter elevated reservoir structure, two booster stations, and abandonment of existing water transmission mains. • • City of Poway Martincoit Road Sewer Upsize Project, Poway, CA: • American Society of Civil Senior Engineer during a geotechnical investigation for the replacement Engineers (ASCE) of pipes along Martincoit Road. Approximately 1,870 feet of 8-inch • American Public Works diameter pipe will be replaced with 12-inch diameter pipe and 2,970 feet Association (APWA) of 10- and 12-inch pipeline will be replaced with 15-inch diameter pipe. City of Carlsbad Ocean Street Beach Access Improvements, • Carlsbad, CA: Project Engineer during a geotechnical investigation for :kIDDITINAL the $3.1 million project consisting of seven Carlsbad beach entrances TRAINING along Ocean Street in an effort to enhance the privacy, security, and • Fall Protection aesthetics. Some of the improvements included more inviting and attractive stairs, railings, and landings leading down to beach areas, trash/recycling receptacles, lighting, crosswalks, and drought tolerant landscaping. Significant improvements were made to upgrade stormwater systems to current design standards and codes. RICHARD BRADY &ASSOCIATES, INC. E-39 25B-117 A %^R NOVA JOHN OTRIEN, GE, PE PRINCIPAL GEOTECHNICAL ENGINEER RESUME As a board certified Diplomat of Geotechnical Engineering, John is recognized as an engineer with an advanced degree of knowledge and expertise in the specialized field of Geotechnical Engineering. He has a broad base of experience focused on technologies associated with geotechnical, foundation, and geoenviron mental engineering. With 30 years of experience in design and consulting engineering as well as 10 years in environmental construction, he is broadly founded in geoenviron mental engineering and construction. John has acted as a Project Engineer, Project Manager, or Principal Engineer on over 1,000 geoenviron mental projects. • MBA, Emory University, Atlanta, GA Vista Irrigation DistrictHP Reservoir, Vista, CA: Principal Geotechnical • MS, Geotechnical Engineer during a geotechnical investigation for retrofitting of an existing Engineering, University water reservoirthat is25foottall and 150foot in diameter. Otherfeatures of California Berkeley, will include a mechanical building with an antennae tower, associated Berkeley, CA paved driveways, and a security fence. • BS, Civil Engineering, University of Santa Clara, P-079 CPEN Water Distribution Improvements, MCB Camp Santa Clara, CA Pendleton, Oceanside, CA: Principal Geotechnical Engineer during a geotechnical investigation for 29,050 feet of water transmission main improvements, to be completed in two segments. Both segments • • include of installation of 24-inch diameter PVC lines and segment one • • includes the removal of an existing 18-inch transmission line. Supporting • State of California infrastructure will include a 50-foot diameter elevated reservoir structure, Professional two booster stations, and abandonment of existing water transmission Engineer#27211 mains. • State of California Geotechnical Engineer City of Poway Martincoit Road Sewer Upsize Project, Poway, CA: #651 Principal Geotechnical Engineer during a geotechnical investigation for • State of Nevada the replacement of pipes along Martincoit Road. Approximately 1,870 Professional feet of 8-inch diameter pipe will be replaced with 12-inch diameter pipe Engineer#019392 and 2,970 feet of 10- and 12-inch pipeline will be replaced with 15-inch • State of Georgia diameter pipe. Professional Engineer#PE012044 City of Carlsbad Ocean Street Beach Access Improvements, • State of Florida Carlsbad, CA: Principal Geotechnical Engineer during a geotechnical Professional investigation for the $3.1 million project consisting of seven Carlsbad Engineer#63403 beach entrances along Ocean Street in an effort to enhance the privacy, • Engineer -of -Record, Georgia Department of security, and aesthetics. Some of the improvements included more Natural Resources, Safe inviting and attractive stairs, railings, and landings leading down to beach Dams Branch areas, trash/recycling receptacles, lighting, crosswalks, and drought tolerant landscaping. Significant improvements were made to upgrade stormwater systems to current design standards and codes. III RICHARD BRADY & ASSOCIATES, INC. E-40 25B-118 Resume Nick Coates, PLS I Project Surveyor Mr. Coates has over 37 years of diverse, worldwide surveying experience in both the field and office performing many types of Education surveying including vertical and horizontal control, photo control, GPS surveys, topographic surveys, design surveys, boundary • HNC Land and Engineering surveys, Right of Way surveys, monitoring surveys and construction Surveying, Polytechnic of layout. the Southbank, London, UK Registrations/Certifications Experience • CA, Professional Surveyor No. 9306 Project: Sheep Creek Reservoir Location: Wrightwood, CA • MO, Professional Surveyor Client: Golden State Water Company No. 2008000716 Role: Project Surveyor Survey to support the design of approximately 1000' feet of new water pipeline from the Sheep Creek Reservoir to the mainline Areas of Expertise connection. • Project Coordination Project: Redlands Water Treatment Plant • Data Management Location: Redlands, CA Client: City of Redlands • Survey Systems Role: Project Surveyor Aerial Mapping and Design Surveys to support the reconfiguration • GIs of the City of Redlands Water Treatment Plant. Coast Surveying also provided a Boundary Survey of the site. Project: Medical Center Drive Location: Mission Viejo, CA Client: Moulton Niguel Water District Role: Project Surveyor Design Survey and Boundary Survey to support the design of anew water main pipeline from Marguerite Parkway to the Mission Hospital in Mission Viejo along with a survey of part of the hospital ground for the installation of a reservoir. The project also included the preparation of Legal Descriptions and Exhibits for proposed easements. Project: New Well 14 and Storm Drain Project Location: Huntington Beach, CA Client: City of Huntington Beach Role: Project Surveyor This project, which combined a survey for a new water well with a survey for the design of a new storm drain, required Coast surveying to provide a design survey and Right of Way Survey of approximately 2000' of McFadden Boulevard and a topographic and boundary survey in an adjacent area of undeveloped land in the City RICHARD BRADY &ASSOCIATES, INC. E-41 25B-119 Resume Ruel del Castillo, PLS I Survey Manager Mr. del Castillo has over 54 years of experience in managing both field and office operations for all phases of surveying and mapping Education services. He has managed over 30 "On -Call" contracts directlyfor the support of many federal, state, and local agencies. These • Major course work in contracts include the Counties of Los Angeles and Orange, the U.S. Business Admin & Land Forest Service, various U.S. Army Corps of Engineer Districts, the Surveying, Santa Ana U.S. Navy —Southwest Division, and the Metropolitan Water District College, 1973 (MWD). Registrations / Certifications Experience • CA, Professional Surveyor No.4212 Project: Colorado River Aqueduct Real Property Recordation • AZ, Professional Surveyor Program No. 11844 Location: Southern California Client: MWD • NV Professional Surveyor Role: Survey Manager No. 4713 Coast Surveying delivered more than twenty Records of Survey, As - Built Surveys and Control Surveys to MWD on an As -Needed basis. • ID Professional Surveyor The surveys covered hundreds of square miles throughout MWD's 5200 square mile service area. No. 3668 Project: Camp Wilson Water Treatment Plant • NM Professional Surveyor Location: Twentynine Palms, CA No. 7249 Client: NAVFAC Role: Survey Manager • WA Professional Surveyor Coast Surveying provided aerial mapping to support the design of a No. 22480 new water treatment plant and pipelines at the Marine Corps Air Ground Combat Center located at 29 Palms California. The mapping • CO Professional Surveyor was produced at 1"=20' scale and covered an area of 7 square miles No. 25939 of rough, desert terrain. To control the survey 56 aerial targets were set and tied to the California State Plane coordinate network. • UT Professional Surveyor No. 4730903 Areas of Expertise • Project Management • On -call contract management • Extensive Experience in Boundary and Right of Way Surveys Project: FEMA Updates Study Location: Newport Beach, CA Client: City of Newport Beach Role: Survey Manager Coast Surveying performed a survey to determine the elevations of seawalls in the Newport Beach Harbor area. The purpose of the survey was support computer modelling to determine if recently re- published FEMA maps for the area were an accurate representation of the existing conditions. Due to numerous access issues a mixture of ground surveys and 1"=20' scale targeted aerial mapping were used to collect the data which were delivered in GIs format. RICHARD BRADY &ASSOCIATES, INC. E-42 25B-120 Resume Megan Brown, PE Role: Senior Project Manager, Southwest Regional Manager Education B.S., Mechanical Engineering, University of California, San Diego, 2003 Registration Civil Engineer, CA (C74708) Joined V&A 2018 Total Years of Experience 16 years Professional Summary Megan is licensed as a civil engineer with more than 16 years of experience working in water system planning, hydraulic modeling, condition assessment and design of water and wastewater facilities. She has completed projects throughout Southern California including planning, design, and construction management of pipelines, pump stations, storage reservoirs and water treatment plants. Relevant Experience EMWD Cawston Lift Station Condition Assessment. Hemet, CA V&A Consulting Engineers, Inc. (V&A) was retained by West Yost Associates for condition assessment services to support the Eastern Municipal Water District (District) in a condition assessment of the Cawston Lift Station (LS). Located in Hemet, California, the Cawston LS was built in 1976 and is currently out of service. The design pumping capacity is 4.6 million gallons per day. The areas included in the assessment of the Cawston LS were the engine and generator room, the pump room, the wet well, and the exterior of the building. Condition assessment methods included visual assessment, concrete surface testing (sounding, penetration, crack widths, pH), surface penetrating radar to remotely determine reinforcement placement, coating thickness measurements, and ultrasonic thickness testing of metal components. V&A developed a condition assessment Technical Memorandum presenting the findings and recommendations. Encina Wastewater Authority Water Pollution Control Facility 2019 Condition Assessments. Carlsbad, CA V&A Consulting Engineers (V&A) was retained by Encina Wastewater Authority (EWA) to perform a condition assessment of various facilities at the Encina Water Pollution Control Facility (EWPCF) in Carlsbad, CA. The EWPCF is a conventional activated sludge wastewater treatment plant with a liquid capacity of 40.5 MGD. The goal of the project is to provide recommendations for facility rehabilitation and/or replacement to allow EWA to plan for capital improvement projects. Condition assessments will be performed on the primary sedimentation basins, CEPT chemical feed and storage area, air handling units, screw conveyors, heat exchangers, odor reduction facilities biotowers, return activated sludge box structures, and the secondary drainage and scum storage pit. V&A will develop remaining useful life (RUL) estimates, recommendations to extend RUL, recommendations for replacement, and cost estimates. MWD Lake Mathews and Lake Skinner Dams Vaults and Pipe Condition Assessments. Riverside County, CA V&A Consulting Engineers, Inc. (V&A) was retained by AECOM to perform manned entry condition assessments at fourteen vaults along the Lake Mathews Dam and Lake Skinner Dam. In addition, V&A provided closed-circuit television (CCTV) documentation of seepage piping at the Lake Skinner Dam Spillway. Condition assessment methods at the vaults included visual assessment with photo documentation and concrete surface testing including sounding, penetration, crack widths, and pH). V&A coordinated with Pro -Pipe to perform cleaning and CCTV of the seepage piping at the Lake Skinner Spillway. V&A developed a condition assessment report presenting the findings and recommendations. Orange County Sanitation District P15-02 Edinger Pump Station Condition Assessment. V&A I 1 RICHARD BRADY &ASSOCIATES, INC. E-43 25B-121 Huntington Beach, CA V&A Consulting Engineers, Inc. (V&A) was retained by Lockwood, Andrews & Newnam, Inc. (LAN) to perform a condition assessment of the Edinger Pump Station to support the Orange County Sanitation District (OCSD) for the Edinger Pump Station Rehabilitation Study in Huntington Beach, CA. The pump station consists of two separate reinforced concrete structures, a circular wet well and a rectangular dry well. It is located beneath the travel way of Edinger Avenue near the intersection of Graham Street. The purpose of the condition assessment was to provide an opinion of the physical condition and determine remaining service life. Condition assessment methods included visual assessment, concrete surface testing, surface penetrating radar, half -cell potential, galvanostatic pulse testing, and concrete core samples and laboratory testing. Los Angeles Community College District (LACCD) District -Wide Utility Infrastructure Condition Assessment. Los Angeles, CA V&A Consulting Engineers (V&A) was retained by Cardno, Inc. for Condition Assessment (CA) services to support the Los Angeles Community College District (LACCD) across all nine of their campuses. The purpose of the project was to assist LACCD with the future improvement project planning, including budget and estimation of life expectancy as well as the cost of repair or replacement of various utilities throughout the district. The scope of work consisted of multiple utility systems, including potable water, reclaimed water, hydronic water, sanitary sewer, and natural gas. An array of utility testing and tasks performed were visual assessments of above/belowground components and manholes, the ultrasonic thickness of accessible metallic components, leak detections, and confined space entry into the manholes and underground tunnel systems. Also, concrete testing through concrete sounding, concrete penetration, concrete surface pH, surface penetrating radars (SPR), and coating evaluations. The desktop review and assessment of the sanitary sewer pipe conditions are per the NASSCO standards. Also, performed were soil resistivity testing through evaluations for corrosive impact potentials the native soil may have on buried metallic components. We delivered a technical report detailing the results of the condition assessment findings and recommendations for improvements, including recommendations for preventive maintenance and rehabilitation using qualitative and quantitative data obtained during the assessments. Encina Wastewater Authority FY 2018 Condition Assessment Services. Carlsbad, CA V&A was retained by Encina Wastewater Authority (EWA) to perform condition assessment services at the Encina Water Pollution Control Facility (EWPCF). Facilities included in the FY-18 assessment include the Outfall and Surge Tower, Dissolved Air Flotation Thickeners (DAFTs), Bar Screen Bypass Lines, and Cogeneration Building. V&A is performing on -site field assessments to determine the condition and remaining service life. Concrete surface assessments include sounding, penetration measurements, surface pH, and surface penetrating radar. UT testing and pit depth measurements will be performed on the metal piping associated with the Surge Tower and DAFTs and OFT of coatings presents. Findings and recommendations will be presented to EWA in Condition Assessment Report. Padre Dam Municipal Water District Trans=River Inverted Siphon Condition and Capacity Assessment. Santee, CA V&A Consulting Engineers (V&A) is currently conducting a condition and capacity assessment of approximately 18,000 linear feet of 24-inch sludge pipeline owned and operated by Padre Dam Municipal Water District (PDMWD) in Santee, CA. The double barrel inverted siphon crossing the San Diego River is the only pipeline that can convey raw primary and secondary sludge flow from the Roy Stoyer WRF to the San Diego METRO Interceptor and is the focus of the condition assessment. V&A obtained flow monitoring data on each siphon for a two week period per siphon. V&A is also currently conducting a condition assessment methodology evaluation that included the inverted siphons and sludge pipeline in terms of overall cost, ease of implementation, and type and quality of produced data. The evaluation will recommend technologies to be used for the condition assessment. Once final selection is made by PDMWD, a Condition Assessment Work Plan will be developed by V&A for execution of the recommended condition assessment method, access locations, roles and responsibilities, and a revised implementation cost estimate. RICHARD BRADY &ASSOCIATES, INC. E-44 25B-122 Resume Jessica Bolanos, PE Role: Project Engineer Education B.S., Civil Engineering, Santa Clara University, 2014 Registration Civil Engineer, CA (C88347) Joined V&A 2019 - Fuiitime Total Years of Experience 7 years (2012) Training and Certifications • NACE Coating Inspector Level I - 8616808 • Sant Clara Valley Water District (SCVWD) Emerging Leaders Certification Program • Confined Space Entry -Certified • Basic CPR/First Aid Professional Summary Ms. Bolanos has a BS in Civil Engineering earned from Santa Clara University in 2014. She is a registered Civil Engineer in the state of California and a NACE Level 1 Coatings Inspector. With more than 7 years of experience in the industry, Jessica has recentlyjoined the V&A team. Jessica previously worked at the Santa Clara Valley Water District, where she was involved in the planning and design for major pipeline inspection and rehabilitation projects, pipeline repairs, and emergency response projects. Jessica managed and participated in multiple condition assessment projects for large diameter prestressed concrete cylinder pipe. Relevant Experience EMWD Cawston Lift Station Condition Assessment. Hemet, CA V&A Consulting Engineers, Inc. (V&A) was retained by West Yost Associates for condition assessment services to support the Eastern Municipal Water District (District) in a condition assessment of the Cawston Lift Station (LS). Located in Hemet, California, the Cawston LS was built in 1976 and is currently out of service. The design pumping capacity is 4.6 million gallons per day. The areas included in the assessment of the Cawston LS were the engine and generator room, the pump room, the wet well, and the exterior of the building. Condition assessment methods included visual assessment, concrete surface testing (sounding, penetration, crack widths, pH), surface penetrating radar to remotely determine reinforcement placement, coating thickness measurements, and ultrasonic thickness testing of metal components. V&A developed a condition assessment Technical Memorandum presenting the findings and recommendations. Encina Wastewater Authority Water Pollution Control Facility 2019 Condition Assessments. Carlsbad, CA V&A Consulting Engineers (V&A) was retained by Encina Wastewater Authority (EWA) to perform a condition assessment of various facilities at the Encina Water Pollution Control Facility (EWPCF) in Carlsbad, CA. The EWPCF is a conventional activated sludge wastewater treatment plant with a liquid capacity of 40.5 MGD. The goal of the project is to provide recommendations for facility rehabilitation and/or replacement to allow EWA to plan for capital improvement projects. Condition assessments will be performed on the primary sedimentation basins, CEPT chemical feed and storage area, air handling units, screw conveyors, heat exchangers, odor reduction facilities biotowers, return activated sludge box structures, and the secondary drainage and scum storage pit. V&A will develop remaining useful life (RUL) estimates, recommendations to extend RUL, recommendations for replacement, and cost estimates. Los Angeles Community College District (LACCD) District -Wide Utility Infrastructure Condition Assessment. Los Angeles, CA V&A Consulting Engineers (V&A) was retained by Cardno, Inc. for Condition Assessment (CA) services to support the Los Angeles Community College District (LACCD) across all nine of their campuses. The purpose of the project was to assist LACCD with the future improvement project planning, including budget and estimation of life expectancy as well as the cost of repair or replacement of various utilities throughout the district. The scope of work consisted of multiple V&A I 1 RICHARD BRADY &ASSOCIATES, INC. E-45 25B-123 utility systems, including potable water, reclaimed water, hydronic water, sanitary sewer, and natural gas. An array of utility testing and tasks performed were visual assessments of above/belowground components and manholes, the ultrasonic thickness of accessible metallic components, leak detections, and confined space entry into the manholes and underground tunnel systems. Also, concrete testing through concrete sounding, concrete penetration, concrete surface pH, surface penetrating radars (SPR), and coating evaluations. The desktop review and assessment of the sanitary sewer pipe conditions are per the NASSCO standards. Also, performed were soil resistivity testing through evaluations for corrosive impact potentials the native soil may have on buried metallic components. We delivered a technical report detailing the results of the condition assessment findings and recommendations for improvements, including recommendations for preventive maintenance and rehabilitation using qualitative and quantitative data obtained during the assessments. Santa Clara Valley Water District Cross Valley Pipeline and Calero Pipeline Inspection and Rehabilitation Project. Morgan Hill, CA Project engineer for the inspection and rehabilitation of approximately 11 miles of 78- inch prestressed concrete cylinder pipe. The purpose of the project was to inspect the raw water transmission pipeline to determine if repairs were needed, rehabilitate various appurtenance vault sites, and install an acoustic fiber optic (AFO) monitoring system on the pipeline. Specific responsibilities included the planning and coordination of lockout-tagout, pipeline dewatering, AFO monitoring system installation, the electromagnetic and visual inspection, and the carbon fiber reinforced polymer (CFRP) repair method. [2018] Santa Clara Valley Water District CFI -CFO Levee/Access Road Repair. Morgan Hill, CA Project manager for the replacement of seven culverts that are embedded in the Calaveras Fault levee/access road, which allow water to pass through the levee without impounding. Due to degrading and aged infrastructure, the corrugated metal culverts would be replaced with HDPE pipe. Specific responsibilities included developing design drawings, acquiring environmental permits, determining material C quantities, and developing a cost estimate and schedule. [2018] Santa Clara Valley Water District Penitencia Water Treatment Plant Expansion Joint Replacement. San Jose, CA Project manager for the replacement of a 66-inch seismic joint located on a transition riser at the District's water treatment plant. The existing joint was leaking due to corrosion at the flange - bellow connection. Specific responsibilities included performing an on -site field assessment of the failure, preparing design specifications for a newjoint, procuring materials, coordinating repair work, and developing a root -cause analysis report. [2018] Santa Clara Valley Water District Cross Valley Pipeline Inspection. Morgan Hill, CA Project manager for the electromagnetic and visual inspection of approximately 3 miles of a 78-inch raw water pipeline. The purpose of the inspection was to assess the condition of the prestressed concrete cylinder pipe (PCCP) and determine if any repairs were needed. Specific responsibilities included developing a dewatering plan, coordinating lockout-tagout and dewatering operations, acquiring environmental permits, developing an inspection plan, coordinating with external consultants for confined space rescue support and electromagnetic inspection services, and performing the visual inspection. [2018] Santa Clara Valley Water District South County Recycled Water Pipeline Project. Gilroy, CA Project engineer for the design of 13,000 linear feet of 36-inch HDPE recycled water pipeline, which included multiple jack and bore crossings, a creek crossing using horizontal directional drilling, and air release and blow -off appurtenances. The pipeline began at the sewer treatment facility and ran through various farmland, public roads, and land developments in Gilroy. Project success required coordination with Caltrans, Department of Fish and Game, State Water Quality Control Board, City of Gilroy, County of Santa Clara, and the South County Regional Wastewater Authority. Design elements included materials evaluation, multiplejack and bore crossings, a horizontal directional drill crossing, flow control facilities, air release and blow -off structures. [2015] RICHARD BRADY &ASSOCIATES, INC. E-46 25B-124 Matthew H. Snow, EIT Role: Associate Engineer Education B.S., Civil Engineering, San Diego State University, CA, 2013 Registration Engineer in Training, CA (EIT 149026) Joined V&A June 2013 - Fulitime March 2013 - Intern Position Total Years of Experience 8 years Training and Certifications • National Association of Corrosion Engineers (NACE) CP4 Cathodic Protection Specialist (59220) • Basic CPR/First Aid • Confined Space Entry -Certified Publications "Two for the Price of One", ASCE Pipelines Conference 2016 Professional Summary Matt received his bachelor's degree in Civil Engineering from San Diego State University in 2013. Matt completed an internship with the City of San Diego's Corrosion Sector where he was exposed to the basics of corrosion engineering and cathodic protection. Matt began his career with V&A as an intern in corrosion engineering. Since then, he has broadened his scope of knowledge. Working throughout multiple practice areas, he has experience in conducting field tests including pipe -to -soil potential surveys, current requirement testing, electrical continuity testing, and soil resistivity measurements. Matt is a certified engineer in training and successfully completed the NACE International CP4 Cathodic Protection Specialist course and is awaiting certification. Relevant Experience Cucamonga Valley Water District Reservoir 3C-2 Condition Assessment. Rancho Cucamonga, CA V&A was retained for condition assessment services to support the Cucamonga Valley Water District Reservoir 3C-2. The CA included assessment of field conditions, report of findings, alternatives and recommendations for rehabilitating the structural steel members and managing corrosion in the future for a 16-million-gallon pre -stressed concrete reservoir at the Lloyd W. Michael Water Treatment Plant. [5.2015 1 15-0084 1 w] East Orange County Water District Paul A. Andres Reservoir Cathodic Protection System Design. Orange, CA V&A designed a galvanic anode cathodic protection system for the submerged interior of East Orange County Water District's (EOCWD's) Paul A. Andres Reservoir. V&A submitted drawings and technical specifications for the cathodic protection (CP) system detailing the number, size, location, and material of the galvanic anodes required to provide corrosion control to the reservoir. V&A activated the CP system after installation was completed. A report was submitted summarizing the results of the activation including tank -to -water potentials, anode current outputs, and anode open circuit potentials. [1.2017 1 15-0026 1 w] Sacramento Suburban Water District (SSWD), Antelope Reservoir Rehabilitation Project. Antelope, CA Assessed the condition of the existing impressed current cathodic protection (ICCP) system for Antelope Reservoir. Antelope Reservoir is a 5 million -gallon (MG) ground storage reservoir constructed in 1996. It has a nominal diameter of 166 feet and nominal height of 31 feet. This condition assessment report summarized field observations and test results. Recommendations for rehabilitation were presented, and preliminary cathodic protection design information was provided. [04.2019 1 15-0214 1 w] City of Sacramento, Condition Assessment of Water Storage Facilities. Sacramento, CA V&A assessed the exterior and interior of four RICHARD BRADY &ASSOCIATES, INC. E-47 25B-125 water storage tanks with capacities of 3 million gallons each. Three tanks were constructed of concrete with diameters between 100 feet and 144 feet and heights up to 110 feet above ground. One tank was an elevated steel tank supported by multiple columns. The tanks were constructed between 1937 and 1961. V&A developed an industry -accepted scoring and ranking methodology to prioritize repair and replacement work to the water storage reservoirs. The methodology will be used by the City of Sacramento on steel and concrete reservoirs to determine the condition of the City's water infrastructure and will be used to prioritize planning studies, rehabilitation and replacement projects, and preventative maintenance scheduling. V&A performed interior assessments while the tanks were filled with water with use of a raft. V&A provided repair recommendations with budgetary cost estimates. [2.2018 1 15-0382 1 w] San Jose Water Company Sweigart Station Reservoir Cathodic Protection System Design. San Jose, CA V&A designed a galvanic anode cathodic protection (CP) system for the submerged interior of San Jose Water Company's (SJWC) Sweigart Station Reservoir. Due to constraints set forth by SJWC, V&A was required to design a custom CP system featuring horizontal anodes suspended from anchors welded to the interior walls of the tank. V&A submitted drawings and technical specifications for the CP system detailing the number, size, location, and material of galvanic anodes required to provide corrosion control to the reservoir. [7.2016 1 16-0106 1 w] Western Municipal Water District Cathodic Protection Monitoring Services. Riverside, CA V&A conducted a corrosion assessment of the District's pipelines and reservoirs by measuring structure -to -electrolyte potentials at available test stations. The potentials measured on non- cathodically protected pipelines and reservoirs were evaluated to determine if the structures were actively corroding. The potentials measured on cathodically protected pipelines and reservoirs were compared to NACE criteria for corrosion control to determine if corrosion of the structures had been mitigated. V&A presented a report summarizing the results of the assessment and presented recommendations for future maintenance and testing of the structures. [7.2016 1 14-0367 1 w] City of Modesto, Del Rio Water Tank and Transmission Pipeline. Modesto, CA Reviewed water quality analysis and soil sample resistivity testing and chemical analysis to determine the corrosivity of the water and soil towards a 250,000-gallon welded steel water tank and a 16-inch diameter cement -mortal lined and coated steel transmission pipeline. Provided recommendations for corrosion control, including coatings, lining, and corrosion monitoring. Based on the water and soil conditions, cathodic protection was not recommended. [11.2018 1 17-0194 1 w] San Jose Water Company Cheim Reservoir Cathodic Protection System Design. San Jose, CA V&A designed a galvanic anode cathodic protection (CP) system for the submerged interior of San Jose Water Company (SJWC) Chaim Reservoir. Due to constraints set forth by SJWC, V&A was required to design a custom cathodic protection system featuring horizontally oriented anodes suspended from anchors welded to the interior walls of the tank. V&A submitted drawings and technical specifications for the cathodic protection system detailing the number, size, location, and material of galvanic anodes required to provide corrosion control to the reservoir. [3.2016 1 16-0030 1 w] Cucamonga Valley Water District Reservoir 3C-2 Condition Assessment. Rancho Cucamonga, CA V&A was retained for condition assessment services to support the Cucamonga Valley Water District Reservoir 3C-2. The CA included assessment of field conditions, report of findings, alternatives and recommendations for rehabilitating the structural steel members and managing corrosion in the future for a 16-million-gallon pre -stressed concrete reservoir at the Lloyd W. Michael Water Treatment Plant. [8.2015 1 15-0084 1 w] RICHARD BRADY &ASSOCIATES, INC. E_48 25B-126 Concrete Reservoir Des°gn e .'Russell C. genmir y t:. RBramm raoM AND G9rMalim AS A PAL? 07 JOURNAL A2m=AN. WAffi WORM Ass00tA=w ... - Vol. 60, No. 10, Octobers 1968 2 7AP9 00 RICHARD BRADY &ASSOCIATES, INC. F-49 25B-127 C REPRINTED FROM AND COPYRIGHTED AS A PART OF JOURNAL AMERICAN WATER WORxs ASSOCIATION Vol. 60, No. 10, October 1968 P,intM in U. S. A. Concrete Reservoir Design Russell C. Kenmir A paper presented an Jun. 4, 1968, at the Annual Conference, Cleve- land, by Russell C. Kenmir (Active Member, AWWA), Pres. and Chief Engr., lames M. Montgomery, Cans. Engrs., Inc., Pasadena, Calif. RESERVOIRS involve a multitude of details which must be designed and constructed properly. The diffi- culties experienced with many reser- voirs have been due not so much to structural inadequacies, but rather to insufficient attention to seemingly mi- nor details, such as locations of con- struction joints, installation of water - stops, vibration and curing of concrete, and design and construction of under - drains. These details can cause costly maintenance problems if not properly designed and constructed. For this reason, this paper emphasizes such details. Common Types The elements of the most common types of concrete reservoirs are briefly as follows: The walls may be of nonprestressed design or prestressed or post -tensioned design. The nonprestressed design may have (1) a sloping wall or (2) a vertical wall of a circular -hoop -ten - Sion, cantilever, or vertical beam type. The prestressed or post -tensioned de- sign may be (1) cast or shot -in -place core -wall, wrapped with rods equipped with turnbuckles, (2) cast or shot -in - place core -wall, with embedded tubes or paper sheathing enclosing post -ten- sioning cables, (3) cast or shot -in -place core -wall, with or without embedded steel shell, and wrapped with post - tensioned wire, or (4) precast, pre- stressed wall panels supported at top and bottom with ring girders. The roof of a cast -in -place design may be one of the following types: (1) multiple -arch, (2) multiple -dome, (3) single -dome, (4) beam, joint, and slab, or (5) flat -slab. The roof on a precast design may -be either a non - prestressed type or a pretensioned or post -tensioned type. Selection of Type The esthetic requirements of the site neighborhood and the relation of the site elevation to the desired maximum water surface elevation are important factors in selecting the Type of reser- voir. Frequently a study is made to determine whether a circular, rectangu- lar, or irregularly shaped structure would fit the site best. A concrete reservoir with the roof and walls ex- posed to the weather is likely to require more maintenance than buried concrete reservoirs. Buried structures are not subject to wide temperature variations, wetting and drying conditions, and, in cold climates, to freezing and thawing conditions. With the excellent materials now available, the reservoir designer has 1181 RICHARD BRADY &ASSOCIATES, INC. F-50 25B-128 1182 R. C. KENMIR lour.AWIVA the opportunity to satisfy public de- mand for pleasing designs of above- ground concrete reservoirs. He can also develop economical designs of un- derground reservoirs, which, by virtue of being underground, permit the space above the reservoirs to be used for parking lots, playgrounds, parks, and service yards. Figures 1 and 2 are examples of such uses. Nonprestressed circular reservoirs require a relatively thick wall and are more expensive than prestressed res- ervoirs. There has been a trend since the end of World War II toward con - Prestressed concrete reserovirs using embedded tubes or paper sheathing en- closing post -tensioning cables are built occasionally. If precautions 1-4 rec- ommended below for prestressed wire - wrapped reservoirs are followed, this type of construction should be satis- factory, provided the cables are care- fully installed in a horizontal position and, after post -tensioning the cables, the tubes, if used, are completely filled with grout. Prestressed concrete reservoirs using wire -wrapping as the post -tensioning element have been used extensively, rig. 1. Civic Center Reservoir, Vernon, Calif. The surface above this 10-fnil-gal reservoir is used for a two -level parking lot. ventional rectangular designs and cir- cular prestressed structures. Although many prestressed concrete reservoirs are still being built, they have become less popular in some areas in recent years because of difficulties experienced with corrosion of the pre- stressing elements. If careful attention is given to design and construction de- tails, a satisfactory structure should re- sult; however, some engineers feel that there exists an inherent element of un- certainty about the quality of construc- tion that may be achieved even under close supervision. but many existing reservoirs of this type have developed serious mainte- nance problems. The most common of these problems is lack of bond between the core -wall and the pneumatically ap- plied mortar used to protect the wire - wrapping, and cracking of the mortar where the wall is exposed to the weather. As the mortar is relatively thin, it tends to dry out and crack, thus permitting atmospheric corrosion of the wire -wrap. If the structure is buried, this particular problem is largely eliminated. Buried reservoirs RICHARD BRADY &ASSOCIATES, INC. F-51 25B-129 Oct.1968 CONCRETE RESERVOIR DESIGN 1183 of this type using flat -slab roofs have histories of satisfactory service. General. Precautions . Some general precautions can re- duce the possibility of truble with wire - wrapped prestressed reservoirs. These include: 1. Prohibiting the use of calcium chloride in the concrete mix or in the pneumatically applied mortar 2. The use of rubber or asbestos - graphite pads for supporting the roof on the wall 8. Use of galvanized wire for the wire -wrap 9. Filling the reservoir before the pneumatically applied mortar is shot on the core -wall and stopping any leaks through the wall that may appear 10. Application of two coats of a good quality vinyl paint to the com- plete exterior surfaces of the wall to seal any hair -line cracks. Precast Prestressed Reservoirs Precast prestressed reservoirs built under the Pritzker system have created Fig. 2. Roof Over Riviera Reservoir, Santa Monica, Calif. The roof area over this 25-mil-gal reservoir is used for tennis courts and parking area. 3. The use of a bulb -type waterstop between the wall footing and the wall 4. Constructing the concrete core - wall in alternate sections and using waterstops in the vertical joints 5. Use of a water cure only, for the outside surface of the wall 6. Sandblasting the exterior surface of the wall before the wire -wrapping is done 7. Application of a cement slurry to the outside of the core -wall as the wire -wrap is placed and again just before the pneumatically applied mor- tar is placed C considerable interest in recent years, primarily because the designs offered are esthetically pleasing. Figure 3 il- lustrates this type of reservoir. It con- sists of a series of pretensioned curved panels held together like staves of a barrel by cast -in -place ring girders at the top and bottom. In small reser- voirs, the ring girders may be de- signed as ordinary reinforced concrete members without post -tensioning. In large reservoirs, they may be post - tensioned by using either . embedded tubes and cables or by wire wrapping applied to the outside faces of the ring RICHARD BRADY &ASSOCIATES, INC. F-52 25B-130 girders. The latter method requires the use of a pneumatically -applied mor- tar coating over the wire -wrap. Be- cause of the precast method of con- struction, reservoirs of this type have not employed waterstops in the walls. All joints have been sealed with either polysulfide or polyurethane sealant. As quality control in the manufacture of both polysulfide and polyurethane sealants is not always reliable, the life of the sealant may be uncertain. There- fore, maintenance expense may be rather high. It is believed, however, that modified designs will be available Buried Concrete Reservoirs Because of the rising cost of Iand in urban areas, the underground con- crete reservoir has become more at- tractive to water utility agencies. Maintenance expense can be practically eliminated, and the savings in main- tenance expense alone largely offsets the higher initial cost of this type of reservoir. Thus, the benefits of using the area above the reservoir may be considered a bonus to the community. Buried reinforced concrete reser- voirs can be built in rectangular or ir- Fig. 3. Precast, Post -Tensioned Reservoir, Santa Ana, calif. This 6-mil-gal reservoir was built under the Pritzker system. in the near future that will eliminate the necessity of relying solely upon sealants to insure watertightness of the joints. Several precast prestressed reser- voirs have been constructed on the west coast. They have been expensive for a single reservoir, but if two or more reservoirs of this type are built under a single contract, the cost is competitive with other types of con- crete reservoirs. regular shapes and can accommodate any reasonable live load above the reservoir. This type of structure has been widely used in England and in the eastern United States. A recent sur- vey of reservoir practice in England showed that 64 per cent of the reser- voirs constructed in recent years had cast -in -place concrete roofs, most of which were buried and of flat -slab con- struction. Although very few buried concrete reservoirs were built on the RICHARD BRADY &ASSOCIATES, INC. F-53 25B-131 west coast prior to World War II, they have received increasing accept- ance during recent years. The author alone has supervised the design of more than 30 reservoirs of this type, all of which were built in the western United States. Figure 4 illustrates an earlier design which combines a 12-ft vertical wall and a 2:1 sloping side. Because of the difficulty in pro- ducing a dense concrete on a steep slope, Iater designs employ 5:1 slopes. Concrete can be placed almost as easily on a 5:1 slope as on the level. A later design is illustrated in Fig. 5. result in a perpetual maintenance ex- pense if not properly designed. Fig- ure 7 illustrates a type of expansion joint which is suitable for an exposed concrete roof which is not a tension member between walls. Figure 8 il- lustrates an expansion joint in a roof that acts as a tension member between opposite walls and as a tension tie to the tops of the walls. Cost Data Table 1 is a tabulation of construc- tion cost data on numerous concrete Fig. 4. Walteria Reservoir, Torrance, Calif. The capacity of this reservoir is 10 roil gal. Because of site limitation, it is some- times impractical to bury a reservoir completely. Figure 6 illustrates such a reservoir. With reservoirs of this type, the design of the roof should in- clude a careful analysis of the effects of temperature changes. In small res- ervoirs, such temperature changes are not likely to require any special pro- visions in the design, but in large res- ervoirs expansion joints in the roof may be necessary. Such joints can C reservoirs of various types which have been built in California and Nevada since World War II. The costs in- clude all appurtenant items such as earthwork, piping, paving, fencing, and so forth, and therefore reflect higher unit costs than would be the case if the structure alone were considered. The current Engineering News -Record construction cost index has been ap- plied to indicate approximate current unit costs. Engineering, inspection, RICHARD BRADY &ASSOCIATES, INC. F-54 25B-132 and administration costs are not in- cluded. The cost per gallon varies widely, depending upon the capacity of the reservoir, character and amount of earthwork, and many other variables. General Design Considerations Regardless of what type reservoir is selected, certain basic factors should receive consideration in developing the design. Frequently, one or more of these basic factors are overlooked, with serious consequences. 1. Foundation problems. Soil char- acteristics of the site should be de- termined by specialists in soils engi- neering. The allowable bearing values and probable differential settlements should be estimated based on a satu- rated condition of the subgrade soils. Consideration should be given to over - excavation of the site and refilling with suitable granular material if the subgrade soils are expansive or yield- ing, or if the subgrade is partly on rock and partly on earth or partly on cut and partly on fill. If the structure TABLE 1 Contraction Cost Data on Selected Reservoirs in California and Nevada Reservoir Location Ca- paeity mil gal Type of Construction Construction Cost Date Bid ENR Can- struction Index Cost at ENR Index of 1130 3 Total 6 Per When Bid 6 Per gal gal Paeadena-Joan 50 Buried -conventional 950.000 1.9 Nov. '49 480.0 4.5 Pasadena -Coronet 1.4 Buried -conventional 100,000 7.1 June '51 543.4 14.8 Torrance-Walteria 10 Buried -conventional 422.000 4.2 Sept. '52 586.7 9.1 Beverly Hills -Sunset 6 Buried -conventional 422.000 7.0 Jan.'56 676A 11.7 Ontario -Bales 2 Buried -conventional 103.000 5.2 Mar.'S6 680.2 8.6 Santa Ana -Walnut St. 7 Buried -conventional 362,000 5.2 Sept. 156 7G4,9 8.3 Monrovia -Mountain Ave. 5 Buried -conventional 265,000 53 Oct.'56 703.9 9.5 Monrovia -Cloverleaf 6.5 Buried -conventional 353,000 5.4 Mar.'57 708.6 8.6 Ontario-Totman 3.75 Buried -conventional 184,000 4.9 J9ne'58 757.3 73 Ontario -Fern Ave. 20 Buried -conventional 693,000 3.5 Nov.'58 774.1 5.1 Fullerton -Laguna 2 Buried -prestressed -wire- 131.000 6.6 Jan.'59 778.3 9.6 wrapped Long Beach 14 Expo ed-unreinforced 344.000 2.5 Apr.'59 784.4 3.6 t910 a floor -open Santa Monica -Riviera 25 Buried -conventional 991,000 4.0 Jan.'60 811.8 5.6 Arcadia -Santa Anita 4.1 Buried -conventional 319,000 7.8 Jan.'60 311.9 10.9 Be118ower 2 Buriedconventional 177,000 8.9 Mar.'60 913.3 12.4 Beverly Hilla-Lower La 0.2 Exposed -conventional 50.000 25.0 Mar,'62 861,5 32.9 Chmega CCCWD-Bailey 2 Buried -conventional 152,000 7.6 Apr.'62 863.2 9.9 Santa Barbara -Cater 5 Buried -conventional 373,000 7.5 Oct.'62 880.2 9.6 CCCWD-San Miguel 2 Buried -conventional.. 173,000 8.9 Nov.'62 979.9 I1A No. 1 Pomona-4B I Exposed -prestressed- 61.000 6.1 Mar.'63 884.2 7.8 Pritzker CCCWD-Newhall 3 Buriedconventional 259,000 8.6 Mar.'64 922.4 10.5 Buena Park 20 Buried -conventional 810,300 41 Jnne'64 935.4 5.0 Santa Ana -South 2-6 Exposed -prestressed- 840.000 7.0 Mar.'65 957.7 8.3 Pritzker Pritzker CCCWD-Pity Hollow Buried-conventional 243.200 12.2 Aug.'65 9'4.2 14.0 CCCWD-Country Club 3 Buried -conventional 407100 13.6 Sept.'66 1037.4 14.9 CCCWD-San Miguel 2 Buried -conventional 207:600 10.4 Sept.'66 1037.4 11.3 No. 2 CCCWD-Bnllman T. P. 10 Buried -conventional 745.000 7.5 Sept.'66 1037.4 8.2 Clearweli EBMUD-Dunamuir 64 luriedconventional 4,000.000 6,3 Sept.'66 1037.4 6.9 Vernon -Civic Center In Buried -conventional 975.000 9.8 Fe.b.'67 1044.9 10.6 Pomona.5B 10 Exposed -conventional 499.000 5.0 May'67 1059.0 513 Las Vegaa-Campbell 40 Burled-convrntional 1,995,000 5.0 Aug.'67 1089,1 5.2 EnriniUs Snn Dieguito 13.3 Buried -conventional 920,000 6.9 Sept.'67 1092.2 7.1 Beverly liills-Gre) stone 19.3 Buried -conventional 1,893,000 a,8 Nov.'67 1096.7 10.1 CCCWD-North Lime 3 Buried.conventional 436,500 14.6 Apr.'69 1124.2 14.7 Ridge RICHARD BRADY &ASSOCIATES, INC. F-55 25B-133 is buried, the horizontal loading char- acieristics of the soil should be evalu- ated. If the site is on a side -hill, a geologic investigation should be made to evaluate the safety of the site against sliding. All reservoir sites should be examined by a geologist for faults. Obviously, the presence of any faults suspected to be active would dictate selection of another site. If the site of a structure is on hard rock, and the rock, after blasting or rooting, comes out in large chunks, area and work across the entire site with a high pressure hose, making a slurry of the sand so it will wash into all crevices and depressions. Addi- tional sand may be necessary to bring the site to the required grade. Com- paction of the sand subgrade can be completed with a vibratory roller. 2. Need for underdrains. Under - drains prevent uplift caused by high ground water or by leakage from the reservoir structure. If the reservoir subgrade is relatively impervious, the d it 9 in.\ Slope 1 per cent /2-8 of Earth "Water Surface D r --- _- 18 It 7' in. T WatenYop 19ft '=- 19 a'— m �o 191t 6 m 24 in. Diam. m � . o 9 y r Plan Dimensions '< Irregular, Maximum Dimension 560 It :o � Waterstop N Waterstop e a N 2 It 10 in. Underdrain slope 1 per cent Far. ,u� Fig. 6. Dunsmuir 8eservoir, Oakland, Calif. The capacity of this reservoir is 64.4 mil gal in two basins. leaving an uneven surface, the problem arises how to treat the surface to in- sure uniform support of the structure. One way, of course, is to remove com- pletely all loose material and then back - fill with concrete, as is customary for a dam foundation. Although such treatment is effective, it is expensive and usually not necessary. An inex- pensive method that the author has found effective is to place 4-6 in. of washed concrete sand over the entire C leakage will not drain away readily, and when the reservoir water level is lowered, the hydrostatic pressure from water acting on the outside surfaces of the structure may be high enough to cause failure of the floor through up- lift. Underdrains are especially impor- tant where reservoir sides are built on a slope. Underdrains also insure the stability of cantilever retaining walls used in reservoirs and other hydraulic struc- RICHARD BRADY &ASSOCIATES, INC. F-56 25B-134 1188 R. C. KENMIR 10tir.AWWA tures. In the design of such walls, the weight of the water over the footing is usually the largest single factor pre- venting overturning of the wall. Therefore, if through lack of under - drainage of the subgrade, the hydro- static uplift pressure is equal or nearly equal to the water pressure on the inside of the reservoir, the beneficial effect of the weight of the water over the wall footing is lost. Under this condition, overturning of the wall may result, depending upon the depth of earth backfill against the outside face designs have been used, some of which are illustrated in Fig. 9. For many years it was common practice to construct underdrains using an envelope of pea gravel around the drain tile bound together with about 11 sacks of cement per cubic yard. Ex- perience has shown that the cement leaches out of the pea gravel, which can cause plugging of the drain tile. Therefore, in current practice no ce- ment is used in the filter media around underdrains. 4. Construction joints. Generally Water Surface 2 R 2in.\ i t6 in. 4 Slone VMMM 12 in.-. 21tt 21ft 20ft c Plan Dimensions y„ 1 ft 6 in.x2 ft ii in. 187 ftx397 ft m_ n Slope 1 percent x.. � Fig. 6. Reservoir SE, Pomona, Calif. The capacity of this reservoir is 10 =7 gal. of the wall and whether the wall foot- ing is tied structurally to the floor of the reservoir. In any case, at least some structural damage to the wall is likely to occur. 3. Design details. An underdrain frequently consists of a shallow trench filled with i—li-in. crushed rock with or without drain tile. Consequently, with no filter provided, a bad leak could cause fines from the subgrade to be washed out through the under - drains. This eventually might cause localized failure of the structure. The author has observed several failures of this sort. A good underdrain must be designed so as to filter out fine material if leak- age water or high ground water en- ters the underdrain. Many effective speaking, construction joints in con- crete reservoirs are contraction joints rather than expansion joints. Excep- tions to this are certain joints in roofs of large reservoirs that are exposed to the weather. In reservoirs, as in most hydraulic structures, true expansion joints should be avoided if possible because movement in a concrete struc- ture creates a potential maintenance problem. In the design of hydraulic struc- tures, construction joints usually are spaced at shorter intervals than in nonhydraulic structures. A crack be- tween joints in a hydraulic structure is of considerable concern, whereas it might be of little consequence in a nonhydraulic structure. Although many satisfactory hydraulic structures RICHARD BRADY &ASSOCIATES, INC. F-57 25B-135 Oct.1968 CONCRETE RESERVOIR DESIGN 1189 -Have been built with the joints spaced at about 40 ft or more, the author's experience indicates that a spacing of 20-30 ft provides greater insurance against cracks developing between ;joints. Where unreinforced concrete linings are used, the concrete should be placed in strips 10-12 ft wide and with transverse dummy or weakened plane joints spaced about 10-12 ft apart. In many designs, it is desirable to carry the reinforcing steel through the construction joints, such as fiat -slab 1-116-imxl-in. Contin. Stainless Steel Checkered F 5-in.Xi-in. Conlin. Stainless Steel Roof Slab, the sealant groove with the bond - breaker. For all horizontal joints in walls, or between footings and walls, the sur- face of the first pour should be sand- blasted, and just before concrete plac- ing is commenced, the space between the forms should be cleaned. The joint surface should be wetted and a sand -cement grout placed on the sur- face of the joint to a depth of ,j-1-in. The grout should have a water -cement ratio corresponding to that of the concrete being used. Conlin. Neoprene Strip Cemented to Concrete 4-in. Flat -Head Countersunk Stainless Steel achine Screws E 24-ia C.C. in Expan. Shields '•1:-in.x i-in. Conlin. 12-in.X24-in.Xl-in. Rubber Pado; ,.!.in. Stainless Steel Cap Screws Vulcanized to 12-in.X24-in.XlO-in. a •-"fie r 9 12-in. O.C. in Expan. Shields Gage Stainless Steel PI. (One Opposite Each Beam Normal to Joint) 6'. .':r.: a ;o': '•?- :''-j :. ,�. �: ;; •.;,d. a -in. Stainless Steel Cap Screws in earBeam Beam � capon. shields (4 per Pad) rig. 7. Expansion Joint for Concrete Hoof That Does Not Serve as a Tension Member roofs as illustrated in Fig. 10, even though this practice increases the tendency toward cracking between the joints. Where the structural design permits, this tendency can be reduced by carrying only half the reinforcing steel across the joints. Cracking be- tween joints can be reduced by placing the concrete in alternate panels and al- Iowing them to cure for about 1 week before placing adjacent panels. Wherever vertical joints are to be sealed with waterstops or joint seal- ant, or a combination of the two, the joint face of the first pour should be coated with a suitable bond -breaker. Care should be used to avoid coating C Rubber or plastic waterstops should be used in all vertical wall joints as illustrated in Fig. 11. The more com- mon widths of waterstop are 6 and 9 in. Rubber waterstops have been largely replaced with plastic water - stops because joints in plastic are quickly and easily made with a hot knife, whereas rubber requires slow and costly vulcanizing. joints in rub- ber using a lapped joint bonded with an adhesive have been used at rea- sonable cost, but the life of such joints is dependent upon the life of the ad- hesive, which may be uncertain. In joints where more than a minute amount of movement is anticipated, it RICHARD BRADY &ASSOCIATES, INC. F-58 25B-136 1190 R. C. xENMIR JunnAWWA is advisable to use a waterstop with a center bulb having an inside diameter of at least } in. Unless waterstops are held firmly in position when the con- crete is placed, they may become so badly displaced as to render them com- pletely ineffective. In the case of a vertical wall joint, the concrete, as placed, may cause the waterstop to fold back against the form bulkhead. :11-in.X64n Plates •in. Neoprene Closed all Sponge Cemented to Plate (ryp.) N� •� In. lg in. _ih: High Tensile garsWith Opposite Threaded Ends Bars Coated With T'a-in. Neoprene (Ultimate Tensile . strength of 145,000 psi) terstops. It has been the author'; practice to omit waterstops in hori. zontal Mints only if the water depth above the joint does not exceed about 12 ft. Either flatstrip or multirib rubber or plastic waterstops are used in reser- voir floors as illustrated in Fig. 12, but usually only the flatstrip type is used in roofs. If differential movement is Main Schad. 40 PVC Pipe Sleeves Filled With Grease Gray Polyurethane Sealant /Neoprene Closed Cell Sponge y-in. Gap vl-in. Diam. Ached. 40 PVC Pipe, Sleeves Filled With Grease Drilled and Tapped Holes far A -in. Bars • Section A —A Fig. 8. Expansion Joint for Concrete Roof in Which Tension Ties Are Provided Across the Joint in Roof That Serves as Tension Member Between opposite Walls This can be prevented by holding the waterstops in position by attaching light tie wires to the edge of the water - stop spaced at about 18-in. centers and tied to the two curtains of reinforcing steel. It is considered good practice to use similar waterstops in horizontal wall joints, as illustrated in Fig. 11, but if good construction methods can be assured, satisfactory horizontal joints can be constructed without wa- expected at any of the floor joints, it is advisable to use a bulb -type water - stop or a multirib waterstop, which is designed for differential movement. All intersections of waterstops should be bonded by vulcanizing in the case of rubber or by heating with a' hot knife or other device in the case of plastic. Waterstops in the floor joints should be bonded to the waterstops in the wall footing, and those in the roof RICHARD BRADY &ASSOCIATES, INC. F-59 25B-137 Oct. 1968 CONCRETE RESERVOIR DESIGN 1191 20-mil PVC Liner Wished Concrete 20-mil PVC Liner Washed Concrete Solvent Weld Joints Sand Solvent Weld Joints) Sand Spike to Side of Trench Pea Gravel •in'• . Pea Gravel • in. Concrete 4-in crated VCP 3 1;- 44n. Perforated VCP 3- or Gunite with an Joints With Open Joints or Perforated ACP or Perforated ACP (a) (b) 20-mil PVC Liner Washed Concrete 20-mil PVC Liner Solvent Weld Joints Sand Solvent Weld Joints CE 4-in. min.. Pea Gravel 3-in. concrete 4-in. min or Gunite: 4-in. Perforated VCP With Open Joints or Perforated ACP (C) (d) fished Concrete I Sand `--,Spike to Side of Trench —Pea Gralal -in. Perforated VCP With Open Joints or Perforated ACP Washed Concrete Washed Concrete Sand and -".7 Spike to Side :7.4 4.1n. Perforate E of Trench.. VCP With Open ...... 6-in. min. Joints or Perforated ACP • •4-in. min. Pea Gravel ...... 20-mil PVC Solvent 4-in. min. Concrete or Gunite• Weld Joints i-I min. All Around Over PVC (a) (1) For Use Where High Water Table Exists.Pea Gravel Placed in Two Stages Using Sides of Box to Separate Gravel From Sand as Materials are Placed. Fig. 9. Variations of Underdrains Incorporating means for Filtering Out Fines All types of underdrains shown have been successfully used. RCHARD BRADY &ASSOCIATES, INC. F-60 25B-1 38 1192 R. C. ICENMIR lour. A 6VA joints should be bonded to waterstops in the wall. It is good practice to use both wa- terstops and joint sealant in floor joints, particularly in deep reservoirs, as illustrated in Fig. 12 and 13. Poly - sulfide and polyurethane materials are widely used for this purpose. Poly- urethane appears to have better bond- ing characteristics than polysulfide and appears to be superior in other respects. In hydraulic structures, where there may be only very slight movements at the joints, a firm sealant with a shore hardness of 30 to 40 should be used to prevent the possibility of extrusion of the sealant through a honeycombed area in the concrete. Joint sealant used Apply Bondbreaker �6411-1.e PVC Steel Continuous Across Joint Fig. 10. Typical Roof Slab Taint for Buried Concrete Reservoir in the roofs of concrete reservoirs ex- posed to the weather should be softer, with a shore hardness of 10 to 20. Where sealant and waterstops are used in the floor joints, the sealant groove should be carried along the joint as far as the horizontal waterstop in the wall footing and bonded to the waterstop, as illustrated in Fig. 14. If this is' not done, the margin of safety against leakage provided by the sealant is greatly reduced. Floor joints in many shallow reser- voirs and other hydraulic structures have been successfully sealed with joint sealant alone without the use of water - stops. This is standard practice where reservoirs are lined with unreinforced concrete. The strips used for forming the seal- ant grooves should be left in place un- til the structure is complete and all debris has been removed. Any grout overlays on the side of the sealant groove originating from the second concrete pour should be removed; next, the joint grooves should be sand- blasted, blown out, and primed before the sealant is placed. Although some sealant manufacturers claim their seal- ants do not require groove surfaces to be primed, the author believes that priming is inexpensive insurance against an ineffective sealing job. It is of utmost importance that great care be used in thoroughly mixing all two -component sealants with electric stirring devices. Incompletely mixed two -component sealant will not set up �6-in. PVC Waterstop Apply Bondbreaker� 'Light Wire Ties @ 'Stop Aft. Hodz. Bars at Joint Fig. M Typical, Wall Joint for Buried Concrete Reservoir and is difficult and expensive to re- move. Entrainment of air in the seal- ant as it is placed is less likely to occur if the sealant is pumped and dis- charged through a nozzle kept sub- merged in the sealant groove. 5. Concrete quality. Good concrete quality cannot be over -emphasized if a reservoir is to be watertight and maintenance -free. Although this ar- ticle mentions some of the more impor- tant factors in producing good quality concrete, more detailed information can be found in authoritative publi- cations''' As the usual design compressive strength of 3,000 psi at age of 28 days is easy to obtain, concrete strength is a lesser problem in producing good RICHARD BRADY &ASSOCIATES, INC. F-61 25B-139 Oct.1968 CONCRETE RESERVOIR DESIGN 1193 concrete. To insure concrete density throughout the structure, especially next to waterstops, and a low water - cement ratio constant vigilance by the inspector during placing operations is necessary. Concrete mix must contain hard, durable, and well -graded aggregates free from excessive silt or substances reactive with the alkali in the cement, at least six sacks of cement per cubic yard, as little water as possible, and yet still be workable. In no case should the mix contain more than 6 gal of water per 94-lb sack of cement. This is equivalent to a water cement ratio of 0.53 on a weight basis. Al- though a mix leaner than six sacks of to segregation during transportation and placing and somewhat more dense and impervious. Good concrete construction demands constant attention to proper placing procedures. The inspector must make sure that every load of concrete does not exceed the allowable water -cement ratio, is placed in the forms in such a manner as to avoid segregation, is con- solidated with the specified type of vi- brator, and is vibrated for the proper length of time and in a manner that ef- fectively consolidates the concrete and works large air bubbles to the surface. The common so-called "worm holes" in a formed concrete surface are not the result of air introduced into the mix Multi -rib or Rubber No.4 ® 12-in. 64n. PVC Waterst stop Labyrinth WaterSealant S9-in. min. No. 4 4 Q 12-in. Bondbreaker (a) (b) Fig. 12. Typical Alternative Floor .Taints cement normally would produce con- crete having a compressive strength of at least 3,000 psi at 28 days, some excess cement is needed for concrete used in hydraulic structures to insure satisfactory autogenous healing of cracks. An air -entraining agent is helpful in improving workability and increases the resistance of concrete to freezing and thawing. An air -entraining agent does reduce the strength of the con- crete by 14-16 per cent, but the bene- ficial effects offset this undesirable characteristic. By substituting poz- zolanic cement for 10-12 per cent of the portland cement in the mix, the concrete can be made less susceptible C -Apply Bandbreaker 8-in. min` Alternate Bars at Joint by an air -entraining agent, but usu- ally are due to improper or insufficient vibration of the concrete. The sources of such air may be from the fine ag- gregate, cold mixing water, or me- chanical air entrainment in the mixing operations. Concrete should not be placed during excessively hot weather or during freezing or near -freezing weather un- less special precautions are taken to keep the temperature of the concrete within safe limits. The importance of adequate curing is often overlooked; inadequate curing can result in low strengths, excessive cracking, surface spalling, and gen- erally poor wearing qualities. A 14- RICHARD BRADY &ASSOCIATES, INC. F-62 25B-140 1194 R. C. KENMla lour.AWWA day water cure is desirable for hy- draulic structures, but less expensive curing methods have proved reasonably satisfactory for floors and walls. With formed concrete members it is essen- tial that the forms be kept wet until stripped. Immediately after stripping, the concrete must be either covered with wet curing blankets for the dura- tion of the curing period or coated with an appropriate curing membrane. Application of the curing blankets or curing membrane should not be post- poned until cone holes are filled or other repairs are made. In the case of buried concrete reservoirs, an ex- cellent system of curing and water- Fig. 13. Typical Sealant Groove proofing consists of coating the sur- face, immediately after finishing, with a heavy coating of asphalt -emulsion, fol- lowed by a coat of whitewash after the asphalt -emulsion has set; after the con- crete has set (J-1-in.), curing blankets are placed on the roof surface and kept saturated with water until the earth blanket is placed. By keeping the blankets saturated, the concrete slab is kept cool. This is important in a large reservoir because if the tempera- ture rise of the concrete is substantial, the expansion may be enough to induce excessive stresses in the walls and pos- sibly cause cracking. Testing Concrete Reservoirs It is advisable to fill the reservoir for testing purposes before any back - fill is placed and to leave it full while the backfill is placed. Although very heavy equipment, such as loaded carry- alls, should never be permitted to oper- ate near the walls, there is less danger of cracking the walls by filling the reservoir first if heavy equipment should inadvertently get too close to the walls. The ability of concrete to seal hair- line cracks through autogenous healing is truly remarkable if a few simple pro- cedures are followed. These include: 1. Using at least six sacks of cement per cubic yard Waterstop Extend Sealant Under Wall and Bond to Waterstop iSealant Groove at Fig. 14. Waterstop and Sealant at Foot. ing-Wall .Taint 2. Filling the reservoir very slowly by raising the water level about 1 foot/ day so as to give the concrete an op- portunity to absorb water. The swell- ing that results reduces the widths of any cracks that may have been formed 3. If any cracks or honeycombed areas in the walls are wide enough to allow trickles of water to flow through the walls, such flows should be stopped by calking the outside face of the wall with lead wool so as to permit autog- enous healing to take place. If this is not done, the flow may never stop because the cement, as it is leached out of the concrete, is continually washed away. RICHARD BRADY &ASSOCIATES, INC. F-63 25B-141 EXHIBIT C Fee Summary RICHARD BRADY ; ASSOCIATES Cost Proposal for City of Santa Ana RFP Number: 19-105 Program Manager: Engineering Services for Seismic Project Title: and Structural Start Date: Assessment Proposal Date: 11/14/2019 End Date: Richard Brady, P.E., BCEE TBD TBD Labor Category Code Labor Rate Labor Hours Cost Principal -in -Charge / Senior Program Manager P6 $ 245.00 238.0 $58,310 Principal Engineer P6 $ 245.00 678.0 $166,110 Managing Engineer P5 $ 210.00 40.0 $8,400 Senior Engineer / Project Manager P4 $ 175.00 856.0 $149,800 Project Engineer P3 $ 155.00 264.0 $40,920 Associate Engineer P1 $ 120.00 187.3 $22,474 Senior Designer D3 1 $ 160.00 1 92.0 1 $14,720 Total Labor Cost 2,355.3 $460,734 Estimated Travel Costs Travel $ - Total Travel Cost $ - Estimated ODCs (Subcontractors, Materials, Supplies, Reproduction, etc.) Geotechnical Reports Nova Services $50,000 Site Survey Coast Survey $37,500 Corrosion Assessment V&A Engineering $35,000 Service Center Charge $6.00/Hour $14,132 Reproduction $ - Subtotal ODCs $136,632 G&A on ODCs (excl Travel) 9.00% $12,297 Total ODC Costs $148,929 Profit on ODCs (excl Travel) 10.00% $14,893 Total ODC Cost $163,821 Total Estimated Project Cost $624,555 FEE_Siesmic and Structural Assessment_REV2 ro�s�i� 11/13/2019 1 .L O O O O O M O Cl) 00 00 o w V r N 10 M r J M f- MT w 00 0) N Q N f0 0o N Cl) N wO V F tO OOOOO(DO CO rr O CO CO CO O CO U) LO CO O CO N N V U) (b�lnuile N N rz 0 00000000 0 (D co co co N N 0 0) (L) g;nog 0 to OOOOOCOO W rr • O CO CO CO O == CO ' N M W ague) uqo LO CO O N CO N N V N 0 • 00000000 0 V;t co co co co N N 0, • N (��a)I00JO W to 00000000 00 V co co co N N (�) 96pugWeo 0 d� 0000000 N W O O O O O O O � y Co K LO LO O LO LO O O M 0 N 0 v t �LoC4co — N N N 2 U m Ev E9 e» e» e» e» e» 0 JCo J 'O (O (O LO V co co R 0 a-U F � N m m E m Y o m .0 U) U O L a` -> a m L N C N N C N J0 W � Y • a �W w .� w o LU w N 0m J(DR 6 O O O .ET 000 N' N r� 0) CO 10 (� (� O O O CO G CO 0) N 0) N U)J 0 U)0 w N 0) 00 00 U)Q O fz N V f0 N 00 V M V F U) CO CO COT W N 0 <A <A <A <A 40 � 40 �w ]1- F fA fA fA O O O O' O r r U) N0) O O O LO E9 N 0) V N I-00 O LO O N f- V N O N N f� O 1� r M fz N o co co co O 69 69 69 N y� co y� co M V Efl fA fA fA fA � O O O V V V 00 00 w w w T co f- V N N N O LO O LO O V V 0) V V co O 1� r N r N of N N N V E9 ea E9 N y� N y� CO M r ea fA fA fA fA 000 O O r r IO N N 0 • E9 EA O 00 0EflN 0 MTN r r 00 O 00 N fl V N O N N f- O I� r co fz N O M M M O eaeaea N y�M to co co v 69 to to to to to OOO V V V 0000 w w w E9 40 000 V E9 V M f, V N N N 000 LO O V V 0 V V co O I-� r N r N a N N N V 69 69 69 N to N to CO CO • Efl to to to to • to OOO V' V V 0000 w w w O O O V E9 V CO f- V N N N O LO O LO O V V13 V V M O I� r N r N 0 N N N V E9 yj E9 N 40 N 40 CO M r Efl to fA uA uA d� 01 W O V o n L'a U O 130 00 0 0 v� of 0 0 0813 .R. 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("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 October 15, 2019, the City issued Request for Proposal No. 19-105, by which it sought qualified contractors to provide engineering services for the seismic and structural assessment of the City's potable water storage reservoirs. B. Contractor submitted a responsive proposal that was among those selected by the City. Contractor represents that it is able and willing to provide the services described in the scope of work that was included in RFP No. 19-105. 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 TBEREFORE, 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 At the City's sole discretion, Contractor shall perform the services described in the scope of work that was included in REP No. 19-105 and that is attached as Exhibit A, and as further delineated in Contractor's proposal, which 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. Contractor is one of three contractors selected to provide services on an as -needed basis under REP No. 19-105. The total compensation for services provided by all contractors selected under REP No. 19-105 shall not exceed the shared aggregate amount of $625,000 during the term of this agreement, including any extension periods. 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. 288148 3. TERM This Agreement shall commence on the date first written above and terminate on April 6, 2023, 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. 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. 2S= 9 7. INSURANCE Prior to undertaking performance of work under this Agreement, Contractor shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Contractor shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Contractor's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, with $2,000,000 in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary with respect to insurance or self-insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non -owned automobiles. C. Worker's Compensation Insurance. In accordance with the California Labor Code, Contractor, if Contractor has any employees, is required to be insured against liability for worker's compensation or to undertake self-insurance. Prior to commencing the performance of the work under this Agreement, Contractor agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. If Contractor is or employs a licensed professional such as an architect or engineer: Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim with $2,000,000 in the aggregate. e. The following requirements apply to the insurance to be provided by Contractor pursuant to this section: (i) Contractor shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be 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. 288' 1 to 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. 1►11 a 1►I y I ► 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 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) Santa Ana, CA 92702-1988 Fax 714- 647-6956 Executive Director Public Works Agency 22 City of Santa Ana 20 Civic Center Plaza (M-21) P.O. Box 1988 Santa Ana, CA 92702 To Contractor: Tetra Tech, Inc. 160 E. Via Verde, Suite 240 San Dimas, CA 91773 Attn: Eric Yuen 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 similar, nor shall any waiver constitute a continuing waiver unless the writing so specifies. 17. TERNIINATION 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-DISCRINIINATION 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. 288 84 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: j g . ,ohn M.Funk Assistant City Attorney FOR APPROVAL Nabil Saba Acting Executive Director Public Works Agency CITY OF SANTA ANA Kristine Ridge City Manager CONTRACTOR /CUNSMTPW T Tetro Te.J� � �Nc. /1", �,,, Nam, Title: Vtcp prestcc NV Page 8 of 8 25B-155 EXHIBIT A SCOPE OF WORK INTRODUCTION AND BACKGROUND The City of Santa Ana is located in the County of Orange in Southern California. The City encompasses 27.2 square miles and a population over 343,000 people. The City of Santa Ana Public Works Agency— Water Resources Division oversees and maintains the daily operations of the Water System and Sanitary Sewer System. The City of Santa Ana's water system has an average day demand of about 43 MG with 45,000 services. It is comprised of approximately 478 miles of water main, 45 MG of storage at 5 sites, 7 MWD connections, 21 groundwater wells, 7 pump stations, 4 pressure regulating stations and utilizes 2 pressure zones Per the City's most recent Master Plan dated 2017, the City has seven locations with ground level storage tanks and one elevated storage tank. Three of the reservoirs are steel tanks and the remaining seven are concrete tanks. There are three storage tanks (reservoirs) at the John Garthe site. The following table has combined these three reservoirs at the John Garthe site to form one reservoir with an equivalent diameter to represent the total storage volume available at the site. Cambridge Concrete 1.3 1 Variable 17.2 Area Crooke Concrete 6.0 1 Variable 21 Area John Garthe Concrete 15.8 3 277 35 South Concrete 6.0 1 219 22 Walnut Concrete 7.0 1 Variable 22 Area The City is soliciting proposals from qualified professional consulting firms to provide engineering services to evaluate the concrete reservoirs only. The City shall select one firm to provide these services. The City has budgeted $625,000 in study and design funds for this purpose over a five year period. DESCRIPTION OF PROJECT The Consultant's scope of services shall include the following tasks: Task 1 - Proiect Management: The Consultant shall conduct a kickoff meeting with the City to discuss the goals and objectives for the project. At this kickoff meeting, project reporting/communication protocols will be City of Santa Ana - RFP 19-107 ENGINEERING SERVICES FOR SEISMIC AND STRUCTURAL ASSESSMENT OF THE CITY'S POTABLE WATER STORAGE RESERVOIRS 25B-156 established, a project schedule will be provided and key issues will be discussed to establish the project guidelines. Consultant will prepare and lead all meetings and provide meetings minutes. The Consultant shall conduct at least four project team meetings throughout the project duration and include key City staff as well as key sub consultants/contractors. The Consultant shall submit an initial schedule with pertinent milestones for the major tasks involved in the Project. The schedule shall be updated monthly, or more often, as required. Task 2 — Preliminary Engineering Services: It will be incumbent upon the Consultant to find and review all records, including, but not limited to the previously referenced "as -built" drawings and the most recent dive reports, if any. The Consultant shall also conduct interviews with appropriate City engineering and operations staff. City staff will assist in the records search as time permits. Task 3 — Field Inspection Services The Consultant shall provide all labor, equipment, materials and incidentals necessary to perform inspection of the interior and exterior of the existing reservoirs, including reservoir appurtenances. Investigation will include exterior observation of above grade walls, roof and appurtenances, may require the exposing of the existing pre -stressing, where required, (Contractor or registered engineer will need to specialize in the appropriate AWWA requirements for the type of tank) and determined by visual inspection and shotcrete sounding based on areas showing signs of possible distress. Extreme care shall be taken not to damage the existing prestressing when removing any material. Any areas that are chipped will be patched within 24 hours with appropriate material. Interior inspection will include observations of the floor, walls, any exposed footings, underside of roofs, pipes, appurtenances and confirmation of as -built tank dimensions (wall height and inside diameter). Inspections will be conducted while the reservoir is drained where applicable. A separate inspection while the reservoir is in operation with water up to the maximum operational level present in the tank. The Consultant shall provide its own small boat or inflatable raft for use in entering all tanks where water is present. When entering confined spaces, the Consultant shall meet all safety requirements in accordance with Cal -OSHA, Title 8, General Industry Safety Orders, Group 16, Article 108 (Confined Space Entry), Group 26 (Diving Operations), Article 152, 153 and other applicable sections. All Consultant staff entering the reservoirs must be certified in Confined Space Entry and follow any California Department of Public Health (DPH) requirements and American Water Works Association (AWWA) standards pertaining to disinfection of personnel entering potable water reservoirs. Where diving is required, the Consultant shall meet all applicable safety requirements and DPH and AWWA standards. Conduct pH testing of the concrete in sufficient locations to make an appropriate engineering judgment of its condition. City of Santa Ana - RFP 19-107 ENGINEERING SERVICES FOR SEISMIC AND STRUCTURAL ASSESSMENT OF THE CITY'S POTABLE WATER STORAGE RESERVOIRS 25B-157 Remove samples of sealants, joint compounds, steel pipe coatings, and any other coatings where appropriate, to determine if they contain lead, chromium or zinc in levels exceeding allowable limits addressed in Title 22 of the California Code of Regulations . Evaluate the condition of any observed concrete cracking or spalling, particularly in areas where there may be exposed rebar. Mark and photograph non -hairline cracks (wide enough to stick a dime in) using NSF 61-approved paint. Note areas in each reservoir where corrosion is evident, especially where exposed rebar is present. Determine whether existing sacrificial cathodic protection anodes in those areas are sufficient to deter corrosion. If not, make appropriate recommendations for additional cathodic protection, if warranted. As part of this investigation, the Consultant shall conduct an initial assessment of visually observable corrosion, and if warranted, perform the following tests to better define the extent of the problem and make appropriate mitigation recommendations: Electrical continuity tests using exposed reinforcing steel to record reinforcing steel -to - concrete potentials . 2. Electrical resistivity tests to determine the voltage difference between existing exposed rebar and other nearby sections of exposed rebar per ASTM C876. 3. Penetrating radar half -cell tests. 4. pH and chloride testing of spalled concrete or other samples that may be gathered if no spalled concrete samples are present. 5. For partially buried reservoirs, consider soil sampling around the tanks to determine potentials at the tank perimeter. Task 4 — Engineering Services The Consultant shall prepare a seismic, structural and corrosion and security assessment master report of the concrete reservoirs. Seismic & Structural Element: The evaluations shall be site specific and include a full review of the original design plans for each reservoir as well as take into consideration all conditions identified in Task 3. The report shall include analysis of whether or not the reservoirs meet current civil, structural and seismic design standards including ASCE 7 (Minimum Design Loads for Buildings and Other Structures), ACI 318 (Building Code Requirements for Structural Concrete), ACI 350 (Code City of Santa Ana - RFP 19-107 ENGINEERING SERVICES FOR SEISMIC AND STRUCTURAL ASSESSMENT OF THE CITY'S POTABLE WATER STORAGE RESERVOIRS 25B-158 Requirements for Environmental Engineering Concrete Structures) and the CBC (California Building Code) as applicable to the design and/or retrofit of potable water storage reservoirs. The Consultant's analysis shall take into account all structural components including floors, walls, columns, roofs and the entire tank lid including all entry portals. Report on the condition of expansion joints and sealants. Report on the condition of all appurtenances including floats, overflow piping, inlet and outlet piping, drains, ladders, etc. Recommend locations for destructive (core samples) testing of reservoirs with applicable analysis types. Upon approval from the City, commence with testing and proper repairs for the sample being selected. If non-destructive methods of testing can be recommended as alternatives, please provide a comparison with the corresponding core sample test and the advantages and disadvantages of one test over the other. Consultant shall perform a reservoir freeboard evaluation using both the current ASCE 7 requirements and the current requirements of AWWA D110. Compute and recommend safe water level recommendations based both on freeboard equations and the structural conditions of the tank walls. Corrosion Assessment Element: Once the initial corrosion assessment has been completed and appropriate additional testing, where warranted, has been performed, the Consultant shall prepare a "repair strategy" with budget -level construction costs for mitigating existing and anticipated corrosion problems in the reservoir, which shall include a report on the conditions of the coatings protecting all steel appurtenances (e.g., inlet/outlet, overflow and drain piping, etc.). That strategy shall include appropriate recommendations for replacing coatings, replacing corroded metal appurtenances with fiberglass, polyethylene, PVC, polypropylene or FRP appurtenances, and/or adding cathodic protection as needed. Security Assessment Element: Prepare an overview assessment of reservoir tank security. This assessment shall include an overview of the adequacy of existing tank security measures including padlocks, fencing, gates, tank vents, access points, hatches, cages and cameras and shall include recommendations to upgrade due to age or foreseen failure. This assessment is not intended to provide an exhaustive and detailed evaluation of other security apparatus. Summary of Conclusions and Recommendations: The Consultant shall provide a baseline evaluation that summarizes the general condition of all the reservoirs considered in this study. The conclusions shall prioritize any deficiencies found based upon consequence of failure and likelihood of failure criteria. This shall be done on a system wide level (all reservoirs evaluated) as well as on a site specific level. Any recommended City of Santa Ana - RFP 19-1C7 ENGINEERING SERVICES FOR SEISMIC AND STRUCTURAL ASSESSMENT OF THE CITY'S POTABLE WATER STORAGE RESERVOIRS 25B-159 repairs or retrofits shall require methods of rehabilitation, design criteria and baseline structural criteria. In the event that the Consultant finds that the reservoirs do not meet current structural and seismic codes, the following recommendations, at a minimum, shall be provided: Appropriate upgrades to bring the reservoirs into compliance, and Appropriate safe water levels and roof loads in current condition before repairs can be accomplished. The Consultant shall provide preliminary estimates for all recommended repair work with a schedule/timeline for when the repairs should occur and in the order in which they should occur. In those instances where it is not economically practical to upgrade a reservoir to meet the previously referenced codes and standards, the Consultant shall prepare: 1. A preliminary level cost opinion for replacing the storage facility. 2. A narrative on the constructability issues associated with any newly proposed storage facilities. 3. A preliminary estimated time of construction for each newly proposed storage facility. Design Element: If requested by the City, the Consultant shall provide final engineering design services for the appropriate recommended repair work from the reservoir assessments. The Consultant shall consider this element as part of the cost proposal and have the ability to provide these services. The Consultant shall provide any necessary site work, foundation design or repair elements, structural support, coatings, related mechanical or electrical work to provide a complete repair design. The Consultant's scope for this piece will generally include the following: The Consultant will provide a geotechnical report of the site where required by a licensed geotechnical engineer. The Consultant shall prepare all necessary bid documents including all civil, structural, mechanical or electrical work as required to provide a complete project. The City shall provide the boilerplate specification to the Consultant. 3. The Consultant shall manage a pre bid meeting when requested. City of Santa Ana - RFP 19-107 ENGINEERING SERVICES FOR SEISMIC AND STRUCTURAL ASSESSMENT OF THE CITY'S POTABLE WATER STORAGE RESERVOIRS 25B-160 4. The Consultant shall provide bid support services including responses to bidder requests for information (RFI), addendums, etc. 5. The Consultant shall provide construction engineering services for review and approval of submittals, responses to RFI's, as -builds and construction meetings when requested. Task 5 — Value Added Services The Consultant is invited to identify any additional tasks, inspections, or other services that the Consultant feels should be considered as part of this scope of work. If any value added services are identified, the Consultant shall provide a description of the item as well as a cost associated with this item. The cost will not be considered part of the base fee during the evaluation of the proposals, but may be added at the City's discretion upon award of a contract. ---End of SCOPE OF WORK Section.— City of Santa Ana - RFP 19-107 ENGINEERING SERVICES FOR SEISMIC AND STRUCTURAL ASSESSMENT OF THE CITY'S POTABLE WATER STORAGE RESERVOIRS 25B-161 .-ja J. EN•— �~ PROPOSAL TO PROVIDE =#60-01104er — RFP # 19-105 R 7 Santo -N Celebrating ears I&Z�111/ Y ENGINEERING Seismic and Structural SERVICES FOR Assessment of the City's Potable Water Storage Reservoirs NOVEMBER 14, 2019 1 TI s- N TETRATECH November 14, 2019 City of Santa Ana Pubic Works Agency 215 C. Center Street, Building A Santa Ana, CA 92703 Submitted via Planet Bid Reference: Engineering Service for Seismic and Structural Assessment of the City's Potable Water Storage Reservoirs; RFP No. 19-105 Ladies and Gentlemen: Tetra Tech is pleased to submit our proposal to provide professional engineering services for Seismic and Structural Assessment of the City's Potable Water Storage Reservoirs in accordance with the provisions contained in the City of Santa Ana's RFP dated October 15, 2019 and Addendum 1, dated November 8, 2019. Tetra Tech is a national leader amongst its peers in water industry. Tetra Tech was ranked as the #1 Water Firm by Engineering News Report (ENR) in their 2018 annual survey (for the 151h year in a row!) of the nation's top 500 engineering firms. We have a long history of serving the Southern California public water agencies including water districts and municipalities such as yourselves. The Tetra Tech Team can offer the following: Excellent Level of Performance, Responsiveness and Customer Service — The best measurement of the level performance, responsiveness and customer service that we provide is not what we say, but rather what our clients say. A list of our most recent reservoir structural seismic evaluation projects with client contact information is provided in Section e, "Relevant Project Experience." Qualifications and Experience — Our services will be provided entirely from our San Dimas office, where our Structural Engineering Design Center is based, which provides water/wastewater related infrastructure structural engineering services for the southwest portion of the United States for Tetra Tech. Our structural engineering staff includes two California Licensed Structural Engineers (S.E.'s), both with reservoir rehabilitation design experience, all of whom have spent nearly all of their careers with Tetra Tech. Both of these individuals will be assigned to your project; they are Mr. Eric Yuen, P.E., S.E., serving as Project Manager (12 years/12 years with Tetra Tech); and Mr. Victor Ramirez, P.E., S.E (37 years/37 years with Tetra Tech) serving as QA/QC Manager. Most importantly, they recently performed a Davit Fall Arrest System Feasibility Study for the City of Santa Ana at all the City's reservoir sites, and they are already familiar with those 7 concrete reservoirs to be evaluated under this RFP. • Relative Past Experience — We have extensive relative past experience in performing on -site investigations/materials sampling/testing and structural seismic evaluation of existing reservoirs and well as experience in the design of new reservoirs. We are currently providing similar services for the Plant 128 Reservoir for Suburban Water Systems and Not h Glenrose Reseivoirfor Lincoln Avenue Tetra Tech, Inc. 160 E. Via Verde, Suite 200, San Dimas, CA 91773-5121 25B-163 Tel909.305.2930 Fax909.305.2959 www.tetratech.com City of Santa Ana November 14, 2019 Page 2 Water Company. We have recently provided similar evaluations and studies for all of Montecito Water District's nine water storage reservoirs, eight of which are of reinforced concrete construction; Lower Acacia Reservoir (a hopper -bottom concrete Reservoir) for City of Fullerton; Hunting Horn Reservoir and Mira Flores Reservoir No. f for Golden State Water Company; Sierra Madre Reservoir (4.0 MG P/S circular concrete AWWA Type I tank) for City of Glendora. Refer to Section a "Relevant Project Experience" for more detail description of our recent reservoir structural evaluation experience. Tetra Tech has reviewed the "Attachment 4: Standard Agreement" and take no exceptions. Tetra Tech will provide proof of insurance upon Notice to Proceed. Thank you for the opportunity to submit our proposal. This proposal will be valid for a period of 120 days after this submission. Based on our experience for water quality testing, it is not recommended to preform laboratory testing of lead, chromium or zine level on sealants, joint compounds and steel pipe coatings samples to compare to the allowable limits addressed in Title 22 of the California Code of Regulations as suggested in Task 3 - Field Inspection Services on page 14 of 35 of the RFP. The total contact area of these miscellaneous component is negligible compare to the overall water volume inside the reservoir. The chemical concentration most likely will be diluted to an acceptable level by the time when it is mixed with the water inside the reservoir even if the chemical concentration of these individual component excesses the Code limit. Overall Water quality testing after the inspections and disinfection is a more appropriate way to determine if the actual water quality meet the California Code of Regulations requirements. We look forward to the opportunity to discuss our experience, qualifications and approach further with the City. Should you have any questions regarding our proposal, please feel free to contact Eric Yuen, S.E. at (909) 305-2951. Sincerely, w�. � Victor M. Ramirez ,ll Manager Eric Yuen .E., S.E. Project nager VMR:tth MV kdmeopomhTY2020\mt Ave-19-105_Sa=cWat tmg�M\ mC kcd¢x 26&464:H c. FIRM AND TEAM EXPERIENCE The successful field investigation and seismic/structural analysis CORPORATE/CONTACT of seven of the City of Santa Ana's potable water concrete INFORMATION reservoirs involves many challenges. Tetra Tech's strength that CONSULTANT: will allow us to respond to the requirements of this project lies in Tetra Tech the qualifications of our project team, individual team members' commitment, and our knowledge of reservoir rehabilitation and LEGAL FORM OF design. COMPANY: Corporation (publicly traded) Our project team consists of professionals specializing in structural engineering of water storage structures. All team YEAR ESTABLISHED: 1966 members have established records of success in their areas of PERSONNEL: 20,000 expertise. They have proven experience and have delivered, with unparalleled technical excellence, many similar reservoir evaluation, CORPORATE HQ: rehabilitation and design projects. Our team members have 3475 East Foothill Blvd, Suite demonstrated their ability to resolve complex issues and produce 300 Pasadena CA 91107 cost-effective planning and design for water storage facilities Tel:626.351.4664 throughout California. All are also certified in confined -space entry Fax: 626.683.0060 and fall prevention. PROJECT OFFICE: PROJECT TEAM ORGANIZATION AND KEY PERSONNEL 160 E. Via Verde, Suite 240 RESPONSIBILITIES San Dimas, CA 91773 All of our engineering and design services will be performed by our PRIMARY CONTACT: in-house staff of experts along with our specialist sub -consultants, Eric Yuen, P.E/S.E. as depicted on the team chart. Experienced staff assigned to your eric.yuen(a_)tetratech.com project from start to finish will ensure that valid information is 909.305.2951 developed and sensitive issues are resolved. All phases of the project will require thoroughness and attention to detail to make certain that City of Santa Ana gets first- class final deliverables. EXPERIENCE OF THE PROJECT MANAGER AND KEY STAFF MEMBERS Project Manager— The stewardship of Eric Yuen, P.E., S.E. will be the driving force behind the Tetra Tech team. He will be a focal point for communication between the City and members of the project team to ensure that project needs are clearly spelled out and understood. As Project Manager, Mr. Yuen will be responsible for achieving the stated goals, assessing viable alternatives, and ensuring compliance with project intent, completeness of the final deliverables, conformance to the project schedule, and satisfaction of the City. Mr. Yuen has over 12 years of structural engineering design experience, with special emphasis in the evaluation, rehabilitation and design of water storage and containment structures. The reservoir structures in Mr. Yuen's experience have been water storage tanks of various types, including conventionally reinforced and prestressed concrete, welded steel and bolted steel. Mr. Yuen has successfully completed over 10 seismic/structural evaluations of potable reservoirs. He has provided retrofit design and construction phase services for a number of the reservoirs he evaluated. Having recently performed the Davit Fall Arrest System Feasibility Study for all City of Santa Ana reservoir sites, Mr. Yuen is already familiar with the seven concrete reservoirs to be evaluated under this project. Principal -in -Charge and QA/QC Manager— Victor Ramirez, PE., S.E. heads the structural division of Tetra Tech's Southwest Water/Wastewater Group in Southern California. He is responsible for all of Tetra Tech's structural design work on water/wastewater-related storage and treatment facilities in the southwestern United States. He has over 30 years of design experience in the new construction and seismic retrofitting of concrete and steel reservoirs, all with Tetra Tech. He has been involved in the design of over three dozen new concrete reservoirs, ranging in size from 1.0 to 33.0 MG, and over 75 steel reservoirs, the largest of which was over 10 MG. He has served as project manager for the seismic evaluation and seismic retrofit of dozens of water storage reservoirs of all types and configurations. CITY OF s.ANTA AS.A 25B-165 TETRA TECH Senior Project Manager — Civil — Ken Berard. P.E. has extensive experience in many facets of water/wastewater engineering. His design experience includes sewers, reservoirs, pump stations, wells, pipelines, and pressure -reducing facilities. Mr. Berard's experience has performed evaluations of existing piping, reservoir appurtenances and reservoir/pump station site security. SUBCONSULTANTS RF Yeager— Richard Yeager, Jr., P.E. is a NACE International -Certified Cathodic Protection Specialist with a broad background in corrosion engineering, inspections, and construction support services. Mr. Yeager has extensive experience in water and wastewater corrosion control and cathodic protection system design, corrosivity assessments, pipe and coating materials for construction, and inspection and monitoring of installed piping systems. The NACE certification meets the definition of "corrosion expert" as defined by the U.S. Environmental Protection Agency and under 40 CFR 280.12. Ninyo & Moore — Andy Rodriguez, a project manager for Ninyo & Moore, has experience on highways, bridges, airport projects, pipelines and commercial developments. He oversees field testing of concrete and asphalt concrete, inspection of concrete batch plants, geotechnical laboratory testing, and quality control for all laboratory procedures, including fulfilling the requirements of ASTM, AASHTO, CALTRANS. ACI. and CBC standards. oL BantaE vy� r.mx.�n.�g 'Vjm CITY OF SANTA ANA LEAD STRUCTURAL ENGINEER Edc Yuen, PE, sE LEAD CIVIL ENGINEER Ken Berard, PE CIVIL ENGINEER Adrian Lee, PF I- r Victor Ramirez, PE, SE STRUCTURAL ENGINEER Mike Olsen, PE STRUCTURAL DESIGNER Jose Quimz STRUCTURAL DESIGNER Geoff Heinen SUBCONSULTANTS MATERIALS TESTING CORROSION ENGINEER PRESTRESSED Ninyo &Moore RFYeager RESERVOIR SPECIALIST ON Tanks DN Tanks — Matt Ford, P.E., of DN Tanks, Inc., specializes in the design and construction of AWWA D110 prestressed concrete tanks used for potable water, wastewater, chilled water and other liquids. DN Tanks, with over 90 years of experience and over 3,000 tanks ranging in capacity from 40,000 gallons to 40 million gallons, offers expanded construction capacity, unmatched technical expertise, and proficiency in multiple types of proven tank designs to provide customized storage solutions. RESUMES OF THE PROJECT MANAGER AND OTHER KEY STAFF MEMBERS Resumes for the key personnel can be found in Appendix. CITY of SANTA Alva 2 5 B -166 TETRA TECH d. UNDERSTANDING SCOPE OF SERVICES PROJECT UNDERSTANDING The City of Santa Ana is soliciting proposals for professional engineering services to conduct condition assessments, inspections, and testing and provide structural and seismic analysis of seven concrete potable water storage reservoirs. Identified deficiencies will be presented with prioritized alternatives for repair, retrofit or replacement to ensure these facilities continue to operate and provide water following a seismic event. The following reservoirs are included: Reservoir Name Size MG Size (feet) W x L x H Date Constructed Description Cambridge 1.3 112 x 112 x 19 1966 Conventional Rectangular Partially Buried Crooke 6.0 179 x 239 x 21 1976 Conventional Rectangular Buried Walnut 7.0 242 x 202 x 18 1956 Conventional Rectangular Buried John Garthe Rect. 5.8 200 x 133 x 35 1992 Prestressed Rectangular Partially Buried John Garthe Circ. 1 5.0 165 diameter x 34 2000 Prestressed Circular Partially Buried John Garthe Circ. 11 5.0 165 diameter x 34 2000 Prestressed Circular Partially Buried South 6.0 219 diameter x 24.5 1965 Circular Precast "Pritzker" Above Grade Construction drawings appear to be available for all the reservoirs (in the "As Built Drawing" attachments provided as part of the RFP). PROJECT SCOPE AND APPROACH Based on our understanding of the City's objectives and needs, our project approach will focus on identifying deficiencies, formulating a prioritized list of improvements to correct deficiencies that have an impact on human life -safety, and estimating the associated cost to implement the improvements. The human life -safety assessment will consider City maintenance personnel and others who may have a need for access to the reservoirs, as well as members of the general public who live in the immediate vicinity of any of the reservoirs. Three factors are key to the life -safety assessment: • Loss of reservoir contents due to a breach —caused either by equipment failure, structural failure, pipe breakage or the like, particularly in the aftermath of an earthquake —may subject the immediate area to inundation, particularly in the case of an above -ground reservoir. This can impact the health and safety of not only the residents in the surrounding area but also the general public at large. • A reservoir rendered inoperable in a seismic event (for example, due to a roof collapse) will result in the lack of water for domestic consumption and/or fire -fighting. • Although arguably not as much of an immediate threat as a seismic event, a breach of site security leading to the contamination of the water supply could be an even greater threat to public safety. As such, site security will also be an area of focus in our project approach. Prioritization of non -life threatening improvements will be discussed with City staff during a draft report review workshop, based on their value/importance relative to human life -safety. With this approach serving as the framework for all of our efforts, the following is our proposed scope of services. Task 1: Project Management Kickoff Meeting The project kickoff meeting will be held in the City offices and will include all key personnel after we have had a chance to review all available drawings. Review of the existing drawings before we mobilize to perform our site reconnaissance efforts is essential for developing a "Field Investigation and Testing Plan." Tetra Tech will prepare an agenda and draft project schedule prior to the meeting. During the kickoff meeting, the scope of services, project schedule and communication protocols will be reviewed and finalized. Following the meeting, Tetra Tech will prepare and distribute meeting minutes and will update and distribute the final project schedule. CITY or S.ANTA AS.A 25 B-167 TETRA TECH Draft Report Review Workshop The in -person draft report review workshop will allow us to answer City question and comments. It will also allow the City provide input in terms of prioritizing the retrofit, which will help us prepare the final report. Progress Meetings We anticipate three meetings via teleconference to report project progress as needed or as requested by the City. Task 2: Preliminary Engineering Services Review Existing Information We will review all available existing information (reservoir as -built drawings, underwater inspection report and video, etc.) prior to the kickoff meeting and the commencement of field investigation and testing. This will provide background needed to develop our "Field Investigation and Testing Plan." Develop Field Investigation and Testing Plan At a minimum, the plan will describe investigation objectives, outline the proposed investigation methods, identify the testing procedures that will be utilized, and identify what entity will be conducting each test if any material testing necessary for the evaluation of the structure. Task 3: Field Inspection Services Our field investigation and testing will be conducted as outlined in our "Field Investigation and Testing Plan" (Task 2). To ensure the safety of our field investigation personnel and in accordance with Tetra Tech policy, we will prepare a health & safety plant that identifies anticipated safety hazards and corresponding precautions and personal safety equipment needed by field staff. Our work scope includes interior examination of selected reservoirs, all of which are permit -required confined spaces. All our field personnel entering any confined spaces will be equipped with the necessary safety equipment. At least one confined -space -trained inspection team member will serve as the entry supervisor/attendant at the entrance of all confined spaces. We will provide personnel qualified to serve in this role. All Tetra Tech and subconsultant staff who enter confined spaces will be trained in confined -space entry safety procedures prior to visiting the project site. Where interior examination and testing is required, the entrants will be equipped with safety PPE and an oxygen sensor. We assume that the tanks may be accessed using the existing interior and exterior ladders and that the tanks can accommodate standard personnel extraction tripods and winches. Our field investigation and testing will be performed by both Tetra Tech and our subconsultants. Two site visits will be performed for each reservoir (one full and one empty): • First site visit will be done when the reservoirs are full. o Examinations of the underside of roof structures will be performed by Tetra Tech structural engineers, with the reservoir filled to within 3.5 to 4 feet of the low point of the roof structure, with the aid of inflatable kayaks (2 kayaks/2 observers), to allow passage of each kayak and observer across the underside of the lowest roof beams but close enough to the roof structure to allow for up -close visual examination. • The second site visit will be done when the reservoirs are drained and the floor slabs are dry. o Tetra Tech structural engineer will examine all the reservoir structural components that cannot be observed during the first site visit. o Tetra Tech civil engineer will inspect the reservoir piping/appurtenances and perform safety and onsite security assessment. o Subconsultant Ninyo & Moore will perform on -site materials sampling (assumed three concrete cores per reservoir) and non-destructive material testing (Schmidt Hammer, ground penetration Tetra Tech Reservoir Evaluation Personal Protection Equipment (PPE) cITT'of SANTA AS.A 25B-168 TETRA TECH radar, rebar scanning). Cored concrete samples will be sent to a laboratory for compressive strength testing. Corrosion visual inspection and testing will be performed by subconsultant RF Yeager (concrete rebound/sounding test per "ASTM D4580", isolated half -cell potential testing per "ASTM C876", pH concrete testing). Subconsultant DN Tanks will assist the inspection of the two prestressed circular concrete reservoirs at the John Garthe site. Exposing of the existing prestressing may be required if the existing wall shows signs of possible distress. Task 4: Engineering Services Structural Analysis Following the review of available City records and the completion of all necessary field investigation, inspection and testing activities, Tetra Tech will perform a structural and seismic analysis of each reservoir. The analysis will identify deficiencies of each structure. Our structural analysis will be performed in accordance with the ACI 350.3-06 standard, "Seismic Design of Liquid -Containing Concrete Structures" and utilize prescriptive geotechnical design parameters. Each component of each reservoir's lateral force resisting system will be analyzed to determine its state of stress when subjected to the loading (demand) required by current design standards using our own proprietary software developed in- house for analyzing conventional and prestressed concrete reservoirs. These values will be divided by the component strength dictated by the same standards (capacity), resulting in the calculated demand/capacity (D/C) ratio for the component. The D/C ratio is a measurement of the structural adequacy of a member when loaded. To easily digest the results of our structural analysis, a demand/capacity matrix will be prepared showing the D/C ratios for each structural component analyzed, for each reservoir, all in one table for side -by -side comparison. An example is provided in Table T-1 on the next page. To help facilitate the interpretation of the D/C matrix, a similar table will be produced showing a color -coded priority (in terms of public safety) assigned for each reservoir structural component analyzed, for each reservoir, also in one table for side -by -side comparison. An example is provided in Table T-2 on the next page. Comprehensive Engineering Report Following the completion of the structural and seismic analysis, Tetra Tech will prepare a comprehensive engineering report and submit the report to the City for review. The report will include: • An executive summary • Detailed discussion of all records reviewed and all inspections, investigations and testing activities performed for each reservoir • Detailed discussion of findings generated during the field investigation and testing phase documenting the existing condition of each reservoir and the surrounding site • Comprehensive evaluation of the structural & seismic integrity of each reservoir as it relates to applicable standards and codes with a detailed discussion of the results with calculations attached for reference • A discussion summarizing findings of the circular prestressed reservoir specialist subconsultant (Ninyo & Moore), who will perform the inspection for the two John Garthe prestressed circular reservoirs; the results from all field testing will be included in the report appendix • A discussion summarizing findings of the material testing subconsultant (Ninyo & Moore) who will perform the material testing; the results from all field testing will be included in the report appendix • A matrix that quantifies the demand -to -capacity (D/C) ratios for the elements of each reservoir that were check as part of the structural/seismic analysis. • Evaluations of corrosion -observed concrete structure, piping and appurtenances, and evaluations of the concrete deterioration that was observed. • A discussion summarizing findings of the corrosion engineering subconsultant (RF Yeager) who will perform the corrosion testing; the results from all field testing will be included in the report appendix CITY OF s.ANTA AS.A 25 B-169 TETRA TECH 3 i 0 OU 17 r a gi sti.a P(:<®.w.ar�.dU xww®eac.mwelem....:a.a... ��•,•mn...w,..x....n�:...,ro.. ' pia � ♦ s r �o n ♦�-w o��� o=u♦ tmuul ao♦dm �� a��iaei�e `� `♦ a♦ as s. as ®® MMI®in a®®laaalaaaa se as a,: a .. 5♦ ar ®®' a. �®aa m; v e s♦ ®tea eell�s sr e eeeeeeee aaaaaaaa eeeeeeee esi aaaaaaaaaa aaaaaaaaaa v si st S®�ilaaad�r'aaaaal�E ■ t®®®®aaa®aa o®®®0a®®o® OTETRATECH Table T-1: Demand/Capacity (D)C) Ratios of Reservoir Structural Components and Condltlon Evaluatlan Summary OTETRATECH Table T 2 Hazard Categorization & Prioritization Summery CITY OF SANTA ANA 2 5 ✓ —1 70 Y d 4 d cLjh d Xd:I • Detailed discussion of any applicable safety, security or other site issues • Feasible alternatives for repairs, retrofit or replacement to address any deficiencies identified provide for each structure. The alternatives will consider geotechnical conditions, visual impacts, construction feasibility, impacts to current facility operations, and an estimate of the remaining useful service life with each alternative implemented. Each alternative will include an opinion of probable cost accounting for all planning, permitting, design and construction activities. • Prioritization of the repair/retrofit/replacement alternatives, highlighting formal recommendations of which alternative should be implemented for each reservoir; the report will contain a matrix that graphically enumerates and prioritizes the alternatives. A draft report will be submitted to the City for review and comment. After meeting with City staff to review and receive comments on the draft report, Tetra Tech will finalize the report, including in the final report a conceptual plan for the recommended alternative for each reservoir. The final report will be sealed and signed by Mr. Yuen, a California -licensed Structural Engineer. Tetra Tech will provide three hard copy color reports and one PDF digital copy of the final report to the City. Task 5: Value Added Services As an optional scope item, Tetra Tech will provide a formal PowerPoint presentation of the final findings and recommendations to City staff. This will help City staff to have a better understanding of the final comprehensive engineering report, which will allow the City to make future reservoir retrofit and replacement decisions more effortlessly. Future Task: Final Engineering Design, Bid and Construction Support Services Final Plans, Specifications & Estimates Upon final review and acceptance of the comprehensive engineering report by the City, we will proceed to begin the preparation of final design construction documents —the plans, specifications & estimates — to be submitted at 60%, 90% and 100% stages of development. The preparation of the construction documents will be based on the selections made by the City from the comprehensive engineering report recommendations. Since the effort required to develop the final design construction documents heavily depends on the actual condition of the existing reservoirs, which is not known at this moment, a separated fee proposal will be provided when requested by the City after the retrofit option is selected. Bid Support Services Tetra Tech will assist City staff as required in the bid process, including attending the pre -bid meeting, answering bidders' questions, and preparing addenda and conformed documents. Construction Phase Support Services Tetra Tech will assist the City in reviewing shop drawings, responding to contractor requests for information, and preforming observations during construction. e. RELEVANT PROJECT EXPERIENCE Tetra Tech conducted condition assessments, r inspections, and investigations, performed testing and provided structural and seismic evaluations of nine water storage reservoirs, eight of which were concrete reservoirs. Deficiencies were identified and presented with prioritized alternatives for repair, retrofit or replacement to ensure these facilities continue to operate and provide water following a seismic event. The District's nine water storage reservoirs have a combined volume of 11.5 million gallons at full capacity. Tetra Tech provided design phase services of the retrofit for two of the concrete reservoirs. CITY of SANTA ANA 25B-171 TETRA TECH Tetra Tech performed a seismic / structural evaluation of an existing 4-MG potable water storage tank. This concrete structure, originally constructed in 1964-65, consisted of a prestressed circular concrete wall shell, concrete columns and a concrete roof. The purpose of the evaluation was to determine the improvements needed in order for the reservoir to meet current seismic design code (AWWA D110-13), and to determine the extent of sagging and cracking at the existing roof deck. Safety and reservoir appurtenances were evaluated for OSHA compliance (ladders and hatches) and security (hatches and vents). Conceptual designs and costs for the recommended improvements were provided in a preliminary design report. Following the PDR submittal, final design and construction phase services for the reservoir retrofit were also provided. Tetra Tech performed a condition assessment, site investigation, and structural/seismic evaluation of the Lower Acacia Reservoir (1-D). The City of Fullerton owns and operates this 4- MG reservoir, as part of its potable water system. The structure is a predominantly buried rectangular hopper -bottom tank constructed in 1964. The floor and sloping sides of the hopper bottom consist of a slab -on - grade with wire mesh. The reservoir roof deck is made of precast concrete double -tee panels that are supported by prestressed concrete girders. The girders are supported by cast -in -place concrete columns. The primary purpose of the evaluation is to evaluate and provide options to repair the water leakage issue and evaluate the structural integrity of the reservoir per the current code standards. Final design and construction phase services for the reservoir retrofit were provided after the preliminary design report submittal. The Hunting Horn Reservoir is a semi -buried reinforced concrete cylindrical water tank that was first constructed in 1900, converted to concrete in 1918, and gunite-lined in 1950. Tetra Tech provided engineering/technical services including onsite reconnaissance inside the reservoirto prepare a structural and seismic study and evaluation. The reservoir has a capacity of 0.44 MG, measures approximately 72 feet in diameter and 16 feet high and has a wood frame roof. Tetra Tech prepared a comprehensive engineering study and seismic evaluation of the tank to examine the alternatives available for repair or replacement. Please contact any of the clients listed above as a reference in addition to the ones listed on the following form. CITY of SANTA ANA 205B- 1 / 2 TETRA TECH Appendix ATTACHMENT 3: 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. Reference Customer Name: Montecito Water District Contact Individual: Adam Kanold Address: 583 San Ysidro Road Phone Number: 805-969-2271 Santa Barbara, CA 93108 Facsimile Number: 805-969-7261 Contract Amount: $158,000 Year: 2015 Description of supplies, equipment or services provided: Performed condition assessments, inspections and investigations, perform testing and provide structural and seismic evaluations of 9 District water storage reservoirs: (5) rectangular predominately buried concrete. (3) circular above around concrete and (1) circular above around steel reservoir Reference Customer Name: City of Fullerton Contact Individual: Tiffany Foo Address: 303 W. Commonwealth Phone Number: 714-738-6321 Fullerton, CA 92832 Facsimile Number: Contract Amount: $160,673 Year: 2018 Description of supplies, equipment or services provided: Performed a condition assessment, site investigation, and structural/seismic evaluations of the Lower Acacia Reservoir (1-D) which is a predominately buried rectangular hopper bottom tank. Reference Customer Name: Golden State Water Co. Contact Individual: Theresa Wu Address: 160 E. Via Verde #100 Phone Number: 714-535-7711 San Dimas, CA 91773 Facsimile Number: Contract Amount: $54,000 Year: 2019 Description of supplies, equipment or services provided: Provided engineering/ technical services including onsite reconnaissance inside the reservoir to prepare a structural and seismic studv and evaluation. The Huntina Horn Reservoir is a semi -buried reinforced concrete cylindrical water tank Reference Customer Name: City of Glendora Contact Individual: Allison Sweet Address: 116 East Foothill Blvd. Phone Number: 626-914-8246 Glendora, CA 91741 Facsimile Number: Contract Amount: $106,000 Year: 2018 Description of supplies, equipment or services provided: Performed a seismic evaluation of the Sierra Madre Reservoir, an existing 4 MG potable water storage tank. The tank structure consists of a prestressed circular concrete wall shell. concrete columns and a concrete roof THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. szd7E.aAEPr of OE:,7"Flcd T"OVs 25B-173 TETRA TECH CITY OF SANTA ANA RFP NO.: 19-105 Engineering Services for Seismic and Structural Assessment of The City's Potable Water Storage Reservoirs NON -LOBBYING CERTIFICATION The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: (1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure of Lobbying Activities," in conformance with its instructions. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such subrecipients shall certify and disclose accordingly Signed: Title: Senior Project Manage Firm: Date: November 7, 2019 City of Santa Ana - RFP 19-105 IM-1 74 CITY OF SANTA ANA RFP NO.: 19-105 Engineering Services for Seismic and Structural Assessment of The City's Potable Water Storage Reservoirs NON-DISCRIMINATION CERTIFICATION 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. City of Santa Ana - RFP 19-105 25189 1 15 CITY OF SANTA ANA RFP NO.: 19-105 Engineering Services for Seismic and Structural Assessment of The City's Potable Water Storage Reservoirs 7. 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 subContractor or Consultant 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: / Title: Senior Proiect Manage Firm: Tetra Tech Date: November 9, 2019 City of Santa Ana - RFP 19-105 258 7% NON -COLLUSION AFFIDAWT. (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 caution�a.d'1Vmaking- Ise certification may subject the certifier to State of California County of _Lns Angeles Subscribed and sworn to (or affirmed) before me on this Zday of ,Oyeo% 20/9, by —1/1 CIT4- /00�w i7, f-b proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me t ry Public Sign#ure Notary Public Seal ri"i"MISrr�rrrrr lyPET A BEYES Notary Publio-California z Orange County Commission M 2189573 My Comm. FM iresA r30,2021 City of S 1 a 9-105 0 N TETRATECH Man Hong (Eric) Yuen, RE., S.E. Structural Project Manager Mr. Yuen has over 12 years of experience in the design, analysis and detailing in Project Role: structural engineering. He is knowledgeable in reinforced concrete, masonry, Project Manager structural steel and wood frame design, and construction for a variety of budding and infrastructure projects including reservoirs, water/wastewater treatment Education: facilities, as well as seismic retrofit of existing structures. M.S., Civil and Structural Engineering, California State EXPERIENCE Polytechnic University, Pomona 2016 Hunting Horn Reservoir Structural/Seismic Evaluation, City of North B.S., Civil Engineering, California Tustin, CA, Golden State Water Company, 2019 As Project Manager, Mr. State Polytechnic University, Yuen is responsible for the overall project to provide professional Pomona,2007 engineering/technical services including onsite reconnaissance inside the Registrations/Certifications: reservoir to prepare a structural and seismic study and evaluation. The Hunting Professional Engineer, California Horn Reservoir is a semi -buried reinforced concrete cylindrical water tank that 2009, No. 75983 was first constructed in 1900, converted to concrete in 1918, and gunite-lined in 1950. The reservoir has a capacity of 0.44 MG, measures approximately 72 feet P h' PP Y Structural Engineer, California 2014, No. 6177 in diameter and 16 feet high and has a wood frame roof. Over the years it has developed cracks in the interior shell that have been patched and has a slow leak Structural Engineer, Oregon that is visible from the exterior and requires assessment and repair. Tetra Tech 2019, No. 94532PE prepared a comprehensive engineering study and seismic evaluation of the tank Professional Engineer, Colorado to examine the alternatives available to GSWC for either repair or replacement. 2019, No. 56159 Lower Acacia Reservoir (1-D) Structural Rehabilitation, Design Phase Services and Construction Management, City of Fullerton, CA 2017-2019 — Cal DES Safety Assessment Project Manager responsible for the inspection and engineering services, Program Evaluator Training structural rehabilitation Design Phase, Bid Phase and Construction Support Professional Affiliations: Services for the improvements to the Lower Acacia Reservoir, a 4MG American Institute of Steel rectangular concrete tank predominately buried constructed in 1964. Construction 13th Street Underground Reservoir Structural Retrofit, City of Ontario, CA Field Safety Certifications 2012 — Mr. Yuen served as Structural Design Engineer for this project. The primary objective of this project was to reduce the potential damages to the Fall Protection (Ladders, Scaffolding, Aerial Lifts) reservoirs in the aftermath of an earthquake that may jeopardize public safety 312018 both in the local Upland neighborhood they are located in or the Ontario community they serve miles away. H2S Protection Training Respiratory Protection Training In 2008, the City had a Reservoir Seismic Vulnerability Evaluation Report Confined Space Training (Seismic Report) performed by Tetra Tech on all of its reservoirs to determine (912019) their ability to resist current seismic code loads. The Structural Evaluation of the office: Report evaluated each of the seismic force resisting components of each of the San Dimas, California reservoirs and provided seismic retrofit recommendations for those found to be deficient. The recommended retrofit recommendation for the 13th Street Years of Experience: Reservoir is a cast -in -place reinforced concrete overlay which is added to the (2007)12 walls, roof, and floor of each reservoir. The Preliminary Engineering Design Phase will include the necessary Years with Tetra Tech: engineering services that will confirm the findings and recommendations of the (2007)12 2008 Seismic Report (or recommend another less time consuming, cost-effective alternative) and result in the production of the a Preliminary Design Report (PDR) and preliminary design drawings that will be used as a basis for the Final Design and ultimately, the Final Construction Documents. 25B-178 Page N TETRATECH Man Hong (Eric) Yuen, P.E., S.E. Structural Project Manager 3.1 MG Reservoir Seismic Strengthening, City of El Segundo, CA, 2010 — Mr. Yuen served as Structural Design Engineer who provided the seismic strengthening design of the reservoir in the design phase and structural observations in the construction phase. Tetra Tech prepared preliminary and final design construction plans, specifications and cost estimates for the seismic retrofit of an existing 3.1 MG concrete potable water storage tank, originally constructed in 1948. The seismic strengthening included the addition of reinforcing steel and shotcrete to the exterior walls, plywood roof sheathing and structural steel shear transfer frames around the tank perimeter between the roof and the wall shell. Safety upgrades included the design of new roof mounted guard railing. Structural observations, special inspection by a deputy inspector, and material testing were provided as part of Tetra Tech's construction phase services. Reservoir 1010-1 Piping Seismic Retrofit, City of Ontario, CA, 2009 —Mr. Yuen served as Structural Designer for the design of piping retrofits and pipe supports at the inlet and outlet pipes of an existing circular welded steel tank. Flexible, double -ball expansion fittings were added to both the inlet and outlet piping. The pipe supports were bolted to the flanges of the flexible expansion fitting closest to the tank. The pipe supports are designed to resist the forces from the weight of the pipe, seismic loads and thrust loads. These pipe supports are not anchored to the concrete foundation directly; instead, they are attached to steel base plates that are welded to the existing steel tank floor plate. This design allows the tank to move independently of the foundation to prevent damage at the pipe to tank connection during earthquakes. Our analysis also included a check of the adequacy of the existing concrete thrust blocks buried in the ground to make sure that they have sufficient capacity to resist lateral seismic and thrust forces. Seismic Evaluation of Ten Water Storage Reservoirs, City of Ontario, CA, 2009 — Mr. Yuen served as Design Engineer for the evaluation of four out of six buried flat bottom rectangular concrete reservoirs. Tetra Tech performed seismic and safety evaluations on ten of the City's twelve water storage reservoirs. The purpose of the evaluations was to determine what improvements would be necessary for each reservoir in order to meet current seismic design standards and OSHA requirements, as well as the estimated cost of the improvements (engineering design, construction inspection, and construction). The ten reservoirs included six buried flat bottom rectangular concrete reservoirs, two above grade flat bottom circular reservoirs (one concrete, and one steel) and two hopper bottom reservoirs with wood framed roofs. Plant 224 Reservoirs and Pump Station, Suburban Water System, City of Whittier, CA, 2012-2014 — Mr. Yuen served as design engineer for the new construction of two separate above ground concrete rectangular reservoirs and the replacement of an existing Pump Station to accommodate the City's need for increased water storage capacity. Mr. Yuen was involved in the comprehensive design of both reservoirs with water storage capacities of 4.69 MG and 2.37 MG, respectively during the design phase. Mr. Yuen also reviews shop drawings, responds to RFIs, and performs structural observation during the on -going construction phase of this project. Rawlings Reservoirs, City of Tustin, Tustin, CA, 2012 —Mr. Yuen served as structural Design Engineer for the two prestressed, circular 3.5 MG concrete tanks located on a tight site, where space for excavation and material stockpiling during construction presented many challenges. Shoring for excavations was anticipated up to 35 feet in depth would be required during construction. As the structural design engineer, Mr. Yuen helps in the shop drawings review process and does structural observations in the construction phase. Reservoir 7A Replacement, City of Pomona, CA, 2009 — Mr. Yuen served as structural design engineer of the reinforced concrete ring foundation for a new 32-foot high, 76-foot diameter circular steel tank to replace the existing tank. The design of the tank and foundation conformed to the AWWA D100-5. The design of the foundation considered hydrostatic loading and seismically induced hydrodynamic forces. The scope of this project also included the design of the supports for the inlet and outlet piping. The piping and pipe supports designed to allow the tank to move independently of the buried portion of the piping. This mitigates the damage which may occur at the pipe to tank connection as a result of earthquakes. 258-179 Page 2 NTETRATECH Victor M. Ramirez, P.E., S.E. Structural Engineer / Project Manager Mr. Ramirez has almost 40 years of structural engineering design experience with Project Role: special emphasis in the design of water storage/water containment and water conveyance related structures, including reservoirs, water/wastewater treatment plants, QA/OC Manager booster pump stations, flow control facilities, pressure reducing stations and pipelines. Education: His experience also includes the design of a wide variety of other Types of structures, B.S., Civil Engineering, including buildings, bridges and storm drainage related structures. He is thoroughly Califomia State University, Los Angeles, 1995 knowledgeable in all types of construction, including reinforced concrete, masonry, structural steel, and timber. Registration : Registrations/Certifications: Engineer, Registered Structural Engineer, r California, No. 4720, 2004 EXPERIENCE Nevada, No. 24180, 2016 Texas, No. 127770 Hunting Horn Reservoir Evaluation, Golden State Water Company, North Colorado, No. 55661 Tustin, CA — 2019 QA/QC Manager for the structural and seismic evaluation and Registered Civil Engineer study of Hunting Horn Reservoir, a partially buried, cylindrical, reinforced concrete California, No. 56863, 1997 tank with a wood framed roof. It has a capacity of 0.44 MG and is about 72 feet in Washington, No. 54086, 2016 diameter by 16 feet deep. It has a flat concrete floor, concrete masonry walls and a Professional Affiliations: wood framed roof. (200-48673-19002) Structural Engineers Association of Southern California Condition Assessment and Seismic Evaluation of Alessandro and Sugarloaf Reservoir, City of Riverside, CA - 2019 Project Manager responsible for the American Institute of Steel Engineering Evaluation and Inspection Services to perform a baseline condition Construction assessment and seismic evaluation for two existing pre -stressed concrete reservoirs: Field Safety Certifications Alessandro Reservoir, 2.0 MGD, 130' x 20' constructed in 1961 and Sugarloaf Confined Space Reservoir, 5.0 MGD, 160' x 33' constructed in 1962. Fall Protection (Ladders, Scaffolding, Aerial Lifts) Glenrose Reservoir Rehabilitation, Lincoln Avenue Water Company, Alta Dena, 3/2018 CA 2019 - Project Manager responsible for the Design, Plan Specifications and assistance with Construction Administration for the North Glemose Reservoir Support Office Location: San Dimas, CA Column and Roof Rehabilitation Project. The Glemose reservoir is a 1.8 million gallon concrete, potable storage below grade structure with an area of approximately Total Years rs of Experience: 19,500 square feet. It is a hopper bottom concrete reservoir with steel columns, wood framed gable walls, wood roof framing and corrugated galvanized steel roof decking. Years with Tetra Tech: (1981) 39 Lower Acacia Reservoir (1-D) Structural Rehabilitation, Design Phase Services and Construction Management, City of Fullerton, CA 2017-2019 — QA/QC Manager responsible for the review of Design Phase, Bid Phase and Construction Support Services for the improvements to the Lower Acacia Reservoir, a 4MG rectangular concrete tank predominately buried constructed in 1964. (200-09287-18001) Park Lane Reservoir Value Engineering, Montecito Water District, Montecito, CA 2017 — Project Manager responsible for preparing the Value Engineering Report for the replacement of the Park Lane Reservoir. Tetra Tech prepared the 2015 Structural and Seismic Evaluation of District Reservoirs. This report contains descriptions of two replacement options for the Park Lane Reservoir. The District is specifically interested in a more detailed review of the option in which the reservoir structure is replaced in -kind, using the existing reservoir walls as part of the formwork for the new concrete walls. The District requested a more refined conceptual design and value engineering which would lead to a constructability plan and cost estimate that is more accurate than the one in the previous report prepared by Tetra Tech. Sierra Madre Reservoir Rehabilitation, Glendora, CA 2016 — Responsible for the preparation of a seismic evaluation of an existing 4 MG potable water storage tank. This concrete structure was originally constructed in 1964-65. The tank structure consists of a prestressed circular concrete wall shell, concrete columns and a concrete roof. The purpose of the evaluation was to determine the improvements needed in order for the reservoir to meet current Code (AW WA D110-13) seismic design, and to determine the extent of the sagging and cracking at the existing roof deck. Safety and reservoir appurtenances were evaluated for OSHA compliance (ladders and hatches) and security (hatches and vents). Conceptual designs and costs for the recommended improvements were provided in a preliminary design report. Structural Analysis of the Mira Flores No. 1 Reservoir, Golden State Water Company, Santa Maria, CA 2016 — Project Manager and Structural Engineer to provided professional engineering services for their 0.3 MG tank. The Mira 25B-180 Page 1 TETRATEGH Victor M. Ramirez, P.E., S.E. Structural Engineer / Project Manager Flores No. 1 Reservoir is a rectangular semi -buried concrete masonry unit (CMU) water tank with a capacity of 0.3 MG. It measures approximately 82 feet by 42 feet with a depth of 15 feet. The reservoir has a wooden roof structure with skid mounted vertical turbine booster station located on top of the roof at the rear of the tank. Recent inspection showed that the roof reservoir is failing and needs replacement. Concerns regarding cracks in the concrete (cinder block) walls indicate that significant work will be required to reinforce the existing structure before re -roofing with a new aluminum roof and remounting the vertical turbine pumps. Reynolds Ranch, City of Vacaville, CA 2015 — Structural Engineer for a preliminary design report for a new prestressed concrete 0.53 MG reservoir and 490 gpm booster pump station. The PDR evaluated alternative configurations, layout, operations, geotechnical conditions, seismic constraints, community impacts, and environmental issues. Pump station design will incorporate a 50 hp two -pump booster station with motor control center, standby generator, and instrumentation. Permitting and assistance during bidding and construction was also provided. Structural and Seismic Evaluation Storage Reservoirs, Montecito Water District, Montecito, CA 2015 — Structural Engineer and Team Lead for professional engineering services to conduct condition assessments, inspections, investigations, perform testing and provide structural and seismic analysis of nine District water storage reservoirs with a combined volume of 11.5 million gallons at full capacity. (9 Reservoirs - (5) Rectangular Predominately Buried Concrete, (3) Circular above Ground Concrete and (1) Circular above Ground Steel reservoir). Deficiencies identified will be presented with prioritized alternatives for repair(s), retrofit or replacement to ensure these facilities continue to operate and provide water following a seismic event. The District provides potable water to about 4,360 customer accounts that use approximately 5.5 million gallons of water per day. Memorial Park Reservoir, City of Santa Monica, CA, 2010 — Structural Project Engineer for a feasibility report for two buried concrete tanks, a 5 MG reclaimed water tank and a 1 MG potable water tank, and a buried concrete pump station. The report focused on minimizing disruption to the park facilities while maximizing the storage capacity of the tanks. The preparation of the report involved the investigation of construction of conventionally reinforced rectangular tanks and prestressed circular concrete tanks, and the use of cantilevered and tie -back shoring. Comprehensive cost estimates, conceptual drawings and detailed discussions of six different alternatives to help the City select the design concept that best meets the project requirements. Reservoir Seismic Vulnerability Evaluations, City of Ontario, CA, 2008 — Structural Project Engineer for the seismic evaluations on ten of the City's 12 water storage reservoirs among which included the 13th Street Reservoirs. The purpose of the evaluations was to determine what improvements are necessary for each reservoir in order to meet current seismic design standards, as well as the estimated cost of the improvements (engineering design, construction inspection, and construction). The 10 reservoirs included six buried flat bottom rectangular concrete reservoirs, two above grade flat bottom circular reservoirs (one concrete, one steel) and two hopper bottom reservoirs with wood framed roofs. 3.1 MG Reservoir Seismic Strengthening, City of El Segundo, CA, 2010 — Structural Project Engineer for the preparation of preliminary and final design construction plans, specifications and cost estimates for the seismic retrofit of an existing 3.1 MG concrete potable water storage tank, originally constructed in 1948. The seismic strengthening included the addition of reinforcing steel and shotcrete to the exterior walls, plywood roof sheathing and structural steel shear transfer frames around the tank perimeter between the roof and the wall shell. Safety upgrades included the design of new roof mounted guard railing. Structural observations, special inspection by a deputy inspector and material testing were provided as part of Tetra Tech's construction phase services. Nohl Canyon Tank, City of Anaheim, CA, 2010 — Served as the Project Structural Engineer for the design of a 10 MG prestressed concrete reservoir located within the existing footprint of a 60 MG dam -embankment reservoir, including the abandonment of existing facilities, modifications to the existing inlet/outlet piping, and revisions to the existing disinfection system. The design also included site grading, drainage, and access. Seismic Retrofitting of Seven Steel Water Storage Tanks, City of San Buenaventura. CA, 2000 — Served as the Lead Design Engineer to perform seismic retrofit design for both the tank structure and piping for seven steel water storage tanks. Retrofit improvements included installation of seismic uplift anchors and concrete ring beam footings, wall shell reinforcing bands, and installation of flexible pipe couplings and isolation of drain piping and overflow piping from buried PiPmg 258-181 Page 2 NTETRATECH Kenneth R. Berard, P.E. Senior Project Manager Mr. Berard has extensive experience in many facets of water/wastewater Project Role: engineering. Mr. Berard has performed numerous studies ranging from complete Civil Project Manager water master plans to efficiency studies. His design experience includes Education: preparing bid documents for sewers, reservoirs, pump stations, wells, pipelines, chlorination facilities, and pressure reducing facilities. Mr. Berard also has B.S., rival Engineering, California State Polytechnic extensive experience in hydraulic modeling. He has used and is familiar with University, Pomona, 1986 more than six software packages in addition to open channel flow software. Registrations/Certifications Rounding out Mr. Berard's experience is work he has done in inspection, construction administration, shop drawing review, and plan checking. Professional Civil Engineer, California, No. 45499, 1992 EXPERIENCE Professional Affiliations: Murphy West Reservoir No 10, City of Whittier, Whittier, CA. 2017. Project American Water Works Association Manager to assess the condition and make recommendations fora 0.5 MG conventionally reinforced concrete tank. Condition assessment included locating Inland County Water the source of leaks, performing geotechnical analysis to determine foundational Association stability, and s roof surface evaluation. The repair recommendations included office: stabilizing the foundation, leak repairs, and improvements to meet DDW's San Dimas, CA access requirements. Years of Experience: Reynolds Ranch Reservoir, City of Vacaville, Vacaville, CA. 2018. Project 30 Manager for a preliminary design report, final design, and construction assistance for a new prestressed concrete 0.53 MG reservoir with valve vault. Years with Tetra Tech: The PDR evaluated alternative configurations, layout, operations, geotechnical 30 conditions, seismic constraints, community impacts, and environmental issues. The Partially buried reservoir required hillside grading for the site and access roads. The valve vault is 18' x 16' 10' deep with staircase/door style of entrance. The 400' of piping utilized concrete anchors due to steep slopes. Mount Washington Reservoir, City of Calistoga, Cafistoga, CA. 2013. Project Manager for a fully -buried 1.5 MG concrete reservoir on Mount Washington. A Preliminary Design Report was prepared that addressed technical, environmental and budgeting issues, along with recommendations for optimizing the storage configuration, access road alignment and grading. Construction plans, specifications and estimates were prepared. Tetra Tech will be providing construction assistance support services, such as shop drawing review and responding to RFP's. Coldwater Canyon Reservoir Construction Phase, City of Beverly Hills, Beverly Hills, CA. 2010. Project Manager to provide engineering support for the construction of an 8.3 MG buried conventionally -reinforced concrete reservoir. The Coldwater reservoir is configured to maximize water storage on an irregular -shaped site that is designed with a public park on the surface. The design includes two reservoir chambers and inlet/outlet piping configured to provide operational flexibility. The design also includes a sub -drain system with leak detection, reservoir drain and overflow piping, flow meter vaults with seismic valve shut-off, an above -grade penthouse with water analyzing equipment and workspace, and a landscaped public park with decorative fountains and running track. Among the support services provided to the City were civil and structural site observations, review of contractor's material and equipment submittals, responses to RFls, and the management of various sub -consultants for shoring design review, survey monitoring, noise and vibration monitoring, corrosion protection design and construction observation, geotechnical testing and site observation, and landscape architectural coordination. Demolition of Three Reservoirs, City of Upland, Upland, CA. 2008. Project Manager for the project that includes demolition of three partially buried concrete reservoirs ranging in size from 0.75 to 2.1 MG, rough grading, and construction of 500 feet of CMU wall. Design included plans, specifications, and cost estimate. Preliminary Design Reports (Three) for Replacement Reservoirs, City of Riverside, Riverside, CA. 2006. Deputy Project Manager for the development of three separate Preliminary Design Reports for the planned 25B-1 82 Page NTETRATEGH Kenneth R. Berard, P.E. Senior Project Manager replacement of an existing 2.0 MG partially buried tank and same -site booster pump station; 7.5 MG buried reinforced concrete reservoir; and, 11.0 MG buried reinforced concrete reservoir. The three PDRs will analyze site alternatives, constraints, and costs as well as alternative methods of construction, such as prestressed concrete circular tanks versus conventionally reinforced and prestressed hopper and flat -bottom rectangular reservoir construction. In addition to reservoir design considerations, the analyses will evaluate grading, piping, and drainage issues; telemetry and instrumentation; demolition of existing facilities, as applicable; structural and seismic considerations; water quality/treatment; geotechnical conditions; landscape architecture, and, pump station configuration, sizing, and location at one of the reservoir sites. 6.0-MG 925-2A Reservoir, City of Ontario, Ontario, CA. 2005. Project Manager for the planning of two 6.0 MG reservoirs and final design and construction support services for one of the new prestressed concrete tanks. The Preliminary Design Report for the reservoirs established architectural concepts, system hydraulics, water quality concepts, geotechnical conditions, structural design parameters, and outlined measures to ensure design compatibility with other planned facilities (designed by others) at the shared site. Services included environmental documentation (CEQA) and assistance with permit applications and processing. This project won Project of the Year from APWA. Coldwater Canyon and Woodland Drive Reservoirs, City of Beverly Hills, Beverly Hills, CA. 2004. Project Manager for feasibility investigation to provide interim water supply to the city's downtown business district during demolition and reconstruction of a structurally deficient buried concrete reservoir. The study recommended construction of a supplemental reservoir for additional storage and modification of zone transfer facilities for efficient emergency operation. Design is in progress for the reconstruction of the buried 8.3 MG reservoir. A second aboveground cast -in -place 1.65 MG reservoir (Woodland Drive) is also being designed to provide additional water storage for fire protection to area residents. 9.0 MG Concrete Reservoir 1C, Cucamonga County Water District, Rancho Cucamonga, CA. 2004. Project Manager for the preparation of a design report, plans, specifications, and cost estimates for this 9.0 MG partially buried (35 feet below grade) prestressed concrete reservoir. The design report addressed several concepts for the site layout and reservoir configuration, including impacts on construction shoring. In addition, roof alternatives, drain alternatives, construction contract options, and aesthetics were evaluated. The design included off -site street improvements as well as on -site berms and landscaping for screening. Medical Center and Ogden Reservoirs, San Bernardino Municipal Water Department, San Bernardino, CA. 2004. Project Manager for design of the 12.0 MG Medical Center partially buried circular prestressed concrete reservoir. Design elements included telemetry, parking, circulation, lighting, grading, landscaping, and security measures. In addition, prepared site plans for the future design and construction of the 12.0 MG Ogden Reservoir and booster pump station. McMurtry Lane Reservoir, City of Vacaville, Vacaville, CA. 2006. Project Manager for design, construction management and inspection of a 5.0 MG partially buried prestressed concrete reservoir. The new reservoir provided additional storage to meet the growing water demands within the City's Main Zone distribution system. Services including preliminary design report; environmental compliance review; final design, including construction plans, specifications and estimates, and assistance during contract bidding. Milliken Avenue 9.0 MG Concrete Reservoir, City of Ontario, Ontario, CA. 2001. Project Manager for the preparation of bidding documents and construction administration of the aboveground 9.0 MG prestressed concrete reservoir. This high -profile reservoir (visible from the I-10 Freeway) included lighting and architectural treatments to resemble a sports arena. 258-183 Page 2 N TETRATECH Mike Olsen, PE Structural Project Engineer Mr. Olsen has been a part of the Tetra Tech team for over eight years and contributes Education: his extensive structural engineering knowledge from his involvement in municipal, MS, Civil Engineering (Structural industrial and federal projects. He has completed a variety of projects varyingin size P J P tY P J State Emphasis), UniCalversity, Polytechnic University, Pomona, and funding for both public and private entities. 2016 Mr. Olsen's experience includes design, analysis, detailing and construction in BS, Civil Engineering, California structural engineering. He is knowledgeable in reinforced concrete, pre- and post- State Polytechnic University, tensioned concrete, reinforced masonry, steel and timber construction for a variety of Pomona, 2009 Magna Cum Laude building and infrastructure projects including reservoirs, water/wastewater treatment facilities, pump stations, bridge, buried concrete vaults, pipeline structures, bridges, as Registrations/Certifications: Professional Engineer, well as seismic retrofit of existing structures. Mr. Olsen has extensive working California, No. 81944, 2013 knowledge of the California Budding Code (CBC), International Budding Code (IBC) and their application to civil and structural engineering projects. Cal Safety Assessment Program Evaluator Mr. Olsen is experienced with a variety of design software programs including RISA- Professional Affiliations: 3D, RISA Foundation, RISA Floor, ENERCALC SEL, L-PILE, Retandiro and Hilt Chi Epsilon- Civil Engineering PROMS Anchor. Honor Society - Cal Poly Pomona EXPERIENCE Tau Beta Pi -Engineering Honor Structural Analysis of the Mira Flores No. 1 Reservoir, Golden State Water Society -Cal Poly Pomona Company, Santa Maria, CA. 2016. Structural Design Engineer providing Structural Engineering Institute professional engineering services for their 0.3 MG tank. The Mira Flores No. 1 (SEI) and Member of ASCE Reservoir is a rectangular semi -buried concrete masonry unit (CMU) water tank with a office Location: capacity of 0.3 MG. It measures approximately 82-feet by 42-feet with a depth of 15- Irvine, CA feet. The reservoir has a wooden roof structure with skid mounted vertical turbine Total Years of Experience: booster station located on top of the roof at the rear of the tank. Recent inspection (2011) 8 showed that the roof reservoir is fading and needs replacement. Concerns regarding Years with Tetra Tech: cracks in the concrete (cinder block) walls indicate that significant work will be (08/2011) 8 required to reinforce the existing structure before re -roofing with a new aluminum roof and remounting the vertical turbine pumps. Sierra Madre Reservoir Rehabilitation, City of Glendora, Glendora, CA. 2015. Structural Design Engineer for the structural analysis of an existing 4 MG pre -stressed concrete reservoir constructed in 1964-65. The goal of the project was to bring the reservoir up to current standards. The main issues with the reservoir were a cracked and sagging concrete roof and cracking and spalling of exterior gunite and concrete interior walls, columns, and floor. Reynolds Ranch, City of Vacaville, CA. 2015. Structural Design Engineer for preliminary design report of a new pre- stressed concrete 0.53 MG reservoir and 490 glen booster pump station. The report evaluated alternative configurations, layout, operations, geotechnical conditions, seismic constraints, community impacts, and environmental issues. Pump station design incorporated a 50 hp two -pump booster station with motor control center, standby generator, and instrumentation. Permitting and assistance during bidding and construction was also provided. Structural and Seismic Evaluation of Storage Reservoirs, Montecito Water District, Montecito, CA. 2014 — 2015. Structural Design Engineer. Conducted condition assessments, inspections, investigations, performed testing and provided structural and seismic analysis of nine District water storage reservoirs with a combined volume of 11.5 million gallons at full capacity. The nine reservoirs included five rectangular predominately buried concrete reservoirs, three circular above ground concrete reservoirs, and one circular above ground steel reservoir. Deficiencies identified were presented with prioritized alternatives for repair(s), retrofit or replacement to ensure these facilities continued to operate and provide water following a seismic event. The District provides potable water to approximately 4,360 customer accounts that use an average 5.5 million gallons of water per day. Pant 224 Reservoirs and Pump Station, Suburban Water System, City of Whittier, CA. 2012 — 2014. Structural Design Engineer for the design and construction of two rectangular, conventionally reinforced concrete reservoirs with a total capacity of 7.0 MG. The design included architectural treattnent that features a street -front architectural facade, as well as interior and exterior roof access stairs. Rawlings Reservoirs, City of Tustin, Tustin, CA. 2012. Structural Design Engineer for two pre -stressed, circular 3.5 MG concrete tanks located on a confined site, where space for excavation and material stockpiling during construction presented 25B-184 Page 1 N TETRATEGH Mike Olsen, PE Structural Project Engineer many challenges. Mr. Olsen helped in the shop drawings review process and structural observations in the construction phase. MCBean Parkway Pedestrian Bridge Construction Support, City of Santa Clarita, Santa Clarita, CA. 2016 — 2017. Project Engineer. Project Engineer during the design and construction phase of the project. The City of Santa Clarita contracted Tetra Tech in 2015 to perform planning, structural design, and construction phase services to replace the existing pedestrian overcrossing (POC) over McBean Parkway. The POC is located on the City's network of multi -use "paseo" pathways. Constructed in 1979, the timber superstructure showed signs of insect infestation, dry rot, and delamination of the glue laminated girders. The project team was tasked with defining an approach to replace the decaying structure. Tetra Tech initiated the geotechnical investigation and preparation of structural plans, specifications, and estimates to replace the structure. Through continued partnership, Tetra Tech and City engineers delivered a project within cost that increases safety and restores alternative access to schools, neighborhood parks, and local businesses in the City of Santa Clarita. Construction commenced in spring of 2017 and was completed later that summer. The biggest challenge encountered was the coordination and scheduling of road closures during the demolition of the existing bridge and during final assembly and erection of the new pre -fabricated bridge Tetra Tech's experience in the preparation of traffic control plans within the City helped minimize the impact to the public and allowed the contractor do perform all construction related tasks. Riverside Drive near Zoo Drive Bridge over Los Angeles River, Bridge No. 53C-1298, City of Los Angeles, CA. 2014 — Ongoing. Design and Construction Support. Responsible for conducting plan reviews and approvals by Caltrans District 7 and the Federal Highway Administration (FHWA) for this federally funded project. With this historic bridge falling below current design standards, Tetra Tech was contracted for the completion of environmental documentation and permitting, geotechnical and hydraulic analyses, bridge widening and retrofit, traffic and lighting upgrades, and 100% Plans, Specifications, and Estimates (PS&E), in an effort to fix geometric deficiencies, barrier rail vulnerabilities, structural weaknesses, and Los Angeles River Bicycle Lane impedance issues. Construction of Lost Canyon Road Bridge Widening over Sand Canyon Wash, Santa Clarita, CA. 2015 — 2016. Project Engineer for the construction phase and services portion of the bridge widening at Lost Canyon Road. The bridge widening was originally designed by DCA and Tetra Tech was contracted to provide construction engineering including surveying, material testing, and biological monitoring to assist City's project team. The goal of the project was to create a multi -use pedestrian and bicycle path along the north edge of the existing bridge approximately 10-feet wide. The proposed bridge expansion is 50-feet long by 16-feet wide and was constructed similar to the existing structure with the addition of four PS/PC concrete box girders, extending the existing abutments and repositioning the wing walls on the downstream side. Construction of the bridge structure and road surface was conducted primarily from the top, however, equipment and materials were needed to access the wash for the purpose of grading and constructing the abutments, scour protection slab, and repositioning the wing walls. Mr. Olsen was responsible for attending weekly construction meetings, performing structural observations, reviewing and responding to RFI's and Submittal's, Design Bulletins for Contractor regarding design clarifications, preparing and performing Final Inspection and preparing Record Drawings. Conveyance Pipeline for Carlsbad 50 MGD Seawater Desalination Plant, Poseidon Resources Corporation, Carlsbad, CA. 2013 — 2014. Design Engineer for several structures associated with the interconnection of the new 54-inch diameter Carlsbad Conveyance Pipeline with the existing SDCWA P3 and P4 pipelines. The four structures are buried reinforced concrete vaults that consist of two pump wells, two isolation valve vaults, an interconnect valve vault and a flow control facility. The flow control facility vault has an above -grade concrete masonry control room, with a steel framed roof built on top of it. Export Sludge Design/Build Project, South Orange County Water Authority (SOCWA), Laguna Niguel, CA. 2013. Structural Design Engineer. Responsible for providing design and construction support for this design/build project. This project consisted of three main structures: the sludge equalization tank, the pump station, and the electrical building. The sludge equalization tank is a 40-foot diameter, 26-feet deep, conventionally reinforced cylindrical tank whose design conforms to ACI 350. The pump station is an open concrete enclosure, surrounded on three sides by 4-foot high concrete walls. The electrical building is a masonry building with a steel framed roof. Brackish Groundwater Desalination Reverse Osmosis Water Treatment Plant, San Antonio Water System (SAWS), San Antonio, TX. 2013. Design Engineer. Responsible for the structural design, plans, and specifications for post treatment structures of SAWS' brackish groundwater treatment plant. The structures included a cast -in -place reinforced concrete chlorine contact tank, chemical storage building and electrical room with masonry walls and steel framed roof, finished water pump station, calcite contactors foundation and structural steel access platforms, steel flush tank foundation, and carbon dioxide storage tank foundations. Foundation design of all structures incorporated geotechnical recommendations to mitigate the effects of expansive native clayey sods. 258-185 Page 2 N TETRATECH .lose QUICOZ, EIT Structural Design Engineer Mr. Quiroz has experience in the design, analysis and detailing in structural engineering. He is knowledgeable in reinforced concrete, masonry, structural steel and Project Role: wood frame design, and construction for a variety of budding and infrastructure Structural Design Engineer projects including reservoirs, water/wastewater treatment facilities, as well as seismic Education: retrofit of existing structures. MS Structural Engineering California State Polytechnic, Pomona, CA EXPERIENCE 12/2017 Plant 128 Seismic Evaluation & Retrofit Analysis, Suburban Water Systems, La SS Civil Engineering Puente, CA 2019 - Plant 128 Reservoir is an aging concrete reservoir originally California State University, Los Angeles constructed as an open-air agriculture irrigation reservoir. Tetra Tech evaluated the 06/2013 reservoir for seismic performance as well as leaking and possibly other issues. Registrations/Certifications: 3.7 Million Gallon Zone 1 Reservoir Construction Support Services, IRWD, Engineer -In -Training 2013 Irvine, CA 2018 - Zone 1 Reservoir Construction Phase —Mr. Quiroz assisted with Field Safety Certifications structural calculations (prestressed tank, concrete vaults, retaining walls) detailing reviewingconstruction submittals, reviewing RFIs g Fall Protection (Ladders, Scaffolding, Aerial Lifts) Lower Acacia Reservoir (1-D) Structural Rehabilitation, Design Phase Services 3/2018 and Construction Management, City of Fullerton, CA 2017-2019 — Structural FRS Protection Training designer assisting with the Design Phase and Construction Support Services for the Respiratory Protection Training improvements to the Lower Acacia Reservoir. Mr. Quiroz assisted with the preparation Confined Space Training of the drawings and specifications that comprise the bid documents. (9/2018) Plant 408 Reservoirs, Suburban Water Systems, La Mirada CA. Ongoing. Professional Affiliations: American Society of Civil Structural Designer assisting with this multi -phased project to replace a 7.8 MG steel Engineers hopper bottom tank with three circular steel tanks and a pump station. Provided a office Location: condition assessment of the existing facilities and a conceptual design report for the San Dimas, CA replacement of the reservoir. The report evaluated various concrete and steel tank Total Years of Experience: options as well as a geotechnical evaluation to stabilize a 2:1 slope and were used to (2017) 2 obtain approval from the PUC. Groundwater Reliability Improvement Program (GRIP) Advanced Water Treatment Facility, Water Replenishment District of Southern California, Pico Rivera, CA, 2016-2019 — Structural Designer, assisted with the design for a new 13,000 acre-feet per year of fully advanced treated recycled water. The structures include a two-story Administration Budding with a rooftop garden, a 45,000 square foot Process Building, a 3 million gallon buried concrete Equalization Tank and a dozen ancillary structures. The Administration Building has rigid floor and roof diaphragms and main as are concentric steel braced frames as the lateral force resisting elements. The Process Building has a steel framed roof and concrete masonry shear walls. An extensive network of cable trays and piping are supported from the roof for gravity and seismic loads. The Equalization Tank is a buried, rectangular concrete structure designed in accordance with ACI 350. The ancillary structures are a combination of reinforced concrete, steel and masonry construction. San Diego County Water Authority, Hubbard Hill North (Q0204) Project, San Diego, CA 2017-2017 — Structural Designer assisting with the structural design for the First Aqueduct Structures, FCFs and Lining Rehabilitation. The project will remove the internal lining from the steel portions of Pipelines 1 and 2 in the San Luis Rey river valley, and Pipeline 1 in Couser Canyon and the Lake Hodges river valley. 12 access portals are required for this operation. New reinforced concrete vaults and pipe encasement will be added or replaced the existing structure at most of the portals. To facilitate the extended pipeline shutdowns required to remove the internal lining, the project also includes 9 new reinforced concrete turnout connections structure at six flow control facilities. Tetra Tech is responsible for the structural designs of all the access portal vault, the turnout connections structures, pipe encasements and other structural improvements for the six flow control facilities such as retaining walls and pipe bridging/cap across access road. Prolacta Bioscience, Structural Engineering Services, City of Industry, CA 2018 - Tetra Tech provided Structural Engineering Services for structural design of the concrete foundation and anchorage for two 3500L stainless steel tank inside the existing processing budding in the City of Industry. Mr. Quiroz performed visional site reconnaissance, assisted with the preparation of the structural calculations and the plans and specifications. 25B-186 Page 1 N TETRATECH Mr. Heinen has experience in the design, analysis and detailing in structural engineering. He is knowledgeable in reinforced concrete, masonry, structural steel and wood frame design, and construction for a variety of building and infrastructure projects including reservoirs, water/wastewater treatment facilities, as well as seismic retrofit of existing structures. EXPERIENCE Hunting Horn Reservoir Structural/Seismic Evaluation, City of North Tustin, CA Golden State Water Company, 2019 As Design Engineer, Mr. Heinen assisted with engineering/technical services including onsite reconnaissance inside the reservoir to prepare a structural and seismic study and evaluation. The Hunting Horn Reservoir is a semi -buried reinforced concrete cylindrical water tank that was first constructed in 1900, converted to concrete in 1918, and gunite-lined in 1950. The reservoir has a capacity of 0.44 MG, measures approximately 72 feet in diameter and 16 feet high and has awood frame roof. Over the years it has developed cracks in the interior shell that have been patched and has a slow leak that is visible from the exterior and requires assessment and repair. Tetra Tech prepared a comprehensive engineering study and seismic evaluation of the tank to examine the alternatives available to GSWC for either repair or replacement. Reynolds Ranch Reservoir Construction Phase, City of Vacaville, CA, 2016 — Tetra Tech provided construction support services to assist in the submittal review as well as providing technical assistance in answering RFIs an assist with resolution of change order requests. Mr. Heinen assisted with the review of construction submittals and RFIs. 3.7 Million Gallon Zone 1 Reservoir Construction Support Services, IRWD, Irvine, CA 2018 - Zone 1 Reservoir Construction Phase — Mr. Heinen assisted with structural calculations (prestressed tank, concrete vaults, retaining walls) detailing, reviewing construction submittals, reviewing RFIs. Geoffrey Heinen, EIT Structural Design Engineer Project Role: Structural Design Engineer Education: MS Structural Engineering California State Polytechnic, Pomona, CA Expected 2020 BS Civil Engineering Gonzaga University, Spokane, WA 2015 Reg! strations/Certifi cations: Engineer -In -Training 2015 Field Safety Certifications Fall Protection (Ladders, Scaffolding, Aerial Lifts) 3/2018 H2S Protection Training Respiratory Protection Training Confined Space Training (9/2018) Professional Affiliations: American Society of Civil Engineers Office Location: San Dimas, CA Total Years of Experience: (2017) 2 Years with Tetra Tech: (06/2017) 2 Simon Ranch Reservoir, City of Tustin, CA 2015-2019 — Tetra Tech provided professional design engineering services for the Simon Ranch Reservoir, Booster Pump Station and Pipeline Replacement Project Mr. Heinen assisted with the structural calculations (prestressed tank, screen/retaming walls) detailing, reviewing construction submittals, reviewing Rl'1. Lower Acacia Reservoir (1-D) Design Phase Services and Construction Management, City of Fullerton, CA 2018 — Structural designer assisting with the Design Phase and Construction Support Services for the improvements to the Lower Acacia Reservoir. Mr. Heinen assisted with the preparation of the drawings and specifications that comprise the bid documents. Sierra Madre Reservoir Rehabilitation, Glendora, CA 2016-2017 — Structural Designer assisting with the preparation of a seismic evaluation of an existing 4 MG potable water storage tank. This concrete structure was originally constructed in 1964-65. The tank structure consists of a prestressed circular concrete wall shell, concrete columns and a concrete roof. The purpose of the evaluation was to determine the improvements needed in order for the reservoir to meet current Code (AWWA D110-13) seismic design, and to determine the extent of the sagging and cracking at the existing roof deck. Safety and reservoir appurtenances were evaluated for OSHA compliance (ladders and hatches) and security (hatches and vents). Conceptual designs and costs for the recommended improvements were provided in a preliminary design report. Preliminary Design Report for the San Jacinto Valley Water Banking — Enhanced Recharge and Recovery Program, Eastern Municipal Water District, Final Design Well Building, 2018 — Tetra Tech prepared the 30% design plans for this project and is currently completing the Phase 1 A final design plans and specifications for the well conveyance and blow -off pipelines. Mr. Heinen assisted with the preparation of structural calculations (CMU Building w/ Steel Frame Root, Concrete Wall Footing), Detailing, Estimate. 25B-187 Page 1 N TETRATECH Mr. Lee has over 11 years of experience in the development of conceptual studies for domestic water and reclaimed water systems, as well as final design for water distribution and transmission systems, sewer conveyance facilities, and utility relocations. EXPERIENCE High Zone Recycled Water Reservoirs, City of Chino Hills, Chino Hills, CA. 2009. Design Engineer for the feasibility, design and construction management of a 0.5 MG and a 2.0 MG recycled water reservoirs located at two separate sites. The design included access road improvements, recycled water transmission mains, and site improvements for the two above -ground steel tanks. Coldwater Reservoir, City of Beverly Hills, Beverly Hills, CA. 2012. Design Engineer for the reconstruction of an 8.0 MG reservoir. The new design was for a fully buried, cast -in -place, conventionally reinforced concrete reservoir with a recreational park on the surface. The design incorporated full utilization of the site that maximized storage while also included the necessary piping and equipment for inlet/outlet transfer of water, site and reservoir drainage and overflow, a building for analytical and electrical equipment, and park features such as landscaping, water fountains and a running track. The design required working within the constraints of neighboring properties, including a fire station, and existing utilities through the site such as a major box storm drain and 68- inch diameter DWP transmission main. Construction services included engineering support and site observation, as well as services for shoring monitoring, geotechnical certification, corrosion observation, and noise and vibration monitoring. Reynolds Ranch Reservoir, City of Vacaville, Vacaville, CA. 2007. Design Engineer for a preliminary design report for a new prestressed concrete 0.53 MG reservoir and 490 gpm booster pump station. The PDR evaluated alternative configurations, layout, operations, geotechnical conditions, seismic constraints, community impacts, and environmental issues. Pump station design will incorporate a 50 hp two -pump booster station with motor control center, standby generator, and instrumentation. Permitting and assistance during bidding and construction was also provided. Adrian Lee, PE Design Engineer Education: B.S., Civil Engineering, University of California at Irvine, 2007 Registrations/Certifications: Professional Civil Engineer, California, 2011, No. 79032 Professional Affiliations: American Society of Civil Engineers National Society of Professional Engineers Professional Engineers in Private Practice Water Environment Federation American Water Works Association Office: San Dimas, California Years of Experience: 11 Years with Tetra Tech: (0812008) 11 Air National Guard, Irrigation Well Project Building 1300, Port Hueneme CA. 2013. Project Engineer for the development of a PDR and final design to replace an irrigation well pump, piping, piping appurtenances, and electrical equipment. A 475 gpm VFD driven vertical turbine pump was installed 220 feet below ground surface. The 6-inch discharge piping and valves were also replaced. The existing fertilizer injection system plumbing was replaced. Most of the electrical wiring and controls were also replaced. High Zone Recycled Water Tanks, City of Chino Hills, Chino Hills, CA. 2011. Design Engineer for design of two steel tanks at separate sites (0.5 MG and 2.0 MG) to store recycled water. Both sites were in steep hillsides requiring extensive grading along with about 3,200 feet of access road and access road improvements and 950 feet of 8-inch and 16-inch water main. Recycled Water Line Construction, City of Vernon, Vernon, CA Design Engineer for a recycled water line installed within the industrial section of the City. Design features include 8,900 feet of 12- and 18-inch ductile iron piping and 615 feet of 30-inch bores. Project included working with the California Energy Commission (CEC) for constructing the pipeline, which will serve the Malburg Electrical Generating Station, to CEC standards. 25B-1 88 Page 1 N TETRATECH Adrian Lee, PE Design Engineer Hawthorne Boulevard Transmission Hydraulic Analysis, City of Torrance, CA. 2016. Design Engineer to assess impacts of various options to connect a 12-inch 4,300 foot long transmission main. Computer modeling utilized H2O Map and evaluation included water age, fire flow, pressure, and other criteria. Recommendation was for a very simple option which resulted in the lowest construction cost. Inglewood Water Master Plan 2014, City of Inglewood, CA. 2015. Design Engineer/Hydraulic Modeler for the modeling and analysis of City's potable water system. Developed a calibrated model of the City's water system in InfoWater, utilizing the City's GIS data. Assessed the system based on criteria for fire flow, pressure, velocity, and water age. Also assessed the City's operational storage and fire storage requirements. Provided recommendations for optimizing operations, and developed a capital improvements program. TDS Analysis, City of Torrance, Torrance, CA. 2012. Design Engineer to assess impacts of supplying up to 5,000 gpm from North Torrance Well Field. This new source required blending due to high Total Dissolved Solids and Manganese. Developed H2ONET TDS contour map under several scenarios to identify distribution system blending of TDS and Manganese. Identified impacts of various improvements to dispersion of TDS. Beaudry Terrace/Glorietta Park Pressure Surge Analysis, City of Glendale, Glendale, CA. 2015. A report to analyze occurrences of surge and main breaks in the Beaudry Terrace area of the 1666 Zone in the City of Glendale's water system. Updated the City's H2ONET model and provided fire flow evaluations of the Beaudry Terrace area. Also analyzed possible pipeline connections to improve fire flow in the Verdugo 1666 Zone. Condition Assessment of CMP Storm Drains, City of San Diego, CA. 2012. Design Engineer for a large storm drain assessment project for the City of San Diego, for which over 11.5 miles of CMP storm drain from 8-inch to 120-inch was inspected and assessed. Video inspection of the City's CMP storm drains was performed by a subcontractor and the video footage with reports was delivered to Tetra Tech. Each pipe was individually assessed as to condition, specific types and severity of defects discovered, and recommendations for repair were made based on the engineer's analysis. The project was divided into five phases with each phase providing a summary of defects as well as recommendation for rehabilitation or replacement. The report will be used to prioritize maintenance and repair of the entire storm drain conveyance system. Suburban Water Systems, Plant 224 Facility Improvements, Whittier, CA. Ongoing. Design Engineer for the design and construction assistance for the plant improvements. A conceptual plan was developed to construct a 13,000 gpm pump station and as much potable water storage as practical at Suburban Water System's 224 Plant. The concept required close coordination with the City of Whittier in order to obtain DRA, CUP, and Building Department permits. A detailed report was developed and presented to the Public Utility Commission in order to justify the project and obtain funding. Two conventionally reinforced partially buried reservoirs store 2.4 MG and 4.7 MG of potable water. In order to meet the City of Whittler's development requirements, an Art Deco architectural style was adopted which included a 30-foot high facade in the front of the site and architectural pilasters and cornices on the exposed reservoir and pump station walls. The facade includes a 5.5-foot diameter clock and bronzed letters identifying the owner. The architectural theme is compatible with a historical pump station building at an adjacent site. The site work includes a bioswale and retention basin to handle storm water flows. A.C. pavement is limited and gravel/landscaping maximized in order to minimize storm water run-off, maximize aquifer recharge, and enhance the storm water quality run-off. Construction was phased into three parts to match available funding. The first phase included much of the site earthwork and perimeter fencing and Tetra Tech provided the final design, special inspection, and construction assistance. The second phase included piping and the pump station. Tetra Tech provided HVAC, structural, and architectural design while Suburban led the phase and provided the remaining design. Tetra Tech also provided special inspection and construction support services. The third phase included both reservoirs, the architectural facade, and final site work. Tetra Tech led this effort while Suburban provided electrical and controls design. Tetra Tech also provided comprehensive construction management services. 258-189 Page 2 Andy Rodriguez Project Manager i11�1'LA.i, REGISTRATIONS/ CERTIFICATIONS Mr. Rodriguez is a Project Manager for Ninyo & Moore. He has experience on a variety of project types, including highways, bridges, airport projects, pipelines and commercial developments. He oversees field testing of concrete and asphalt concrete, inspection of asphalt and concrete batch plants, geotechnical laboratory testing, quality control for all laboratory procedures, including fulfilling requirements forASTM, AASHTO, CALTRANS, ACI, and UBC Standards. Additionally, he provides geotechnical observation and testing services for earthwork projects. EXPERIENCE Irvine Ranch Water District, On -Call Geotechnical Consulting Services, Irvine, California: Project Manager retained to provide on -call geotechnical services, including laboratory testing, field observation, and density testing for various IRWD projects. Testing and inspection included observation of foundation excavations, compaction testing of subgrade, aggregate base and asphalt concrete pavement. Irvine Ranch Water District, Portola Hills Sewer Lift Station, Irvine, California: Radiation Nuclear Gauge Project Manager retained to provide geotechnical services during construction of the proposed Portola Hills Sewer Lift Station Abandonment and Gravity Sewer Project, located in Lake Forest, California. The project consisted of installing approximately 5,200 linear feet (LF) of 12-inch-diameter gravity sewer pipeline, 13 new manholes, abandonment of approximately 1,300 LF of 8-inch and 1,500 LF of 10-inch sewer pipelines, abandonment of the existing Portola Hills Sewer Lift Station and four manholes, and rehabilitation of the existing pressure reducing valve. Irvine Ranch Water District, Wells 21 and 22 Desalter Facility, Irvine, California: Project Manager retained to provide project coordination and management for soils and material testing services during construction of the Wells 21 and 22 Desalter project, located in Tustin, California. The project consisted of constructing a new Reverse Osmosis Treatment Plant Building. The project delivery method was design/ build. Our services included concrete sampling in the field and soils density testing during building pad preparation, subgrade, aggregate base, asphalt concrete, as well as during the trench and structural backfill operations. Chiquita Water Reclamation Plant, San Juan Capistrano, California: Senior Field Inspector/Technician providing geotechnical consulting, materials testing and inspection services for the Phase 3 Expansion project. His responsibilities included providing the required concrete sampling and inspection during construction of 11 new concrete structures. His geotechnical services included sampling and field density testing during the structure pad preparation, structural backfill placement, subgrade preparation and during aggregate base and asphalt concrete pavement placement. Caltrans District 12 Sampling and Testing Services, Orange County, California: Served as Materials Testing Manager providing coordination or as -needed materials testing services to support the development and construction of State transportation projects in District 12. Services included sampling and testing of concrete, asphalt Andy Rodriguez, Project Manager I Ninyo & Moore I Geotechnical cmt Consultants 1 Andy Rodriguez Project Manager concrete, subgrade and aggregate base. Laboratory testing services included California Impact Test, R-Value, AC extraction, AC maximum density, durability, and flexural strength testing. 1-5 Gateway Project, Orange County, California: Project Manager/Lead inspector retained to provide geotechnical and materials testing services. The project generally consisted of widening the existing 1-5 Freewayfrom the SR91 Freewayto the County of Los Angeles border line. The construction included 4 new bridges over the freeway, ten retaining walls, and reconstruction of the 1-5 Freeway pavement. Field observation, sampling and testing was performed on embankment fill, subgrade, aggregate base, and structural concrete. Concrete batch plant inspection services were also performed at the concrete batch plant during structural concrete construction. The field testing was performed in accordance with Caltrans test methods and test frequencies. County of Los Angeles SR 126/Commerce Center Drive, Castaic, California: Senior Project Manager provided coordination of materials testing and deputy inspection services during the roadway reconstruction of the State Route 126/Commerce Center Drive Interchange project located in the Castaic area of Los Angeles County, California. The project consisted of complete reconstruction of the intersection of State Route 126 at Commerce Center Drive, as well as extension of sections of the existing sound walls adjacent to the intersection. Our Caltrans-certified concrete field technicians performed sampling of the new jointed plain concrete pavement in order to perform ball penetration, air content, and yield/unit weight conformance testing, as well as cast the appropriate sets of concrete beams in accordance with Caltrans specifications. We also performed Caltrans-certified concrete batch plant inspection services located at the on -site and off -site batch plant facilities in order to see that the jointed plain concrete materials were mixed and batched in compliance with the project plans, specifications, and Caltrans concrete mix design requirements. Our batch plant inspection services included checking mix designs, monitoring batch weights, and sampling aggregates for laboratory testing. Our laboratory testing was performed in our Caltrans-certified laboratory. We performed reinforced masonry deputy inspection services during the sound wall extension construction operations. OCTA/Caltrans/Interstate 405 (1-405) and State Route 55 (SR-55) Interchange Improvement Project (MOS-1, 2, 3), Costa Mesa, California: Senior Lead Technician retained to provide soil, AC, and concrete inspections and testing per Caltrans for the Interchange Improvement project. San Bernardino Associated Governments 1-215 Segments 1 and 2, San Bernardino County, California: Materials Testing Manager providing coordination of field personnel providing materials testing and inspection servicesduring construction. Services include oversight of field testing of soil, aggregates, concrete and asphalt concrete, inspection of asphalt and concrete batch plants, geotechnical laboratory testing, and quality control for all laboratory procedures, including fulfilling requirements forASTM, AASHTO, CALTRANS, ACI Murrieta Hot Springs Roadlinterstate 15 and 215 Interchange Modifications, Murrieta, California: Senior Field Technician for materials testing services during the construction of the Murrieta Hot Springs Road/Interstate 15 and Interstate 215 Interchange Modifications project located in Murrieta, California. His responsibilities included contract management and daily coordination of field technicians, special deputy inspectors, and laboratory testing services, and submittal of the field and laboratory reports, as City of Murrieta/Nutmeg Overcrossing at Interstate 15, Murrieta, California: Senior Lead Technician for materials testing services during the construction of the Nutmeg Overcrossing at the Interstate 15 (1-15) freeway in Murrieta, California. The overcrossing, designed in accordance with Caltrans specifications, will have four travel lanes (two lanes in each direction) and consists of a two -span, cast -in -place, and prestressed box girder structure supported by two abutments and a center three -column bent. Harvard Avenue and Walnut Avenue Bridge Widening, Irvine, California: Senior Lead Technician performing soil, AC, and density inspections per Caltrans and Greenbook specifications. Andy Rodriguez, Project Manager I Ninyo & Moore I GeotechnicalLFUI LwAgMtals nos Consultants 2 OYK and Natgun Gen ... tinns Strong 351 Cypress Lane, El Cajon, CA 1 619.440.8181 Matthew A Ford, P.E. Regional Manager, CTS Western Region Professional Experience DN Tanks, El Cajon, California (DYK Incorporated merged with Natgun Corporation to form DN Tanks, Inc. in December 2010) 2019-Present Regional Manager, CTS Western Region — Responsible for performing inspections of new and existing tanks, preparation of reports with findings, making recommendations for repair procedures and client liaison for inspection, retrofit and repair projects in the Western US. Additionally, responsible for assisting in the development and execution of repair projects including plan and specification review and development, estimating, monitoring costs and quality control. 2013-2019 Regional Estimator Responsible for managing project bids, quantity takeoffs, cost estimation and managing the scope of work delineation with subcontractors and prime contractors. Provides support for project development through construction feasibility planning, plan and specification reviews, site visits and site layouts. 2012-2013 Project Engineer — Provide office and field assistance to project managers and superintendents. Responsible for preparing concrete mix designs and other project submittals, making site progress and quality control inspections, preparing shoring drawings and site layouts, checking material purchase orders and issuing request for quotations and subcontractor purchase orders. 2009 — 2012 Cooperative Education Student - Responsible for assisting in the management of both the estimating and execution of new tank and repair projects in both the office and the field. Education Northeastern University, Boston, MA B.S. in Civil Engineering Accreditations Registered as a Professional Engineer in the state of California. 25B-192 Richard F. Yeager Jr., PE Richard (Rick) F. Yeager Jr. is a California Registered Civil Engineer and a NACE Intl Certified Cathodic Protection Specialist with a broad background in corrosion engineering, inspections, and construction support services. Mr. Yeager has extensive experience in water and wastewater corrosion control and cathodic protection system designs, corrosivity assessments, pipe and coating materials of construction, and inspection and monitoring of installed piping systems. The NACE Certification meets the definition of "Corrosion Expert" as defined by the United States Environmental Protection Agency and under 40 CFR 280.12 of the Code of Federal Regulations. Additionally, Mr. Yeager has provided construction inspection services for projects that have included pipelines, water reservoirs, treatments plants, and roadways. Project Experience: As -Needed Corrosion Engineering Services & Annual Surveys Provide Cathodic Protection Survey and Performance testing of installed pipelines and reservoirs. To include monitoring, testing and troubleshooting all existing corrosion control facilities for corrosion. Performing coating assessments on process facilities, water treatment plants, and buried piping systems. Then assessing system damage and evaluating cathodic protection system performance and identifying repair or refurbishment requirements. A summary report listing all observations, conclusions, and recommendations is submitted at the completion of each annual survey. • Ramona Municipal Water District • Olivenhain Municipal Water District • Santa Fe Irrigation District • Leucadia Wastewater District • Otay Water District • San Dieguito Water District • City of San Diego • Padre Dam Municipal Water District • Vallecitos Water District Corrosion Control Evaluation and CP Design Responsible for designing new and retrofit cathodic protection systems for buried metallic pipelines and aboveground water storage tanks. Designs, galvanic anode and impressed current, take into account soil conditions, coating options, power availability and other parameters in order to achieve the most cost effective means of long term corrosion protection in accordance with nationally accepted standards. • City of San Diego- Morena Pump Station & Conveyance System • City of San Diego- Tierra Santa Pump Station & pipeline • City of San Diego- 69"h & Mohawk Pump Station • City of San Diego- 30"h St Pipeline Replacement Richard F. Yeager Jr., PE e, �P�.� R M a 1 R t E R R O Principal Corrosion Engineer YEARS OF EXPERIENCE 22 YEARS WITH FIRM 15 EDUCATION B.S., Civil Engineering, California Polytechnic State University, 1997 National Association of Corrosion Engineers (NACE Int'1) • Basic Corrosion Course, 1997 • CP Design I, 1999 • Cathodic Protection Certification Training, 2001 CERTIFICATIONS California Professional Civil Engineer No.C70686 NACE Int'1: • Cathodic Protection Specialist No. 6321 Confined Space Entrant/Attendee Certified DVBE/SBE Firm (CA Dept. of General Services) Certified SLBE Firm (City of San Diego) SCOOP Certified Firm (SDCWA) 1016 Broadway, Ste. A, El Cajon, CA 92021 Phone: 619.312.0195 25B-193 • City of San Diego- Pacific Beach Pipeline • City of San Diego- North City Water Reclamation Facility PROFESSIONAL AFFILIATIONS • City of San Diego- North City Pure Water Facility Expansion • City of San Diego- Sloane PRS CP Design National association of Corrosion • City of San Diego- Cielo & Woodman PS CP Engineers (NACE Int'1) • City of San Diego- Otay 2"d PL Phase I • City of San Diego- Del Mar Heights PL ICCP Design San Diego Section Chairman, • City of San Diego- Sewer PS 79 CP Design and CSS 03 • City of San Diego- 1-15 DAR/City 66: PL CP Design San Diego Section Trustee, SD • City of San Diego- Cal Trans I-905 Crossing CP Design • City of San Diego- Upas Street Pipeline CP Design NACE I006 NACE I Policy Committee • City of San Diego- Otay Mesa Trunk Sewer Casing Cathodic resnt'l Protection NACE NACE Int'1 Policy Chair • City of San Diego- Torrey Santa Fe Road Pipeline 2012-2015 • Padre Dam Municipal Water District- ESA Secondary Connection NACE Int'1 Policy Past Chair • Eastern Municipal Water District- Cactus II Feeder Transmission 2015-Present Pipeline American Society of Civil Engineers • Eastern Municipal Water District- Menifee Valley Reservoir (ASCE) • City of Inglewood- Inglewood Pipeline Assessment • City of Inglewood- Sanford Treatment Plant Corrosion Assessment • City of Orlando, FL- Orlando Reuse Pipelines • Orange County Water District- Groundwater Replenishment Pipeline • Eastern Municipal Water District- Desalter pipelines Phase 11 • Eastern Municipal Water District- Reach 16-2 RW Pipeline • Eastern Municipal Water District- Nuevo Road I-215 Pipeline • Eastern Municipal Water District- Well 57 Pump Coating Inspection & CP Design • Padre Dam Municipal Water District- Sky Ranch Pipeline, pump station and reservoir • Las Vegas, NV- Nellis Air Force Base Visiting Quarters, Maintenance building, and Headquarters Building • Irvine Ranch Water District- Zone 3 Reservoir CP • Otay Water District- 680/944 Pipeline • City of Del Mar- 21�t St & 7th St Pump Station Cathodic Protection • Leucadia Wastewater District- B2, B3, L1, L2 Force Main CP Repairs • County of San Diego- Harbison Canyon SLS Corrosion Assessment • Eastern Municipal Water District- Bridge RW Pipeline CP Design • Vista Irrigation District- HP Tank CP Design • Lake Havasu City- BS 1C CP Design • Otay Water District- Heritage Rd PRS CP • LVVWD- Reservoir 3665 CP Design • Helix Water District- 36-inch CML&C Pipeline CP • MNWD- Regional LS FM Replacement CP More Experience Available Upon • SM WD- Reservoir CP System and Anode Well Survey Request • Eastern Municipal Water District- AMR North Goetz Rd CP • Coachella Valley Water District- Salton Sea SCH PS and PL CP Richard F. Yeager Jr., PE 1016 Broadway, Ste. A, El Cajon, CA 92021 Phone: 619.312.0195 25B-194 j Sant, Celebrating 44 Yeats N TETRA TECH EXHIBIT C ©� �....Price Suminvary, / Totals Seismic and Structural Assessment of the S,pecify Add-1 Fees on Setup City of Santa Ana Public Works Agenc, Pricing by Resource case rolmTech-Confiaen,adanaP,oaetary 255_-196 P.nfl�,,,,MO,s OTETRATECH EXHIBIT A - SW 2014-2019 HOURLY CHARGE RATE AND EXPENSE REIMBURSEMENT SCHEDULE Project Management Project Manager 1 Project Manager 2 Sr Project Manager Program Manager Principal in Charge Engineers Engineering Technician Engineer 1 Engineer 2 Engineer 3 Project Engineer 1 Project Engineer 2 Sr Engineer 1 Sr Engineer 2 Sr Engineer 3 Principal Engineer Planners Planner 1 Planner 2 Sr Planner 1 Sr Planner 2 Sr Planner 3 Designers & Technicians CAD Technician 1 CAD Technician 2 CAD Technician 3 CAD Designer Sr CAD Designer 1 Sr CAD Designer 2 CAD Director Survey Tech 1 Health & Safety H&S Administrator Sr H&S Administrator H&S Manager Construction $195.00 Construction Project Rep 1 $207.00 Construction Project Rep 2 $250.00 Sr Constr Project Rep 1 $297.00 Sr Constr Project Rep 2 $310.00 Construction Manager 1 Construction Manager 2 Construction Director $37.00 $96.00 $115.00 $130.00 $135.00 $165.00 $170.00 $175.00 $210.00 $300.00 $104.00 $115.00 $125.00 $151.00 $175.00 $65.00 $75.00 $90.00 $100.00 $118.00 $145.00 $150.00 $50.00 $95.00 $115.00 $145.00 General & Administrative Project Assistant 1 Project Assistant 2 Project Adm inistrator Sr Project Administrator Graphic Artist Technical Writer 1 Technical Writer 2 Sr Technical Writer Information Technology Systems Analyst/ Programmer 1 Systems Analyst/ Programmer 2 Sr Sys Analyst/ Programmer 1 Sr Systems Analyst/Programmer 2 Project Accounting Project Analyst 1 Project Analyst 2 Sr Project Analyst $78.00 $85.00 $100.00 $115.00 $165.00 $185.00 $233.00 $67.00 $75.00 $95.00 $110.00 $130.00 $97.00 $124.00 $155.00 $77.00 $115.00 $130.00 $196.00 $90.00 $114.00 $155.00 Reimbursable In -House Costs: Photo Copies (B&W 8.5"xl1") $ 0.15/Each Photo Copies (B&W 11"xl7") $ 0.40/Each Color Copies (up to 8.5"xl l ") $ 2.00/Each Color Copies (to 11 "x17") $ 3.00/Each Compact Discs $10/each Large format copies $0.40 S.F. Computer Usage: not to exceed $3.55/hour Mileage -Company Vehicle $0.80/mile Mileage-POV $0.55/mile* *current GSA POV mileage rate subject to change All other direct costs, such as production, special photography, postage, delivery services, overnight mail, printing and any other services performed by subcontractor will be billed at cost plus 15%. NOTE: Rates subject to change annually. 25B-197 Exhibit A -Sw 2014-2019.xlsx REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 7, 2020 TITLE: ADOPT A RESOLUTION AMENDING RESOLUTION 91-088 TO EXPAND THE SOUTH COAST PERMIT PARKING DISTRICT BOUNDARIES CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 11' Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For [K•]►oil ►[11zl slillel /s/ Kristine Ridge FILE NUMBER CITY MANAGER Id:1K0LVAILVAIAki II] A11VA"1[11111]kiI Adopt a resolution amending the South Coast Permit Parking District Resolution 91-088 to expand the district boundaries to include the area bounded by the Southern Pacific Transportation Company railroad right-of-way, Bristol Street, Warner Avenue, and Flower Street. DISCUSSION The City's permit parking program was established to limit the intrusion of non-residential and commuter parking into residential neighborhoods. The South Coast Permit Parking District was initially created in 1991. This district is currently bounded by the Southern Pacific Transportation Company railroad right-of-way, Bristol Street, Sunflower Ave, and Flower Street (Exhibit 1). Owners of properties on residential streets near the South Coast Parking District have noted a lack of available parking on their streets and have requested to participate in the City's permit parking program. However, these streets are not within the boundaries of any established residential permit parking district. Therefore, to establish an area that accommodates any future requests, staff recommends amending the existing South Coast Permit Parking District boundary to include the area bounded by the Southern Pacific Transportation Company railroad right-of-way, Bristol Street, Warner Avenue. and Flower Street. 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). ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the proposed project is exempt from further review. Categorical Exemption ER No. 2019-121 will be filed for this report. 55A-1 Resolution Amending Resolution 91-088South Coast Permit Parking District April 7, 2020 Page 2 FISCAL IMPACT There is no fiscal impact associated with this action. Exhibits: 1. Map — South Coast Permit Parking District 2. Resolution 55A-2 WARNER AV (DELF SE QRSIPy A MAC A THUR BLVI LEGEND EXISTING SOUTH COAST PERMIT PARKING DISTRICT -PROPOSED EXPASNION TO SOUTH COAST PERMIT PARKING DISTRI EXHIBIT 1 SANT�A ANAA ■ P WA ■ SOUTH COAST �i PERMIT PARKING DISTRICT WMWLIC WB s AaM 55A-3 PAGE 1 OF 1 jmf2/12/2020 EXHIBIT 2 RESOLUTION NO. 2020-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING RESOLUTION 1991-088 RELATED TO THE SOUTH COAST PERMIT PARKING DISTRICT FOR THE PURPOSE OF EXPANDING THE BOUNDARIES OF THAT DISTRICT 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. Pursuant to Article XI (commencing with Section 36-480) of Chapter 36 of the Santa Ana Municipal Code, the City Council of the City of Santa Ana is authorized to adopt resolutions establishing permit parking districts in which parking restrictions apply to all vehicles except those vehicles that have been issued parking permits pursuant to such Article. B. By Resolution No. 1991-088, the City Council of the City of Santa Ana established the South Coast Permit Parking District, as shown on Exhibit 1, attached hereto and incorporated by reference. C. Owners of properties on residential streets near the South Coast Permit Parking District have noted a lack of available parking on their streets and have asked to participate in the City's permit parking program. D. To accommodate the present and any future requests, the City Council now wishes to expand the South Coast Permit Parking District to include these areas. Section 2. Section 1 of Resolution 1991-088 is hereby amended to expand the South Coast Permit Parking District to consist in its entirety of the existing and proposed areas delineated on Exhibit 1, attached hereto and incorporated by reference. Section 3. Section 4 of Resolution 1991-088 is hereby amended to permit the Executive Director of the Public Works Agency, or his or her designee, to waive the limitation therein on the number of permits and dwelling units on a lot if he or she determines that its application in a particular case would cause extreme hardship on the residents of such dwelling units due to a severe inadequacy of on -site parking. Resolution No. 2020-xxx Page 1 of 2 55A-4 jmf2/12/2020 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 Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: W Ig,�.,�_ J&fin M. Funk Assistant City Attorney AYES Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers I, DAISY GOMEZ, Clerk of the Council do hereby attest to and certify the attached Resolution No 2020-XXX to be the original resolution adopted by the City Council of the City of Santa Ana on Date Clerk of the Council City of Santa Ana Resolution No. 2020-xxx Page 2 of 2 55A-5 WARNER AV (DELF SE QRSIPy A MAC A THUR BLVI LEGEND EXISTING SOUTH COAST PERMIT PARKING DISTRICT -PROPOSED EXPASNION TO SOUTH COAST PERMIT PARKING DISTRI EXHIBIT 1 SANT�A ANAA ■ P WA ■ SOUTH COAST �i PERMIT PARKING DISTRICT WMWLIC WB s AaM 55A-6 PAGE 1 OF 1 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 7, 2020 TITLE: ADOPT A RESOLUTION AMENDING RESOLUTION 92-87 TO EXPAND THE EASTSIDE PERMIT PARKING DISTRICT BOUNDARIES CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 11' Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For [K•]►oil ►[11zl slillel /s/ Kristine Ridge FILE NUMBER CITY MANAGER Id:1K0LTA ILTA IAki II] A11111VA"1[11111]kiI Adopt a resolution amending the Eastside Permit Parking District Resolution 92-87 to expand the district boundaries to include the area bounded by First Street, Pacific Transportation Company railroad right of way, Grand Avenue, and Edinger Avenue. DISCUSSION The City's permit parking program was established to limit the intrusion of non-residential and commuter parking into residential neighborhoods. The Eastside Permit Parking District was initially created in 1992 and is bounded by First Street, Pacific Transportation Company railroad right-of- way, Edinger Avenue and Main Street (Exhibit 1). Owners of properties on residential streets near the Eastside Parking District have noted a lack of available parking on their streets and have requested to participate in the City's permit parking program. Consistent with established City policies, sufficient petitions were received from residents of Hathaway Street between Walnut Street and cul-de-sac to meet the criteria for permit parking. However, these streets are not within the boundaries of any established residential permit parking district. Therefore, to establish an area that accommodates any future requests, staff recommends amending the existing Valley High Permit Parking District boundary to include the area bounded by First Street, Pacific Transportation Company railroad right-of-way, Grand Avenue, and Edinger Avenue (Exhibit 1). 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). ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the proposed project is exempt from further review. Categorical Exemption ER No.2019-120 will be filed for this report. 55B-1 Resolution Amending Resolution 92-87 Eastside Permit Parking District April 7, 2019 Page 2 FISCAL IMPACT There is no fiscal impact associated with this action. Nabil Saba Acting Executive Director Public Works Agency Exhibits: 1. Map — Eastside Permit Parking District 2. Resolution 55B-2 J 00 J UUU Illlll��JJkkknnn � U �o0 0 ❑ 00 00 Do 0 oQ❑ too spy oQoNI�Pqy 0 1 _ 1 G 1 1 o iaa Y 1 E-4 B1 xFIF] Mro xs 1 1 C 1 1 a 1 c 1 1 0 1 xldux 1 o F 1 1 1 1 o i NC F 1 Y.ry Y I N 1 a 0 0 0 0 oa �>Y x 1 1 1 E 1 0 1 0 1 1 1 1 1 NGE 1 olo F— LEGEND EXISTING EASTSIDE PERMIT PARKING DISTRICT ——————-PROPOSED EXPANSION FOR EASTSIDE PERMIT PARKING DISTRICT EXHIBIT 1 SANTA ANA l PERMIT PARKINIDEDISTRICT PBLC1O8s""K" PAGE 1 OF 1 55B-3 jmf2/12/2020 1O3:II:111111110A RESOLUTION NO. 2020-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING RESOLUTION 1992-087 RELATED TO THE EASTSIDE PERMIT PARKING DISTRICT FOR THE PURPOSE OF EXPANDING THE BOUNDARIES OF THAT DISTRICT 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. Pursuant to Article XI (commencing with Section 36-480) of Chapter 36 of the Santa Ana Municipal Code, the City Council of the City of Santa Ana is authorized to adopt resolutions establishing permit parking districts in which parking restrictions apply to all vehicles except those vehicles that have been issued parking permits pursuant to such Article. B. By Resolution No. 1992-087, the City Council of the City of Santa Ana established the Eastside Permit Parking District, as shown on Exhibit 1, attached hereto and incorporated by reference. C. Owners of properties on residential streets near the Eastside Permit Parking District have noted a lack of available parking on their streets and have asked to participate in the City's permit parking program. D. To accommodate the present and any future requests, the City Council now wishes to expand the Eastside Permit Parking District to include these areas. Section 2. Section 1 of Resolution 1992-087 is hereby amended to expand the Eastside Permit Parking District to consist in its entirety of the existing and proposed areas delineated on Exhibit 1, attached hereto and incorporated by reference. Section 3. Section 5 of Resolution 1992-087 is hereby amended to permit the Executive Director of the Public Works Agency, or his or her designee, to waive the limitation therein on the number of permits and dwelling units on a lot if he or she determines that its application in a particular case would cause extreme hardship on the residents of such dwelling units due to a severe inadequacy of on -site parking. Resolution No. 2020-xxx Page 1 of 2 55B-4 jmf2/12/2020 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 Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: l,. -f�'L hn M. Funk Assistant City Attorney AYES Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers I, DAISY GOMEZ, Clerk of the Council do hereby attest to and certify the attached Resolution No 2020-XXX to be the original resolution adopted by the City Council of the City of Santa Ana on Date Clerk of the Council City of Santa Ana Resolution No. 2020-xxx Page 2 of 2 55B-5 J 00 J UUU Illlll��JJkkknnn � U �o0 0 ❑ 00 00 Do 0 oQ❑ too spy oQoNI�Pqy 0 1 _ 1 G 1 1 o iaa Y 1 E-4 B1 xFIF] Mro xs 1 1 C 1 1 a 1 c 1 1 0 1 xldux 1 o F 1 1 1 1 o i NC F 1 Y.ry Y I N 1 a 0 0 0 0 oa �>Y x 1 1 1 E 1 0 1 0 1 1 1 1 1 NGE 1 olo F— LEGEND EXISTING EASTSIDE PERMIT PARKING DISTRICT ——————-PROPOSED EXPANSION FOR EASTSIDE PERMIT PARKING DISTRICT EXHIBIT 1 SANTA ANA l PERMIT PARKINIDEDISTRICT PBLC1O8s""K" PAGE 1 OF 1 55B-6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 7, 2020 TITLE: ADOPT A RESOLUTION AMENDING RESOLUTION 2001-035 TO EXPAND THE PICO-LOWELL PERMIT PARKING DISTRICT BOUNDARIES CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 11' Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For [K•]►oil ►[11zl slillel /s/ Kristine Ridge FILE NUMBER CITY MANAGER Id:1K0LVAILVAIAki II] A11VA"1[11111]kiI Adopt a resolution amending the Pico -Lowell Permit Parking District Resolution 2001-035 to expand the district boundaries to include the area bounded by McFadden Avenue, Flower Street, Edinger Avenue. and Bristol Street. DISCUSSION The City's permit parking program was established to limit the intrusion of non-residential and commuter parking into residential neighborhoods. The Pico -Lowell Permit Parking District was initially created in 2001 and is bounded by bounded by First Ave, Flower Street, McFadden Avenue, Flower Street, and Bristol Street Owners of properties on residential streets near the Pico -Lowell Parking District have noted a lack of available parking on their streets and have requested to participate in the City's permit parking program. Consistent with established City policies, sufficient petitions were received from residents of Russell Avenue between Flower Street and Olive Street to meet the criteria for permit parking. However, these streets are not within the boundaries of any established residential permit parking district. Therefore, to establish an area that accommodates any future requests, staff recommends amending the existing Pico -Lowell Permit Parking District boundary to include the area bounded by McFadden Avenue, Flower Street, Edinger Avenue, and Bristol Street (Exhibit 1). 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). ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the proposed project is exempt from further review. Categorical Exemption ER No. 2019-119 will be filed for this report. 55C-1 Resolution Amending Resolution 2001-035Pico-Lowell Permit Parking District April 7, 2020 Page 2 FISCAL IMPACT There is no fiscal impact associated with this action. Exhibits: 1. Map — Pico -Lowell Permit Parking District 2. Resolution 55C-2 LEGEND J N l� EDINGER AV— — — J CHES NUT AV IL T Ili J�- p LA- LJU ELL� mI�I��gf 1�1 ��ry�� EXISTING PICO-LOWELL PERMIT PARKING DISTRICT •PROPOSED EXPASNION TO PICO-LOWELL PERMIT PARKING DISTRICT EXHIBIT 1 LSA.NTA ANA PICO-LOWELL PERMIT PARKING DISTRICT sAcax 55C-3 PAGE 1 OF 1 jmf2/12/2020 EXHIBIT 2 RESOLUTION NO. 2020-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING RESOLUTION 2001-035 RELATED TO THE PICO-LOWELL PERMIT PARKING DISTRICT FOR THE PURPOSE OF EXPANDING THE BOUNDARIES OF THAT DISTRICT 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. Pursuant to Article XI (commencing with Section 36-480) of Chapter 36 of the Santa Ana Municipal Code, the City Council of the City of Santa Ana is authorized to adopt resolutions establishing permit parking districts in which parking restrictions apply to all vehicles except those vehicles that have been issued parking permits pursuant to such Article. B. By Resolution No. 2001-035, the City Council of the City of Santa Ana established the Pico -Lowell Permit Parking District, as shown on Exhibit 1, attached hereto and incorporated by reference. C. Owners of properties on residential streets near the Pico -Lowell Permit Parking District have noted a lack of available parking on their streets and have asked to participate in the City's permit parking program. D. To accommodate the present and any future requests, the City Council now wishes to expand the Pico -Lowell Permit Parking District to include these areas. Section 2. Section 2 of Resolution 2001-035 is hereby amended to expand the Pico -Lowell Permit Parking District to consist in its entirety of the existing and proposed areas delineated on Exhibit 1, attached hereto and incorporated by reference. Section 3. Section 6 of Resolution 2001-035 is hereby amended to permit the Executive Director of the Public Works Agency, or his or her designee, to waive the limitation therein on the number of permits and dwelling units on a lot if he or she determines that its application in a particular case would cause extreme hardship on the residents of such dwelling units due to a severe inadequacy of on -site parking. Resolution No. 2020-xxx Page 1 of 2 55C-4 jmf2/12/2020 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 Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney BY: g,-f�L Jiro M. Funk Assistant City Attorney AYES Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers I, DAISY GOMEZ, Clerk of the Council do hereby attest to and certify the attached Resolution No 2020-XXX to be the original resolution adopted by the City Council of the City of Santa Ana on Date Clerk of the Council City of Santa Ana Resolution No. 2020-xxx Page 2 of 2 55C-5 LEGEND J N l� EDINGER AV— — — J CHES NUT AV IL T Ili J�- p LA- LJU ELL� mI�I��gf 1�1 ��ry�� EXISTING PICO-LOWELL PERMIT PARKING DISTRICT •PROPOSED EXPASNION TO PICO-LOWELL PERMIT PARKING DISTRICT EXHIBIT 1 LSA.NTA ANA PICO-LOWELL PERMIT PARKING DISTRICT sAcax 55C-6 PAGE 1 OF 1 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 7, 2020 TITLE: ADOPT A RESOLUTION AMENDING RESOLUTION 96-092 TO EXPAND THE NORTHEAST PERMIT PARKING DISTRICT BOUNDARIES CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 11' Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For [K•]►oil ►[11zl slillel /s/ Kristine Ridge FILE NUMBER CITY MANAGER Id:1K0LVAILVAIAki II] A11VA"1[11111]kiI Adopt a resolution amending the Northeast Permit Parking District Resolution 96-092 to expand the district boundaries to include the newly annexed area of the City generally bounded by the former city limits on the north, the 55 Freeway on the east, 17th Street on the south, and Tustin Avenue on the west DISCUSSION The City's permit parking program was established to limit the intrusion of non-residential and commuter parking into residential neighborhoods. The Northeast Permit Parking District was initially created in 1996 and is generally bounded by the 22 Freeway on the north, the 55 Freeway on the east, 17th street on the south and Lincoln Ave on the west. On December 13th, 2019, the City of Santa Ana acquired management of the annexation area, formerly managed by the County of Orange, generally bounded by existing city limits on the north, the 55 Freeway on the east, 17th Street on the south, and Tustin Avenue on the west (annexation area). In the past, requests from residents in this area have been received for permit parking but were forwarded to the County. To better serve the new residential property owners, staff recommends amending the existing Northeast Permit Parking District to include the annexation area. 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). ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the proposed project is exempt from further review. Categorical Exemption ER No. 2019-122 will be filed for this report. 55D-1 Resolution Amending Resolution 96-092 Northeast Permit Parking District March 3, 2020 Page 2 FISCAL IMPACT There is no fiscal impact associated with this action. Exhibits: 1. Map — Northeast Permit Parking District 2. Resolution 55D-2 LEGEND LtSANTANA 3 OPWAM sxn' EXISTING NORTHEAST PERMIT PARKING DISTRICT PROPOSED EXPASNION TO NORTHEAST PERMIT PARKING DISTRICT EXHIBIT 1 1, NORTHEAST PERMIT PARKING DISTRICT l PAGE 1 OF 1 jmf2/12/2020 1O3:II:111111110A RESOLUTION NO. 2020-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING RESOLUTION 1996-092 RELATED TO THE NORTHEAST PERMIT PARKING DISTRICT FOR THE PURPOSE OF EXPANDING THE BOUNDARIES OF THAT DISTRICT 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. Pursuant to Article XI (commencing with Section 36-480) of Chapter 36 of the Santa Ana Municipal Code, the City Council of the City of Santa Ana is authorized to adopt resolutions establishing permit parking districts in which parking restrictions apply to all vehicles except those vehicles that have been issued parking permits pursuant to such Article. B. By Resolution No. 1996-092, the City Council of the City of Santa Ana established the Northeast Permit Parking District, as shown on Exhibit 1, attached hereto and incorporated by reference. C. In 2019, the City of Santa Ana annexed the area bordering the Northeast Permit Parking District, at 17th Street and Tustin Avenue, that was previously administered by the County of Orange. D. To accommodate the present and any future requests in this area, the City Council now wishes to expand the Northeast Permit Parking District to include the newly annexed area. Section 2. Section 1 of Resolution 1996-092 is hereby amended to expand the Northeast Permit Parking District to consist in its entirety of the existing and proposed areas delineated on Exhibit 1, attached hereto and incorporated by reference. Section 3. Section 5 of Resolution 1996-092 is hereby amended to permit the Executive Director of the Public Works Agency, or his or her designee, to waive the limitation therein on the number of permits and dwelling units on a lot if he or she determines that its application in a particular case would cause extreme hardship on the residents of such dwelling units due to a severe inadequacy of on -site parking. Resolution No. 2020-xxx Page 1 of 2 55D-4 jmf2/12/2020 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 Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney Jbfin M. Funk Assistant City Attorney AYES Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers I, DAISY GOMEZ, Clerk of the Council do hereby attest to and certify the attached Resolution No 2020-XXX to be the original resolution adopted by the City Council of the City of Santa Ana on Date Clerk of the Council City of Santa Ana Resolution No. 2020-xxx Page 2 of 2 55D-5 LEGEND LtSANTANA 3 OPWAM sxn' EXISTING NORTHEAST PERMIT PARKING DISTRICT PROPOSED EXPASNION TO NORTHEAST PERMIT PARKING DISTRICT EXHIBIT 1 1, NORTHEAST PERMIT PARKING DISTRICT l PAGE 1 OF 1 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 7, 2020 TITLE: ADOPT A RESOLUTION AFFIRMING PROJECTS FOR SB1 FUNDING IN THE AMOUNT OF $6,378,389 FOR FISCAL YEAR 2020-21 CAPITAL IMPROVEMENT PROGRAM 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 Adopt a Resolution affirming the Fiscal Year 2020-21 SB-1 Projects List and anticipated funding in the amount of $6,378,389, which is required to be submitted to the California Transportation Commission (CTC) for budgeting the Fiscal Year 2020-21 Capital Improvement Program (CIP) and for City eligibility to receive Road Maintenance and Rehabilitation Account (RMRA) funding. DISCUSSION Senate Bill 1 (SB-1), the Road Repair and Accountability Act of 2017 (Chapter 5, Statutes of 2017), was passed by the Legislature and signed into law by the Governor in April 2017 to address basic road maintenance, rehabilitation, and critical safety needs on both the state highway and the local street systems. The funding guidelines specify that before local agencies can receive their apportionment of Road Maintenance and Rehabilitation Account (RMRA) funds in a given fiscal year, agencies are required to adopt a resolution with a list of proposed projects (Exhibit 1). The City will receive an estimated $6,378,389 in FY 2020-21 from RMRA funds, but to maintain eligibility, the City must submit a resolution with the project list to the California Transportation Commission (CTC) by May 1, 2020. Each RMRA-funded project must be specifically distinguished from the Highway Users Tax Account funding, and project nominations must include a project description, specific location, proposed completion schedule, and the estimated useful life. The proposed projects are being incorporated into the FY 2020-21 Capital Improvement Program (CIP) Budget, and staff has prepared FY 2020-21 CIP Project Sheets (Exhibit 2) for each of the projects. The proposed projects are as follows: 55E-1 Resolution — FY 2020-21 SB-1 RMRA Project List April 7, 2020 Page 2 17th Street Rehabilitation: Bristol to Flower Reconstruction/resurfacing of existing pavement and replacement/installation of missing or damaged, curbs, gutters, sidewalks, driveway approaches, and wheelchair ramps within this segment of roadway. 17th Street Rehabilitation: Fairview to Bristol Application of slurry seal, crack seal, and minor pavement resurfacing with asphalt concrete. The work also include replacement/installation of missing or damaged curbs, gutters, sidewalk, driveway approaches, wheelchair ramps, and striping. Alton Avenue Rehabilitation: Main to Standard Reconstruction/resurfacing of existing pavement and replacement/installation of missing or damaged, curbs, gutters, sidewalks, driveway approaches, and wheelchair ramps within this segment of roadway. Fairview Avenue Rehabilitation: City Limits to Segerstrom Reconstruction/resurfacing of existing pavement and replacement/installation of missing or damaged, curbs, gutters, sidewalks, driveway approaches, and wheelchair ramps within this segment of roadway. Flower Street Rehabilitation: McFadden to First St Reconstruction/resurfacing of existing pavement and replacement/installation of missing or damaged, curbs, gutters, sidewalks, driveway approaches, and wheelchair ramps within this segment of roadway. MacArthur Boulevard Rehabilitation: Fairview to Raitt Reconstruction/resurfacing of existing pavement and replacement/installation of missing or damaged, curbs, gutters, sidewalks, driveway approaches, and wheelchair ramps within this segment of roadway. The City must annually submit the proposed RMRA projects list to the CTC, and as required, provide updates on the project progress. Therefore, staff recommends that the City Council adopt a resolution recognizing the proposed project list which will utilize FY 2020-21 RMRA funds (Exhibit 1). STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #6 - Community Facilities & Infrastructure, Objective #1 (Establish and Maintain a Community Investment Plan for All City Assets), Strategy G (Develop and Implement the City's Capital Improvement Program in Coordination with the Community Investment and Deferred Maintenance Plans). ENVIRONMENTAL IMPACT There is no environmental impact associated with this action 55E-2 Resolution — FY 2020-21 SB-1 RMRA Project List April 7, 2020 Page 3 FISCAL IMPACT Pursuant to the California Transportation Commission's Annual Reporting Guidelines for Local Streets and Roads Funding, staff has identified six CIP projects to be funded with anticipated FY 2020-21 RMRA revenues in the table shown below. The proposed FY 2020-21 CIP budget was prepared using the California Department of Finance RMRA January 2020 estimate of $6,378,389. Fiscal Year 2020-21 — Potential SB 1 Road Repair and Accountability Act Projects PROJECT LOCATION DESCRIPTION COST 17/h Street Fairview Street to Bristol Street Preventative Maintenance/Slurry $790,000 1rh Street Bristol Street to Flower Street Road Rehabilitation $1,050,000 Alton Avenue Main Street to Standard Avenue Road Rehabilitation $770,000 Fairview Avenue City Limit to Segerstrom Avenue Road Rehabilitation $2,188,389 Flower Street McFadden Avenue to First Street Road Rehabilitation $700,000 MacArthur Boulevard Fairview Street to Raitt Street Road Rehabilitation $880,000 Grand Total: $6,378,389 Exhibits: 1. Resolution and Proposed FY 2020-21 List of Projects 2. FY 2020-21 CIP Project Sheets 55E-3 EXHIBIT 1 jmf3/16/20 RESOLUTION NO. 2020-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADOPTING A LIST OF PROJECTS TO BE FUNDED BY SB 1: THE ROAD REPAIR AND ACCOUNTABILITY ACT :1=Ia:7X063 VIA III :l'aI.I=NIAK6161111►[MI 19i1aI.I:9N1WLe7 W.9a►rrGWG1►/GWG[.9 17i111101M -1 Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. Senate Bill 1 (SB 1), the Road Repair and Accountability Act of 2017, was passed by the Legislature and signed into law by the Governor in April 2017 in order to address the significant multi -modal transportation funding shortfalls statewide. B. SB 1 includes accountability and transparency provisions that will ensure the residents of the City of Santa Ana are aware of the projects proposed for funding in our community and which projects have been completed each fiscal year. C. The City of Santa Ana must establish a list of all projects to receive funding from the Road Maintenance and Rehabilitation Account (RMRA), created by SB 1, which must include a description and the location of each proposed project, a proposed schedule for the project's completion, and the estimated useful life of the improvement. D. The City will receive an estimated $6,378,389 in RMRA funding in Fiscal Year 2020-21 from SB 1. E. The City used a Pavement Management System to develop the SB 1 project list to ensure revenues are being used on the most high -priority and cost-effective projects that also meet the priorities of the community for transportation investment. F. The funding from SB 1 will help the City maintain and rehabilitate local streets and roads and provide resources for similar projects in the future. G. Modernizing the local street and road system is critical for interconnectivity, multimodal needs, and commerce. H. The SB 1 project list and overall investment in our local streets and roads infrastructure with a focus on basic maintenance, safety, and investing in complete streets will have significant benefits statewide. Resolution No. 2020-XXX MEW Page 1 of 3 jmf 3/16/20 Section 2. The City of Santa Ana adopts the following list of projects planned to be funded with Road Maintenance and Rehabilitation Account (RMRA) revenues for Fiscal Year 2020-21. Project Name Location Description Proposed Project Completion Estimated Useful Life Road Projects: 17th Street Fairview Street to Bristol Street Preventative Maintenance/Slurry 12/31/21 10 YR 17th Street Bristol Street to Flower Street Road Rehabilitation 12/31/21 20 YR Alton Main Street to Standard Avenue Road Rehabilitation 12/31/21 20 YR Fairview Avenue City Limit to Segerstrom Avenue Road Rehabilitation 12/31/21 20 YR Flower Street McFadden Avenue to 1 st Street Road Rehabilitation 12/31/21 20 YR MacArthur Boulevard Fairview Street to Raitt Street Road Rehabilitation 12/31/21 20 YR Section 3. 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 12020. APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: C John M. Funk Assistant City Attorney Miguel A. Pulido Mayor Resolution No. 2020->= 55 E -5 Page 2 of 3 jmf 3/16/20 AYES: NOES: ABSTAIN: NOT PRESENT: Councilmembers Councilmembers Councilmembers Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Daisy Gomez, Clerk of the Council, do hereby certify the attached Resolution No. 2020 - to be the original resolution adopted by the City Council of the City of Santa Ana on .2020. Date: Clerk of the Council City of Santa Ana Resolution No. 2020->= 55 E -6 Page 3 of 3 § _ � � ) § � a q we w� we2 �ƒ {o G� GI« I S IL I<- / § / E o om � / \ } % & ) §kk qo co «E� �2 LC o!t w� w22 w\ (ƒf G/ GI2 �- f \ A e \\ om § f \)%[ f;2E® \[))t � k\{ R ZIS r �;®.�4 w z wlG�: w,\(� \ f / { & ) §kk q\ w� «Ecr Pm o!t §} §\\ 0Z GI2 wm W2f C; a.m, k k 0 -j <\ � h f \ \ & ) ° Ra2 \\\ �\ w®E wet w}\ w/> w\[ wk\ I<m ILm; k � k 0 . -j Ci 0 SmLL °B0 §� E 22Lm )} )/) §! •, � , zz 1 , , c < � h f / / { & ) §kk q\ P� o!t §� §/\ o 0 Q> w2 w 2 t I< ILm, k k ( -j � h f !f \ \$)}\ • coo tE� ),!`, i�\\� !}; %rQ 00 ;�, ,! W;®.�. W�),ta z E.2 wlG�` wfte §�� ( ik (� 2 \)/ � ;fe w))!, o�!*� �:§t§ G7l2 �E-ak a �lr,a \ } z \ ) & RR2 P\ \ § §) § /\ Gs# GI« IL IL%$ k § k g { co � h f REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 7, 2020 TITLE: ADOPT THE CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES RESOLUTION FOR THE PURPOSE OF OBTAINING CERTAIN FEDERAL FINANCIAL ASSISTANCE AND OR STATE ASSISTANCE UNDER THE CALIFORNIA DISASTER ASSISTANCE ACT /s/ Kristine Ridge CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 111 Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For Ifiel0oil 01,11111g11iC61 FILE NUMBER Adopt the California Governor's Office of Emergency Services ("Cal OES") Resolution designating the City Manager, the Police Chief or the Executive Director of Finance as authorized agents to execute applications for financial assistance on behalf of the City of Santa Ana for the purpose of obtaining post -disaster public assistance grants from Cal OES and the Federal Emergency Management Agency ("FEMA"). DISCUSSION Cal OES requires a Designation of Applicant's Agent Resolution for Non -State Agencies to be on file for the purpose of obtaining certain federal financial assistance under Public Law 93-288 and/or state financial assistance under the California Disaster Assistance Act. The Resolution, once approved, will last for three (3) years and designates the City Manager, Police Chief, and the Executive Director of Finance as authorized agents for the City of Santa Ana (Exhibit 1). STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal No. 4. Government Financial Stability and Goal No. 5 Community Health, Livability, Engagement and Sustainability. FISCAL IMPACT There is no fiscal impact. However, if the Designation of Applicant's Agent Resolution is not on file with Cal OES, the City would be ineligible to apply for reimbursement under any future public assistance grants available for declared disasters. FEMA mandates current designations as a condition of qualifying for Cal OES public assistance grants. Exhibit: 1. Designation of Applicant's Agent Resolution for Non -State Agencies 55F-1 Exhibit 1 STATE OF CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES Cal OES ID No: Cal OES 130 DESIGNATION OF APPLICANT'S AGENT RESOLUTION FOR NON -STATE AGENCIES BE IT RESOLVED BY THE City Council OF THE City of Santa Ana (Governing Body) (Name of Applicant) THAT City Manager OR (Title of Authorized Agent) Chief of Police OR (Title of Authorized Agent) Executive Director of Finance (Title of Authorized Agent) is hereby authorized to execute for and on behalf of the City of Santa Ana , a public entity (Name of Applicant) established under the laws of the State of California, this application and to file it with the California Governor's Office of Emergency Services for the purpose of obtaining certain federal financial assistance under Public Law 93-288 as amended by the Robert T. Stafford Disaster Relief and Emergency Assistance Act of 1988, and/or state financial assistance under the California Disaster Assistance Act. THAT the City of Santa Ana , a public entity established under the laws of the State of California, (Name of Applicant) hereby authorizes its agent(s) to provide to the Governor's Office of Emergency Services for all matters pertaining to such state disaster assistance the assurances and agreements required. Please check the appropriate box below: ❑X Tbis is a universal resolution and is effective for all open and future disasters up to three (3) years following the date of approval below. ❑This is a disaster specific resolution and is effective for only disaster number(s) Passed and approved this 7th day of April 12020 Miguel Pulido, Mayor (Name and Title of Governing Body Representative) (Name and Title of Governing Body Representative) (Name and Title of Governing Body Representative) CERTIFICATION I, Daisy Gomez duly appointed and Clerk of Council of (Name) (Title) City of Santa Ana do hereby certify that the above is a true and correct copy of a (Name of Applicant) Resolution passed and approved by the City Council of the City of Santa Ana (Governing Body) (Name of Applicant) on the 7th day of April , 20 20. Daisy Gomez. Clerk of Council (Signature) (Title) Cal OES 130 (Rev.9,13) 55F-2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 7, 2020 TITLE: APPROVE THE FISCAL YEAR 2020 — 2021 EMERGENCY SOLUTIONS GRANTS PROGRAM FOR A TOTAL AMOUNT OF $500,947 CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2n1 Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO /s/ Kristine Ridge FILE NUMBER CITY MANAGER RECOMMENDED ACTION 1. Approve an allocation of the Emergency Solutions Grants Program for Fiscal Year 2020-2021 in the amount equal to the Grant Year 2020 award of $500,947 from the United States Department of Housing and Urban Development. 2. Direct the City Attorney to finalize and authorize the City Manager to execute a memorandum of understanding with the Santa Ana Police Department and agreements with non-profit homeless service providers awarded funds as part of the approved program for a one-year term beginning July 1, 2020 and expiring June 30, 2021 from the United States Department of Housing and Urban Development, subject to non -substantive changes approved by the City Manager and City Attorney. Organization Amount HEART- Outreach and engagement by SAPD $ 51,880 Interval House - Shelter as a result of domestic violence $ 40,000 Mercy House — Financial assistance for those at -risk of homelessness, rental assistance, case management, and housing search placement. $125,000 • $25,000 for Homeless Prevention and $100,000 for Rapid Re - Housing. Mercy House and New Santa Ana Homeless Shelter Operator • $151,468 for Emergency Shelter at The Link through October $151,468 2020. Any remaining funds will be allocated to the new shelter operator. Second Chance OC — shelter services, case management $ 30,000 WISEPlace - Financial assistance, case management and housing search $ 50,000 and placement 2-1-1 Orange County — Data collection $ 15,028 Total for Non -Profit Organizations $463,376 Administration $ 37,571 TOTAL $500,947 60A-1 Fiscal Year 2020 — 2021 Emergency Solutions Grants Program April 7, 2020 Page 2 DISCUSSION The Emergency Solutions Grants (ESG) Program provides funds to assist sheltered and unsheltered homeless individuals, as well as those at risk of homelessness to quickly regain stability in permanent housing after experiencing a housing crisis and/or homelessness. Recipients of ESG Program funding in Orange County include the following entitlement jurisdictions: County of Orange, City of Anaheim, City of Irvine, City of Santa Ana and City of Garden Grove. Collectively, this group is referred to as the Orange County ESG Collaborative that was formed over five years ago. To ensure that funds are leveraged to create maximum impact, the Orange County ESG Collaborative has created a single Request for Proposals process, developed aligned values and priorities, and makes funding recommendations collaboratively to achieve the Orange County Continuum of Care goal to end homelessness. On November 7, 2019, three member cities of the Orange County ESG Collaborative released a combined ESG Request for Proposals (RFP) to support the Orange County Continuum of Care's goal to end homelessness (the County of Orange and City of Irvine allocated their funding independent of the Collaborative this funding cycle). The Collaborative accepted applications until December 10, 2019, with supplemental applications and requirements for both the City of Santa Ana and Anaheim. The RFP included a provision for up to four one-year renewals that could be exercised by each Collaborative member. Should the OC Collaborative determine to exercise these annual renewals past the end of FY 20-21, an RFP will not be released again. This means that current subrecipients awarded funding in FY 20-21 will be required to submit a new budget and program summary each year, but a new RFP will not be issued again for five years. Any new forms and information will be provided by the Collaborative each year. In addition, the Collaborative reserves the right to redistribute funding and/or issue a new RFP at its discretion. Each annual renewal for the City of Santa Ana will be recommended for approval by City Council. Applications were reviewed by City staff together with housing and community development commissioners from Santa Ana, Garden Grove and Anaheim. Applicants were interviewed by the review panel on February 5, 2020. Following this RFP process, staff are recommending FY 2020- 21 ESG program funding to seven organizations. Exhibit 1 identifies the summary of FY 2020-21 funding recommendations. The funding recommendations are based upon applications received, performance and current needs identified by staff. The allocation is broken down by category to provide more detail on funds allocated to specific eligible ESG activities. A template of the grant agreement that will be executed with each organization after approval by City Council is provided as Exhibit 2. The memorandum of understanding with the Santa Ana Police Department is provided as Exhibit 3. In regards to the $151,468 recommended for Mercy House for Shelter Operations and Essential Services, this specific allocation is to count toward the $6,398,123 already approved for the Link shelter by City Council. On September 18, 2018, City Council authorized the City Manager to execute an agreement with Mercy House to operate an interim emergency homeless shelter with a total budget in an amount not to exceed $6,398,123. The Link will be operational at least through the end of October 2020. A total of $151,468 of the $6,398,123 for the Link will be allocated from the ESG Program for FY 2020-2021. If the total ESG funds of $151,468 allocated 60A-2 Fiscal Year 2020 — 2021 Emergency Solutions Grants Program April 7, 2020 Page 3 to Mercy House to operate the Link interim shelter are not expended before the Link ceases operation, the remaining funds will be reallocated to the nonprofit operator of the new shelter, which has yet to be determined. The grant agreement that will be executed with Mercy House after approval by City Council is provided as Exhibit 4. STRATEGIC PLAN ALIGNMENT Approval of this item allows the City to meet Goal #5 - Community Health, Livability, Engagement & Sustainability, Objective #6, (Focus projects and programs on improving the health and wellness of all residents). FISCAL IMPACT Funds will be budgeted and available in the Emergency Solutions Grants account (no. 13518785- various) upon execution of a grant agreement between the City and HUD and adoption of the FY 2020-21 annual budget. It is anticipated that the ESG allocation will be expended as follows: Grant Year Program Account No. Anticipated Expenditure in FY Amount 2020 ESG 13518785-various 2020-21 $500,947 Exhibits: 1. FY 2020 — 2021 Emergency Solutions Grant Allocation Recommendations 2. Emergency Solutions Grant Agreement Template 3. Memorandum of Understanding with Santa Ana Police Department 4. Mercy House Emergency Solutions Grant Agreement 60A-3 EXHIBIT 1 w a o 0 O 0 0 0 L(5 vi U CV co H W O O O O R O O a C C w rn o 0 v u> w U o 0 '^ a O C o 0 O o U O O N U M R M L m is U 60 w O y y 0 o O 0 O 0 O O O O O O C = O O O C O >T � N O O Lc N Z `y co co W R N O O C VI * W co R O L y U) = GO V) a N O O 0 O = C)O C C R > `w O v O v � u> w 0 0 0 0 p a 00 cc� coo ao ¢ y= <» w o o 0 0 0 0 0 yR. o ao co w 0 O 0 O co N r— r- 7 r ao 7 C C C u7 O u'1 N N u'1 M O N N (H H H H fA V) (A Vi L al to al 01 C O is C O N W W VI W E W> L i o L a1 > w > o 0 a o u '� <n � w r p 0 CZ °1 a1 y CL p Y a+ R N al w y E E O R w E R y U W W = _ 60A-4 EXHIBIT 2 EMERGENCY SOLUTIONS GRANT SUBRECIPIENT AGREEMENT BETWEEN THE CITY OF SANTA ANA AND (24 CFR Parts 91 and 576) THIS GRANT AGREEMENT, is hereby made and entered into this , 2020, by and between the City of Santa Ana, a charter city and municipal corporation of the State of California, herein called the "CITY", and a California nonprofit organization, herein called the "SUBRECIPIENT". RECITALS: 1. The CITY is the recipient of Emergency Solutions Grant ("ESG") funds from the United States Department of Housing and Urban Development ("HUD"), pursuant to subtitle B of title IV of the McKinney-Vento Homeless Assistance Act [42 U.S.C. 11371-11378], for the rehabilitation or conversion of buildings for use as emergency shelter for the homeless, for the payment of certain expenses related to operating emergency shelters, for essential services related to emergency shelters and street outreach for the homeless, and for homelessness prevention and rapid re -housing assistance. Catalogue of Federal Domestic Assistance ("CFDA') 14.231 and Federal Award Identification Number (FAIN) E-20-MC-06-0508. 2. The CITY has approved the provision of federal funds under the ESG to be used in the operation of an emergency solutions program ("program") for the homeless or at -risk of homelessness of the City of Santa Ana as further described by Exhibit A, Scope of Work, attached hereto and by this reference incorporated herein. 3. The SUBRECIPIENT represents that it has the requisite qualifications, expertise, and experience in the provision of emergency solutions programs for the homeless or at -risk of homelessness and is willing to use said federal funds to operate said program. 4. The SUBRECIPIENT agrees to assist individuals and families that are homeless or at risk of homelessness in obtaining appropriate supportive services including, but not limited to: temporary and permanent housing, relocation and stabilization services, rapid re -housing assistance, medical and mental health treatment, counseling supervision, and other services essential for achieving independent living. 5. The SUBRECIPIENT has agreed to be reimbursed for the above services in an amount not to exceed $XX,XXX in grant funding for Shelter, Outreach Services, Rapid Re -Housing or Homeless Prevention. 6. This AGREEMENT is contingent upon the award of Emergency Solutions Grant funds from the United States Department of Housing and Urban Development. 7. The CITY and the SUBRECIPIENT have duly executed this AGREEMENT for the expenditure and utilization of said funds. NOW THEREFORE, it is agreed by and between the parties that the foregoing Recitals are a substantive part of this AGREEMENT and the following terms and conditions are approved and together with all exhibits and attachments hereto, shall constitute the entire AGREEMENT between the CITY and the SUBRECIPIENT: 60A-5 I. SCOPE OF PROGRAM A. General Administration The SUBRECIPIENT agrees to implement this activity as set forth in detail in Exhibit A, Scope of Work, which shall provide a description of each activity, including the services to be performed, the person or entity providing the service, the estimated number of recipients of the service, and the manner and means of the services. B. Levels of Accomplishment —Goals and Performance Measures The SUBRECIPIENT shall be responsible to accomplish the levels of performance as set forth in Exhibit A and report such measures quarterly to the CITY. If the SUBRECIPIENT estimates such goals will not be met, the SUBRECIPIENT is to contact the CITY, at which time the CITY will determine if any adjustments to the grant award is appropriate. C. Staffing The SUBRECIPIENT shall ensure adequate and appropriate staffirg is allocated to each ESG activity. Nothing contained in this AGREEMENT is intended to, or shall be construed in any manner, as creating or establishing the relationship of employer/employee between the parties. H. TERM OF AGREEMENT This AGREEMENT shall take effect on July 1, 2020, and shall terminate on June 30, 2021, unless otherwise cancelled or modified according to the terms of this AGREEMENT. M. DISBURSEMENT AND FUNDS The City was allocated $500,947 in Emergency Solutions Grant funds under the McKinney-Vento Homeless Assistance Act for fiscal year 2020-2021 from the Department of Housing and Urban Development. CITY agrees to pay to SUBRECIPIENT when, if and to the extent federal funds are received under provisions of the Act a sum not to exceed $XX,XXX for SUBRECIPIENT'S performance in accordance with the Budget attached hereto as "Exhibit B" during the period of this Agreement. Said sum shall be paid after CITY receives invoices submitted by SUBRECIPIENT as provided hereinabove. A. Amount and Expenditure End Date The CITY agrees to reimburse the SUBRECIPIENT a maximum amount not to exceed $ XX,XXX from Emergency Solutions Grant (ESG) funds, as outlined in Exhibit B, Final Budget, and such funds shall be expended by the SUBRECIPIENT on or before June 30, 2021. SUBRECIPIENT has the ability to adjust line item amounts in the Budget with the written approval of the CITY's Executive Director of the Community Development Agency, so long as the total Budget amount does not increase. B. Invoicing Procedures The SUBRECIPIENT shall submit quarterly invoices (on or before the 15' day of October, January, April, and July) in a form prescribed by the CITY, detailing such expenses. Such schedule may be modified with the approval of the CITY. • 1 M C. Payment Payment is subject to the receipt and approval of such invoices and quarterly activity reports, as hereinafter more fully set forth below under Reporting, with the final payment subject to the satisfaction of the condition precedent of submittal of complete invoicing and reporting information due on or before July 15 of the applicable funding year. The CITY shall pay such invoices within thirty (30) days after receipt thereof, provided the CITY is satisfied that such expenses have been incurred within the scope of this AGREEMENT and that the SUBRECIPIENT is in compliance with the terms and conditions of this AGREEMENT. The thirty (30) day period will discontinue if the reimbursement request is determined to be incomplete and will restart the thirty -day timeline once the remaining required elements have been submitted. Failure to provide any of the required documentation and reporting will cause the CITY to withhold all or a portion of a request for reimbursement until such documentation and reporting has been received and approved by the CITY. D. Use of Funds The SUBRECIPIENT agrees to use said funds pursuant to this AGREEMENT to pay for necessary and reasonable costs allowable under federal law and regulations to operate said program only. Said amounts shall include and will be limited to, street outreach, emergency shelter, homelessness prevention, rapid re -housing assistance, housing relocation and stabilization services, short-term and medium -term rental assistance, and Homeless Management Information Systems ("IIAiIIS") data contribution as set forth in 24 CFR § 576.101 — § 576.107. Allowable program costs are detailed in the Budget, as set forth in Exhibit B, attached hereto and by this reference incorporated herein. The SUBRECIPIENT'S failure to perform as required may, in addition to other remedies set forth in this AGREEMENT, result in readjustment of the amount of funds the CITY is otherwise obligated to pay to the SUBRECIPIENT pursuant to the terms hereof The SUBRECIPIENT agrees that the homeless shelter/services under said program shall be available for the entire period during which said funds are provided. E. Condition of Funding (1) The CITY advises the SUBRECIPIENT that a significant change in entitlement funding may result in a change in the current process utilized by the CITY to determine funding allocations. The SUBRECIPIENT acknowledges that the obligation of the CITY is contingent upon the availability of Federal, State or Local government funds, which are appropriated or allocated for the payment of such an obligation. If funding levels are significantly affected by Federal budgeting or if funds are not allocated and available for the continuance of the function performed by the SUBRECIPIENT, this AGREEMENT may be terminated by the CITY at the end of the period for which funds are available. At the earliest opportunity, the CITY shall notify the SUBRECIPIENT of any service which may be affected by a shortage of funds. No penalty shall accrue to the CITY in the event this provision is exercised and the CITY shall not be liable for any damages as a result of termination under this provision of this AGREEMENT. Nothing herein shall be construed as obligating the CITY to expend funds in excess of appropriations authorized by law. (2) The SUBRECIPIENT shall allow representatives of the CITY or HUD to inspect facilities which are used in connection with the AGREEMENT or which implement programs funded under this AGREEMENT. F. Matching The SUBRECIPIENT is required to make matching contributions to supplement the ESG program in an amount that equals or exceeds the amount of ESG funds provided by HUD through the CITY. Such contributions shall be entirely consistent with the Matching Requirements as outlined by 24 CFR § 576.201. The anticipated source and 60A-7 amount of all matching funds contributed by the SUBRECIPIENT will be enumerated in Exhibit B, Final Budget. G. Program Income (1) Definition. Program income means, as provided by 2 CFR 200.80, gross income received by the SUBRECIPIENT directly generated by a grant supported activity, or earned only as a result of the grant agreement during the grant period. For purposes of ESG, program income will also include any amount of a security or utility deposit returned to the SUBRECIPIENT. (2) Use. The SUBRECIPIENT shall use all income received from said funds only for the same purposes for which said funds may be expended pursuant to the terms and conditions of this AGREEMENT. (3) Counts toward Matching. Costs paid by program income may count toward meeting the matching requirements, provided the costs are eligible ESG costs that supplement the program. H. Separation of Accounts All fands received by the SUBRECIPIENT from the CITY pursuant to this AGREEMENT shall be maintained separate and apart from any other funds of the SUBRECIPIENT, or of any principal or member of the SUBRECIPIENT, in an account (the "Account) at a federally insured banking or savings and loan institution with record keeping of such Accounts maintained pursuant to applicable legal requirements. The SUBRECIPIENT shall keep all records of the Account in a manner that is consistent with generally accepted accounting principles. No monies shall be withdrawn from the Account except for expenditures relating to essential services, homeless prevention, and/or operations costs, as authorized hereunder. All disbursements from the Account shall be for obligations incurred in the performance of this AGREEMENT and shall be supported by contracts, invoices, vouchers, and other data, as appropriate, evidencing the necessity of such expenditure. The CITY may withhold payment allocation requests if the SUBRECIPIENT fails to comply with the above requirements until such compliance is demonstrated. 1. EMenditure of Funds Much like how HUD requires the CITY, pursuant to 24 CFR 576.203, to expend all of the grant funds for eligible activity costs within 24 months after the date that HUD signs the grant agreement with the CITY, it is a requirement for the SUBRECIPIENT to expend all of the grant funds for eligible activity costs within the aforementioned period. For the purposes of this paragraph, expenditure means either an actual cash disbursement for a direct charge for a good/service or an indirect cost, or the accrual of a direct charge for a good/service or an indirect cost. Failure to expend said funds within said timeframe can result in a reallocation of funds. I Prohibited Use (1) Generally. The SUBRECIPIENT hereby certifies and agrees that it will not use funds provided through this AGREEMENT to pay for meals for persons other than those identified as homeless or at risk of homelessness. Said funds shall not be used for entertainment purposes or for gifts. The SUBRECIPIENT certifies that it will not use said funds for illegal or dishonest conduct, rather, fund use will remain in compliance with all applicable federal, state, and local laws, including applicable laws not outlined in this AGREEMENT. (2) Lobbying. The SUBRECIPIENT certifies and agrees that it will comply with federal law (31 U.S.C. 1352) and regulations found at 24 CFR Part 87, which provide that no appropriated funds may be expended by the recipient of a federal contract, grant, loan, or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, Member of Congress, or an officer or employee of a Member of • 1 M • Congress in connection with awarding of any federal contract, the making of any federal grant or loan, entering into any cooperative agreement and the extension, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement. The SUBRECIPIENT shall sign a certification to that effect in a form as set forth in Exhibit C, attached hereto and by this reference incorporated herein. The SUBRECIPIENT shall submit said signed certification to the CITY prior to performing any of its obligations under this AGREEMENT and prior to any obligation arising on the part of the CITY to pay any sums to the SUBRECIPIENT under the terms and conditions of this AGREEMENT. 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 a "Disclosure Form to Report Lobbying," in accordance with its instructions (see Exhibit D). IV. NOTICES The SUBRECIPIENT and the CITY agree that all notices required by this AGREEMENT shall be made in writing and delivered via mail (postage prepaid); commercial courier; personal delivery; or sent by facsimile or other electronic means (provided that receipt is confirmed). Any notice delivered or sent as aforesaid shall be effective on the date of delivery or sending. All notices and other written communications under this AGREEMENT shall be addressed to the individuals in the capacities indicated below, unless modified by subsequent written notice. Communication and details concerning the AGREEMENT shall be delivered to the office of, and directed to, the following representatives: CITY Mikelle Daily Community Development Analyst City of Santa Ana Community Development Agency (M-25) 20 Civic Center Plaza P.O. Box 1988 Santa Ana, CA 92702-1988 (714)667-2256 (714) 647-6549 FAX mdaily@santa-ana.org V. GENERAL CONDITIONS A. Coordination with Continuum of Care The SUBRECIPIENT must work with the Continuum of Care ("CoC') to ensure the screening, assessment, and referral of program participants are consistent with the CITY's written standards for providing ESG assistance as described in its consolidated plan. The SUBRECIPIENT must keep documentation evidencing the use of, and written intake procedures for, the centralized or coordinated assessment system(s) developed by the CoC in accordance with the requirements established by HUD. See 24 CFR 576.400. 60A-9 B. Evaluation of Program Participants Eligibility and Needs The SUBRECIPIENT must conduct evaluations and re-evaluations to determine the eligibility of each individual or family's eligibility for ESG assistance in accordance with 24 CFR 576.401. C. Terminating Assistance If a program participant violates program requirements, the SUBRECIPIENT may terminate the assistance in accordance with a formal process established by the SUBRECIPIENT that recognizes the rights of individuals affected. See 24 CFR 576.402 D. Shelter and Housing Standards The SUBRECIPIENT certifies that shelters and housing supported by ESG funds and used by ESG beneficiaries will conform to 24 CFR 576.403. E. Homeless Involvement The SUBRECIPIENT certifies that it will involve, to the maximum extent practicable, homeless individuals and families in constructing, renovating, maintaining, and operating facilities assisted under the ESG program, and in providing services for occupants of these facilities. See 24 CFR 576.405(c) and 42 USC 11375(d). F. Independent Contractor Nothing contained in this AGREEMENT is intended to, or shall be construed in any manner, as creating or establishing the relationship of employer/employee between the parties. The SUBRECIPIENT and its subcontractors shall at all times remain independent contractors with respect to the services to be performed under this AGREEMENT. The CITY shall be exempt from payment of any Unemployment Compensation, FICA, retirement, life and/or medical insurance and Workers' Compensation Insurance as the SUBRECIPIENT is an independent contractor. G. Subcontracts (1) Content Requirements. The SUBRECIPIENT will include all relevant provisions of this AGREEMENT in all subcontracts entered into as part of the activities undertaken in furtherance of this AGREEMENT and will take appropriate action pursuant to any subcontract upon a fmding that the subcontractor is in violation of regulations issued by any federal agency. The SUBRECIPIENT will not subcontract with any entity where it has notice or knowledge that the latter has been found in violation of regulations under 24 CFR Part 135 (Economic Opportunities for Low- and Very Low -Income Persons) and will not allow any subcontract unless the entity has first provided it with a preliminary statement of ability to comply with the requirements of these regulations. (2) Submission to the CITY. The SUBRECIPIENT must submit all subcontracts and other agreements that relate to this AGREEMENT to the CITY. 60A-10 H. Licensing The SUBRECIPIENT agrees to obtain and maintain all required licenses, registrations, accreditation, and inspections from all agencies governing its operations. The SUBRECIPIENT shall ensure that its staff and subcontractors shall also obtain and maintain all required licenses, registrations, accreditation and inspections from all agencies governing the SUBRECIPIENT's operations hereunder. Such licensing requirements include obtaining a City business license, as applicable. L Responsibilities Toward Employees The SUBRECIPIENT accepts full responsibility for payment of any and all unemployment compensation, insurance premiums, workers' compensation premiums, income tax withholdings, social security withholdings, and any and all other taxes or payroll withholdings required for all employees engaged in the performance of the work and activities authorized by the AGREEMENT. The SUBRECIPIENT accepts full responsibility for providing workers with proper safety equipment and taking any and all necessary precautions to guarantee the safety of workers or persons otherwise affected. J. Insurance and Bonding (1)Generally. The SUBRECIPIENT shall maintain liability and property insurance to cover actionable legal claims for liability or loss which are the result of injury to or death of any person, or damage to property (including property of Grantee) caused by the negligent acts or omissions, or negligent conduct of the SUBRECIPIENT, its employees, agents or subcontractors, to the extent permitted by law, in connection with the activities pursuant to this AGREEMENT. The SUBRECIPIENT shall comply with the bonding and insurance requirements of 2 CFR 200.427, and 2 CFR 200.447. The SUBRECIPIENT shall undertake self-insurance, or shall obtain, at its sole cost, a policy or policies of commercial general liability insurance, or equivalent form. Such insurance shall: (1) name the City of Santa Ana, its officers, agents, employees and volunteers as additional insureds; (2) be primary with respect to insurance or self-insurance programs maintained by the CITY; (3) contain standard separation of insureds provisions; and (4) give to the CITY prompt and timely notice of claim made or suit instituted arising out of the SUBRECIPIENTs operations hereunder. (2) Limits. The SUBRECIPIENT shall maintain, at all times, the following minimum levels of Insurance, and shall, without in any way altering its liability, obtain, pay for, and maintain insurance for the coverages and amounts of coverage not less than those set forth below: a. Workers' Compensation. Amount must comply with State and Federal Laws b. Comprehensive General Liability. $1,000,000 combined single limit of liability for bodily injuries, death, and property damage resulting from any one occurrence, including the following coverages: Premises and Operations; and 60A-11 ii. Broad Form Commercial General Liability Endorsement to include blanket contractual liability (specifically covering, but not limited to, the contractual obligations assumed by the SUBRECIPIENT); Personal hijury (with employment and contractual exclusions deleted); and Broad Form Property Damage coverage. C. The SUBRECIPIENT's self -insured retention or deductible per line of coverage shall not exceed $25,000 without the permission of the CITY. (3) Proof of Insurance. The SUBRECIPIENT shall furnish the CITY's Clerk of the Council with an insurance certificate from insurance carrier certifying that it carries such insurance and that the policy shall not be canceled nor the coverage reduced except upon thirty (30) days prior notice to the CITY. The SUBRECIPIENT shall, prior to exercising any right under this AGREEMENT: a. furnish properly executed certificates of insurance and additional insured endorsement to the CITY which shall clearly evidence all coverage required above; b. provide that such insurance shall not be materially changed or terminated except on thirty (30) days prior written notice to the CITY; c. maintain such insurance for the period covered by this AGREEMENT; and d. replace such certificates for policies expiring prior to the expiration of this AGREEMENT. (4) Company Rating. All insurance coverage shall be written with a company having an A.M. Best Rating of "A" or better and financial size of VIII or larger. (5) Failure to Comply. In the event of any failure by the SUBRECIPIENT to comply with these provisions, the CITY may, after notice to the SUBRECIPIENT, suspend the program for cause until there is full compliance. K. Zoning. The SUBRECIPIENT agrees that any facility/property used in furtherance of said program shall be specifically zoned and permitted for such use(s) and activity(ies). Should the SUBRECIPIENT fail to have the required land entitlement and/or permits, thus violating any local, state, or federal rules and regulations relating thereto, the SUBRECIPIENT shall immediately make good -faith efforts to gain compliance with local, state, or federal rules and regulations following written notification of said violation(s) from the CITY or other authorized citing agency. The SUBRECIPIENT shall notify the CITY immediately of any pending violations. Failure to notify the CITY of pending violations, or to remedy such known violation(s), shall result in termination of grant funding hereunder. The SUBRECIPIENT must make all corrections required to bring the facility/property into compliance with the law within sixty (60) days of notification of the violation(s); failure to gain compliance within such time shall result in termination of grant funding hereunder. L. Displacement and Relocation. The SUBRECIPIENT must assure that it has taken all reasonable steps to minimize displacement of persons. Relocation must be consistent with requirements as set forth in 24 CFR § 576.408. 60A-12 M. Provisions Required by Law Deemed Inserted. Each and every provision of law and clause required by law to be inserted in this contract shall be deemed to be inserted herein and the AGREEMENT shall be read and enforced as though it were included herein, and if through mistake or otherwise any such provision is not inserted or correctly inserted, then upon the application of either party the contract shall forthwith be physically amended to make such insertion or correction. VI. ASSURANCES AND CERTIFICATIONS A. Non -Profit Status The SUBRECIPIENT certifies that (1) The SUBRECIPIENT is a duly organized and existing non-profit corporation in good standing and authorized to do business under the laws of the State of California and in possession of required non-profit status under the United States Internal Revenue Code [for example, 26 USC § 501(c)(3)]. The SUBRECIPIENT has full right, power, and lawful authority to accept the funding hereunder and to undertake all obligations as provided herein and the execution, performance, and delivery of this AGREEMENT by the SUBRECIPIENT has been fully authorized by all requisite actions on the part of the SUBRECIPIENT. (2) If the SUBRECIPIENT's non-profit status changes at anytime during this AGREEMENT, it will advise the CITY within 15 days. (3) If the SUBRECIPIENT is a private non-profit, it hereby agrees that the members of its Board of Directors will receive no compensation, directly or indirectly, other than reimbursement for expenses, from any funds generated from or because of the ESG program, for their services. (4) As a non-profit, the SUBRECIPIENT acknowledges that administration of its operation and services are subject to the requirements as established in 2 CFR 200. B. Adherence to Federal, State, and Local Laws and Regulations (1) General. The SUBRECIPIENT agrees to comply with all requirements of the ESG program and applicable cross -cutting Federal, State, and Local requirements. (2) Economic Opportunities for Low- and Very Low-income Persons. The SUBRECIPIENT shall ensure that employment and other economic opportunities generated by the Program shall, to the greatest extent feasible, be directed to low- and very low-income persons, particularly those who are recipients of government assistance for housing. Section 3 of the Housing and Urban Development Act of 1968, 12 U.S.C. 1701u, and regulations at 24 CFR part 135 apply, except that homeless individuals have priority over other Section 3 residents in accordance with § 576.405(c). (3) Civil Rights. The SUBRECIPIENT agrees to comply with Title VI of the Civil Rights Act of 1964, as amended, Title VIII of the Civil Rights Act of 1968, as amended, Section 109 of the Title I of the Housing and Community Development Act of 1974, Section 504 of the Rehabilitation Act of 1973, the Americans with Disabilities Act of 1990, the Age Discrimination Act of 1975, and 41 CFR Chapter 60. (4) Nondiscrimination and Equal Employment Opportunity. During the performance under this AGREEMENT, the SUBRECIPIENT shall not discriminate against any employee or applicant for employment 60A-13 based on race, color, creed, religion, sex, age, handicap, disability, ancestry, national origin, marital status, familial status, sexual orientation, or any other basis prohibited by applicable law. The SUBRECIPIENT shall take affirmative action to ensure that all applicants and employees are treated without regard to race, color, creed, religion, sex, age, handicap, disability, ancestry, national origin, marital status, familial status, and sexual orientation. The SUBRECIPIENT shall comply with all provisions of Executive Order 11246, Equal Employment Opportunity, as amended by Executive Orders 11375 and 12086. (5) Nondiscrimination and Equal Opportunity in Participation. The requirements in 24 CFR part 5, subpart A are applicable, including the nondiscrimination and equal opportunity requirements at 24 CFR 5.105(a). The SUBRECIPIENT shall not discriminate against any participant on the ground of race, color, creed, religion, sex, age, handicap, disability, ancestry, national origin, marital status, familiar status, sexual orientation, or any other basis prohibited by applicable law. The SUBRECIPIENT shall, through affirmative outreach, make known that use of the facilities, assistance, and services are available to all on a nondiscriminatory basis. The SUBRECIPIENT must take appropriate steps to ensure effective communication with persons with disabilities. (6) Americans with Disabilities Act. The SUBRECIPIENT agrees to comply with any federal regulations issued pursuant to compliance with the Americans with Disabilities Act which prohibits discrimination and ensures equal opportunity for persons with disabilities in employment, State and Local government services, and public accommodations. (7) Fair Housing. Under section 808(e)(5) of the Fair Housing Act, HUD has a statutory duty to affirmatively further fair housing. HUD requires the same of its funded sub -recipients. The SUBRECIPIENT has a duty to affirmatively further fair housing opportunities for classes protected under the Fair Housing Act. C. Falsification of Information The SUBRECIPIENT represents and warrants that it has made no false statements to the CITY in the process of obtaining this award of the ESG Funds. D. Drug Free Workplace The SUBRECIPIENT represents and warrants that it has established the following drug -free workplace policy: (1) The unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the workplace for any employee involved in a federally funded program. (2) As an employee working in conjunction with a federally funded program, the employees of the SUBRECIPIENT will be required to: a. Abide by the terns above in statement (1), and b. Notify the appropriate SUBRECIPIENT authorities and CITY officials of any criminal drug statute conviction for a violation occurring in the workplace. Such notification shall be made no later than five (5) days after conviction. (3) The CITY and the United States Department of Housing and Urban Development will be notified within 60A-14 ten days after receiving notice of any such violation. (4) Within thirty (30) days of receiving such notice, appropriate personnel action will be taken against such employee, up to and including termination. (5) Each such employee shall be required to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State or Local health, law enforcement, or other appropriate agency. E. Religious Organization The SUBRECIPIENT may not engage in inherently religious activities, such as worship, religious instruction, or proselytization as part of said program or services. If the SUBRECIPIENT conducts such activities, the activities must be offered separately, in time or location, from said programs or services, and participation must be voluntary for the program participants. The SUBRECIPIENT shall not, in providing program assistance, discriminate against a program participant or prospective program participant on the basis of religion or religious belief. If the SUBRECIPIENT is a religious organization, it retains its independence from Federal, State, and Local governments, and may continue to carry out its mission, including the definition, practice, and expression of its religious beliefs, provided that the religious organization does not use direct ESG funds to support any inherently religious activities. The SUBRECIPIENT agrees that rehabilitation of structures by the religious organization in connection with said program must be in sound accord with the provisions under 24 CFR § 576.406. F. Additional Terms between the CITY and HUD The SUBRECIPIENT agrees further that it shall be bound by the standard terms and conditions used in the Grant Agreement between HUD and the CITY and such other rules, regulations, or requirements as HUD may reasonably impose in addition to the aforementioned assurances at or subsequent to the execution of this AGREEMENT by the parties hereto. Where employees are engaged in activities not covered under the Occupational Safety and Health Act of 1970, they shall not be required or permitted to work, be trained, or receive services in buildings or surroundings or under working conditions which are unsanitary, hazardous, or dangerous to the participants' health or safety. H. Hatch Act The SUBRECIPIENT agrees that no funds provided, nor personnel employed under this AGREEMENT, shall be in any way or to any extent engaged in the conduct of political activities in violation of the Hatch Act, 5 U.S.C. Section 1501 et seq. 60A-15 1. Davis -Bacon Act All laborers and mechanics employed by contractors or subcontractors in the performance of construction work, including alterations and repairs, in excess of $2,000.00, financed in whole or in part with federal funds shall be paid wages at rates not less than those prevailing on similar construction in the locality as determined in accordance with the Davis -Bacon Act, as amended, 40 U.S.C. sections 276a - 276a-5. Any such construction contract shall include and comply with the required contract provisions and rules set forth in 29 C.F.R. §5.5. Further, the payroll reports (along with the "Statement of Compliance") and basic records are required to be maintained and submitted, or made available, pursuant to 29 C.F.R §5.5(a)(3). No payment, advance, grant, loan or guarantee of funds shall be approved by the federal agency unless there is on file with the agency a certification by the contractor that the contractor and its subcontractors have complied with the provisions of 29 C.F.R §5.5. A breach of the contract clauses in 29 C.F.R §5.5 may be grounds for termination of the contract, and for debarment as a contractor/subcontractor, as provided in 29 C.F.R §5.12. Labor standards interviews/investigations shall be made as necessary to assure compliance. See 29 C.F.R §5.6(a)(3). VH. A. Generally The following requirements and standards must be complied with: 2 CFR Part 200, et al. SUBRECIPIENT shall procure all materials, property, or services in accordance with the requirements of 2 CFR 200.318-326. B. Procurement (1) Compliance. The SUBRECIPIENT shall comply with current HUD and CITY policies concerning the procurement of equipment, goods, and services, and shall maintain inventory records of all non -expendable personal property as defined by such policy as may be procured with funds provided herein. The SUBRECIPIENT shall report to the CITY all program assets (unexpended program income, property, equipment, etc.), and upon the CITY'S request, such assets shall revert to the CITY upon termination of this AGREEMENT. (2) Pursuant to 2 CFR 200.331 (a) (4), the Indirect Cost Rate for the SUBRECIPIENT's award shall be an approved federally recognized cost rate negotiated between the SUBRECIPIENT and the Federal government, or, if no cost rate exists, the de minims indirect cost rate as defined in 2 CFR 200.414(b) Indirect (F & A) costs shall be used. For this agreement, the de minims indirect cost of 10% will apply. (3) Use and Reversion of Assets. The use and disposition of equipment under this AGREEMENT shall be in compliance with the requirements of 2 CFR Part 200. C. Reporting Reporting requirements must conform to the policies and procedures as established by the CITY and 24 CFR § 576.500. The SUBRECIPIENT shall submit to the CITY, on or before the 15' day of October, January, April, and July, as part of the Quarterly Report: (1) Payment Request. An original request for reimbursement and true copies of invoices, receipts, agreements, or other documentation supporting and evidencing how the ESG Funds have been expended during the applicable quarter. �• •. (2) Quarterly Activities and written cumulative (year-to-date) reports of activities, program accomplishments, new program information, and up-to-date program statistics on expenditures, caseload and activities. Failure to provide any of the required documentation and reporting will cause the CITY to withhold all or a portion of a request for reimbursement until such documentation and reporting has been received and approved by the CITY. (3) Matching. Quarterly certification of match, plus documentation of match source. (4) Any other such reports as the CITY (or HUD) shall reasonably require and/or request, including but not limited to the following information: monthly records of all ethnic and racial statistics of persons and families benefited by the SUBRECIPIENT in the performance of its obligations under this AGREEMENT. D. Record Keeping Sufficient records must be established and maintained to enable the CITY and HUD to determine whether the ESG requirements are being met. Record keeping requirements must conform to the policies and procedures as established by the CITY. All accounting records, reports, all evidence pertaining to costs, expenses, and ESG Funds of the SUBRECIPIENT, and all documents related to this AGREEMENT shall be maintained and kept available at the SUBRECIPIENT'S office or place of business for the duration of the AGREEMENT and thereafter for five (5) years post -completion of an audit in conformity with the ESG requirements, except as hereinafter provided relating to retention of any records or documentation existing, created, or maintained in compliance with Lead -based Paint regulations, which likely require longer retention as outlined below. Records which relate to (a) complaints, claims, administrative proceedings or litigation arising out of the performance of this AGREEMENT, or (b) costs and expenses of this AGREEMENT to which the CITY or any other governmental agency takes exception, shall be retained beyond the five (5) years until complete resolution or disposition of such appeals, litigation claims, or exceptions. All said records must be retained for the greater of the aforementioned duration or the periods specified in 24 CFR 576.500(y). All records relating to, or created or maintained in compliance with, the Lead -Based Paint regulations shall be retained and maintained by the SUBRECIPIENT indefmitely, including without limitation, all inspection report(s), disclosure statement(s), and clearance report(s). Copies made by microfilming, photocopying, or similar methods may be substituted for the original records. The CITY, HUD and auditors shall have the right to access all the SUBRECIPIENT records for as long as the records are retained by the SUBRECIPIENT. In the event the SUBRECIPIENT does not make the above -referenced documents available within the City of Santa Ana, California, the SUBRECIPIENT agrees to pay all necessary and reasonable expenses incurred by the CITY in conducting any audit at the location where said records and books of account are maintained. The SUBRECIPIENT agrees to meet the requirements set forth in 24 CFR § 576.500. E. Homeless Manaeement Information Systems MMISI (1) Generally. The SUBRECIPIENT must ensure that data on all persons served and all activities assisted under ESG are entered into the applicable community -wide HMIS in the area in which those persons and activities are located, or with the express knowledge and written consent of the CITY, a comparable database, in accordance with HUD's standards on participation, data collection, and reporting under a local HMIS. (2) HMIS Agency Agreement. The SUBRECIPIENT shall have an agreement in place with the HMIS lead agency to participate in the regionally HMIS system. A copy of the SUBRECIPIENTS agreement with the HMIS lead agency shall be attached to this agreement as Exhibit F. In the case of Domestic Violence service providers 60A-17 or other agencies prohibited from entering data into HMIS, documentation from the HMIS lead agency certifying that the SUBRECIPIENT is using a comparable database shall be attached to this agreement as Exhibit E. (3) HMIS Interagency Data Sharing Agreement. The SUBRECIPIENT shall enter into an Interagency Data Sharing Agreement with the HMIS Lead Agency where the SUBRECIPIENT agrees to share HMIS data with other ESG funded agencies regarding clients that are served in ESG funded programs, unless prohibited by law. A copy of such agreement shall be attached as Exhibit F-1. (A.) The SUBRECIPIENT agrees to provide 2110C with all required data needed to complete data analysis regarding project performance, data timeliness, or data quality. F. Audit Report Requirements The SUBRECIPIENT agrees that if the SUBRECIPIENT expends Seven Hundred Fifty Thousand Dollars ($750,000.00) or more in federal funds, the SUBRECIPIENT shall have an annual audit conducted by a certified public accountant in accordance with the standards as set forth and published by the United States Office of Management and Budget (2 CFR 200.501a). The SUBRECIPIENT shall provide the CITY with a copy of said audit by April 1 of the year following the program year in which this AGREEMENT is executed. Further, the SUBRECIPIENT shall comply and/or cause compliance with audit report(s) required by applicable provisions of the Lead -Based Paint Regulations as further detailed below. VM. EVALUATION AND MONITORING A. Generally The CITY will monitor the performance of the SUBRECIPIENT against goals and performance standards as required herein. The SUBRECIPIENT shall provide the CITY all necessary reporting information as required by the CITY in the administration and review of the Program. Substandard performance as determined by the CITY will constitute noncompliance with this AGREEMENT. If action to correct such substandard performance is not taken by the SUBRECIPIENT within a reasonable period of time after being notified by the CITY, contract suspension or termination procedures will be initiated. B. Access to Records The SUBRECIPIENT gives the CITY and HUD, including their authorized representative, access to and the right to examine all records, books, papers, items, emails, and documents, both physical and electronic, relating to the program. C. Audit The CITY shall have the right to audit and monitor any program income as a result of an ESG activity. Upon request by the CITY and for audit purposes, the SUBRECIPIENT further agrees to provide all files, records, and documents pertaining to related activities and clientele demographic data. IX. LIABILITY A. Generally Z� • 0 Each party to this AGREEMENT acknowledges that it will be liable for its own negligent acts or negligent omissions by or through itself, its employees, agents, and subcontractors. Each party further agrees to defend itself and themselves, and to pay any judgments and costs arising out of such negligent acts or omissions, and nothing in this AGREEMENT shall impute or transfer any such liability from one to the other. In other words, the SUBRECIPIENT agrees to be fully responsible for its negligent acts or omissions, or any intentional tortuous acts which result in claims or suits against the CITY, and agrees to be liable for any damages proximately caused by said acts or omissions. Nothing herein shall be construed as consent by a State or CITY agency or subdivision to be sued by third parties in any matter arising out of any contract, and nothing herein is intended to serve as a waiver of sovereign immunity where sovereign immunity applies. B. CITY not Liable for Funds The SUBRECIPIENT further acknowledges that the source of the ESG Funds is a federal pass -through grant to the SUBRECIPIENT. The CITY shall have no obligation to advance or pay the SUBRECIPIENT with any funds other than the ESG Funds the CITY receives from HUD. C. Hold Harmless The SUBRECIPIENT shall defend, indemnify and save harmless the CITY, its officers, agents, employees, representatives, volunteers, and student externs from and against any and all damages to property or injuries to or death of any person or persons, including property and employees or agents of the CITY, and shall defend, indemnify and save harmless the CITY, its officers, agents, employees, representatives, volunteers, and student externs from and against any and all claims, demands, suits, actions or proceedings of any kind or nature, including, but not by way of limitation, workers compensation claims and attorney fees/expenses for litigation or settlement, resulting from or arising out of the negligent or wrongful acts, errors or omissions of the SUBRECIPIENT, its officers, directors, employees, agents, subcontractors, and suppliers arising out of the SUBRECIPIENT's performance of this AGREEMENT. A. Generally ESG activities are subject to environmental review by HUD under the environmental regulations in 24 CFR 50. The SUBRECIPIENT, or any contractor of the SUBRECIPIENT, may not acquire, rehabilitate, convert, lease, repair, dispose of, demolish, or construct property for a project under this part, or commit or expend HUD or local funds for eligible activities under this part, until HUD has performed an environmental review under 24 CFR part 50 and the recipient has received HUD approval of the property. The SUBRECIPIENT agrees to comply with all applicable environmental requirements insofar as they apply to the performance of this AGREEMENT, including but not limited to the Clean Air Act, the Federal Water Pollution Control Act and the Flood Disaster Protection Act. If applicable, the SUBRECIPIENT also shall comply with the Historic Preservation requirements of National Historic Preservation Act of 1966. B. Lead -based paint remediation and disclosure The Lead -Based Paint Poisoning Prevention Act (42 U.S.C. 4821-4846), the Residential Lead -Based Paint Hazard Reduction Act of 1992 (42 U.S.C. 4851-4856), and implementing regulations in 24 CFR part 35, subparts A, B, H, J, K, M, and R apply to all shelters assisted under ESG program and all housing occupied by program participants that were built before 1978. 60A-19 C. Assignment of Responsibilities By this AGREEMENT, the SUBRECIPIENT will accept assignment from the CITY of all responsibilities set forth in Subpart K of 24 CFR 35. D. Compliance with Subpart K The purpose of Subpart K is to establish procedures to eliminate as far as practicable lead -based paint ("LBP') hazards in a residential property that receives Federal assistance under certain HUD programs for acquisition, leasing, support services, or operation. In connection with the grant funds under this AGREEMENT, the CITY requires that the SUBRECIPIENT comply and show evidence of compliance with all applicable subparts of 24 CFR 35, and especially, Subpart K ("LBP Regs'). The SUBRECIPIENT shall conduct the following activities for the dwelling unit, common areas servicing the dwelling unit, and the exterior surfaces of the building in which the dwelling unit is located: (1) A visual assessment of all painted surfaces in order to identify deteriorated paint; (2) Paint stabilization of each deteriorated paint surface, and clearance, in accordance with §§ 35.1330(a) and (b), before occupancy of a vacant dwelling unit or, where a unit is occupied, immediately after receipt of Federal assistance; and (3) Ongoing lead -based paint maintenance activities into regular building operations, in accordance with § 35.1355(a), if the dwelling unit has a continuing, active financial relationship with a Federal housing assistance program, except that mortgage insurance or loan guarantees are not considered to constitute an active programmatic relationship for the purposes of this part. (4) And notice to occupants in accordance with §§ 35.125(b)(1) and (c), describing the results of the clearance examination. E. Notification of LBP Hazard The SUBRECIPIENT shall provide to all occupants of housing: (1) In accordance with Section 35.130 of the LBP Regs - the LBP hazard information pamphlet. The pamphlet shall be the EPA/HUD/Consumer Product Safety Commission lead hazard information pamphlet or an EPA -approved equivalent. The current form and version of the pamphlet can be found at: http://www. h ud.gov/offices/lead/I i brary/enforcement/fs-d iscl. pdf (2) In accordance with 24 CFR 35, Subpart A, all available information and knowledge regarding the presence of LBP and LBP hazards prior to leasing a housing unit. 60A-20 (3) In accordance with 24 CFR 35, Subpart A, notification in writing of the results of the presumption of LBP and/or LBP hazards, results of any lead hazard evaluation, and any lead hazard reduction work. F. LBP Information Summary For purposes of information only and in no respect intended to be a representation or warranty of the provisions of the LBP Regulations, the CITY has caused to be prepared an information summary relating to the LBP Regulations and Application to dwelling units that may be occupied by recipients of services and/or funding from the SUBRECIPIENT under this AGREEMENT. CITY staff will cooperate with and be available to the SUBRECIPIENT to assist in implementation of compliance with the LBP Regs as to residential dwelling units to be assisted by the SUBRECIPIENT. The parties acknowledge and agree the CITY shall not be liable or responsible for the accuracy of such summary, and the SUBRECIPENT is directed to the LBP Regulations and implementing guidance published and provided by HUD relating to compliance with such LBP Regulations. G. Exemptions Section 35.115(a) provides exemptions from Subparts B through R For example, lead -based paint requirements do not apply to housing assistance if the assistance lasts less than one hundred (100) days. XI. CONFLICTS OF INTEREST The SUBRECIPIENT shall comply with 2 CFR 200.112 with respect to the use of program funds to procure services, equipment, supplies, or other property. With respect to all other decisions involving the use of program funds, the following restriction shall apply: No person who is an employee, agent, consultant, officer, or elected or appointed official of the SUBRECIPIENT and who exercises or has exercised any functions or responsibilities with respect to assisted activities, or who is in a position to participate in a decision making process or gain inside information with regard to such activities, may obtain a personal or financial interest or benefit from the activity, or have an interest in any contract, subcontract, or agreement with respect thereto, or the proceeds there under, either for himself or herself, or for those with who he or she has family or business ties, during his or her tenure or for one (1) year thereafter. The SUBRECIPIENT agrees to abide by the ESG Program's Conflict of Interest provisions as expressly detailed in 24 CFR § 576.404 regarding Organizational Conflicts of Interest and Personal Conflicts of Interest. All contractors of the SUBRECIPIENT must comply with the same requirements that apply to the SUBRECIPIENT under this section. Xt1. ASSIGNABILITY None of the duties of, or work to be performed by, the SUBRECIPIENT under this AGREEMENT shall be subcontracted or assigned to any agency, consultant, or person without the prior written consent of the CITY. The SUBRECIPIENT must submit all subcontracts and other agreements that relate to this AGREEMENT to the CITY. No subcontract or assignment shall terminate or alter the legal obligations of the SUBRECIPIENT pursuant to this AGREEMENT. XIII. EXCLUSIVITY OF AGREEMENT This AGREEMENT supersedes any and all other agreements, either oral or in writing, between the parties hereto 60A-21 with respect to the use of the CITY's ESG Funds by the SUBRECIPIENT and contains all the covenants and agreements between the parties with respect to such ESG Funds in any manner whatsoever. 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, and that no other agreement or amendment hereto shall be effective unless executed in writing and signed by both the CITY and the SUBRECIPIENT. XIV. AMENDMENTS OR MODIFICATIONS The SUBRECIPIENT shall not obligate, encumber, spend, or otherwise utilize program funds for any activity or purpose not included or not in conformance with the budget as apportioned and as submitted to the CITY unless: (1) The SUBRECIPIENT has received explicit written approval from the CITY to undertake such actions, or (2) Budget changes may be made among approved program activities and among approved budget categories so long as the specific project activity has been approved, there is no change to the total grant amount, and the changes to the budget are documented. Any program modification request by the SUBRECIPIENT must be requested at least forty-five (45) days prior to the end of the term of this AGREEMENT. No modification to this AGREEMENT shall be binding by either party unless in writing and signed by both parties. In the event that the CITY approves any amendment to the funding allocation, the SUBRECIPIENT shall be notified in writing and such notification shall constitute an official amendment. The CITY may, at its discretion and upon provision of proper notice to the SUBRECIPIENT, amend this AGREEMENT to conform with changes in Federal, State, and/or the CITY laws, regulations, guidelines, directives, and objectives. Such amendments shall be incorporated by written amendment as a part of this AGREEMENT. XV. VIOLATION OF TERMS AND CONDITIONS A. Termination If, due to any cause, the SUBRECIPIENT fails to comply with the terms, conditions or requirements of this AGREEMENT, or any prior AGREEMENT whereby ESG funds were received by the SUBRECIPIENT, whether stated in a Federal statute or regulation, an assurance, a State plan or application, a notice of award, or elsewhere, the CITY may terminate or suspend this AGREEMENT in accordance with 2 CFR 200.339 and in accordance with 2 CFR 200.340 by giving written notice, and the CITY may request in writing that all or some of the grant funds be returned even if the SUBRECIPIENT has expended the funds. If the SUBRECIPIENT reports inaccurately, or if on audit there is a disallowance of certain expenditures, the SUBRECIPIENT agrees to remedy the acts or omissions causing the disallowance and repay the CITY all amounts spent in violation thereof If the SUBRECIPIENT engaged in fraudulent activity to obtain and/or justify expenditure of the ESG funds granted hereunder, the SUBRECIPIENT shall be required to reimburse the CITY of all such funds that were obtained and/or spent under fraudulent circumstances, and the CITY reserves the right to take other remedies that may be legally available. 60A-22 The SUBRECIPIENT agrees to return all funds as requested by the CITY under this section within thirty (30) days of receipt of the written request. Any objections regarding terminations or suspensions shall be made by the SUBRECIPIENT in writing and mailed to the CITY pursuant to the above NOTICES section. XVI. CLOSE-OUT The SUBRECIPIENT agrees to comply with the closeout procedures detailed in 2 CFR 200.343, including the following: 1. SUBRECIPIENT must submit, no later than ninety (90) calendar days after the end date of the period of performance, all financial, performance, and other reports as required by the terms and conditions of the Federal award; 2. Unless the CITY authorizes an extension, SUBRECIPIENT must liquidate all obligations incurred under the Federal award not later than ninety (90) calendar days after the end date of the period of performance as specified in the terms and conditions of the Federal award; 3. SUBRECIPIENT must promptly refund any balances of unobligated cash that the CITY paid in advance or paid and that is not authorized to be retained by SUBRECIPIENT for use in other projects (See OMG Circular A-129 and 2 CFR 200.345); 4. SUBRECIPIENT must account for any real and personal property acquired with Federal funds or received from the Federal government in accordance with 2 CFR 200.310-200.316 and 200.329; and, 5. The CITY should complete all closeout actions for the Federal award no later than one year after receipt and acceptance of all required final reports. XVH. VALIDITY AND SEVERABHdTY The invalidity in whole or in part of any provision of this ARGREEMENT shall not void or affect the validity of any other provision of this AGREEMENT. Whenever possible, each provision of this AGREEMENT shall be interpreted in such manner as to be effective and valid under applicable law, but if any provision of this AGREEMENT is held to be prohibited by or invalid under applicable law, such provision shall be ineffective only to the extent of such prohibition or invalidity, without invalidating the remainder of such provisions of this AGREEMENT. XVHI. LAWS GOVERNING THIS AGREEMENT This AGREEMENT shall be governed by and construed in accordance with the laws of the State of California, and all applicable federal laws and regulations. XIX. WAIVER No delay or omission by the CITY hereto to exercise any right or power accruing upon any noncompliance or default by the SUBRECIPIENT with respect to any of the terms of this AGREEMENT shall impair any such right or power or be construed to be a waiver thereof A waiver by either of the parties hereto of any of the covenants, conditions, or agreements to be performed by the other shall not be construed to be a waiver of any succeeding breach thereof or of any other covenant, condition, or agreement herein contained. 60A-23 XX. AGREEMENT DOCUMENT, EXHIBITS, AND ATTACHMENTS All of the attachments and exhibits attached to this AGREEMENT are deemed incorporated by reference. This document may be executed in three (3) counterparts, each of which shall be deemed to be an original. 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 the CITY fully, including reasonable costs and attorney's fees, for any injuries or damages to the CITY in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. IN WITNESS WHEREOF, the parties hereto have executed this AGREEMENT on the date and year first above written. ATTEST: DAISY GOMEZ Clerk of the Council APPROVED AS TO FORA"I: SONIA CARYALHO City A"�y'�' By: RYAN 0 Assistant tqt STEVEN A. MENDOZA Executive Director Community Development Agency CITY OF SANTA ANA a municipal corporation KRISTINE RIDGE City Manager SUBRECIPIENT: Tax ID - DUNS #: 60A-24 EXHIBIT 3 EMERGENCY SOLUTIONS GRANT MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF SANTA ANA AND SANTA ANA POLICE DEPARTMENT (24 CFR Parts 91 and 576) THIS GRANT AGREEMENT, is hereby made and entered into this , 2020 by and between the City of Santa Ana, a charter city and municipal corporation of the State of California, herein called the "CITY" and SANTA ANA POLICE DEPARTMENT, a California nonprofit organization, herein called the "SUBRECIPIENT". RECITALS: 1. The CITY is the recipient of Emergency Solutions Grant ("ESG") funds from the United States Department of Housing and Urban Development ("HUD"), pursuant to subtitle B of title IV of the McKinney-Vento Homeless Assistance Act [42 U.S.C. 11371-11378], for the rehabilitation or conversion of buildings for use as emergency shelter for the homeless, for the payment of certain expenses related to operating emergency shelters, for essential services related to emergency shelters and street outreach for the homeless, and for homelessness prevention and rapid re -housing assistance. Catalogue of Federal Domestic Assistance ("CFDN') 14.231 and Federal Award Identification Number (FAIN) E-20-MC-06-0508. 2. The CITY has approved the provision of federal funds under the ESG to be used in the operation of an emergency solutions program ("program") for the homeless or at -risk of homelessness of the City of Santa Ana as further described by Exhibit A, Scope of Work, attached hereto and by this reference incorporated herein. 3. The SUBRECIPIENT represents that it has the requisite qualifications, expertise, and experience in the provision of emergency solutions programs for the homeless or at -risk of homelessness and is willing to use said federal funds to operate said program. 4. The SUBRECIPIENT agrees to assist individuals and families that are homeless or at risk of homelessness in obtaining appropriate supportive services including, but not limited to: temporary and permanent housing, relocation and stabilization services, rapid re -housing assistance, medical and mental health treatment, counseling supervision, and other services essential for achieving independent living, as well as other federal, state, local and private assistance available for such individuals. 5. The SUBRECIPIENT has agreed to be reimbursed for the above services in an amount not to exceed $ XX,XXX in grant funding for Data Collection and Outreach and Engagement Services. 6. This AGREEMENT is contingent upon the award of Emergency Solutions Grant funds from the United States Department of Housing and Urban Development. 7. The CITY and the SUBRECIPIENT have duly executed this AGREEMENT for the expenditure and utilization of said funds. NOW THEREFORE, it is agreed by and between the parties that the foregoing Recitals are a substantive part of this AGREEMENT and the following terms and conditions are approved and together with all exhibits and attachments hereto, shall constitute the entire AGREEMENT between the CITY and the SUBRECIPIENT: 60A-25 A. General Administration The SUBRECIPIENT agrees to implement this activity as set forth in detail in Exhibit A, Scope of Work, which shall provide a description of each activity, including the services to be performed, the person or entity providing the service, the estimated number of recipients of the service, and the manner and means of the services. B. Levels of Accomplishment — Goals and Performance Measures The SUBRECIPIENT shall be responsible to accomplish the levels of performance as set forth in Exhibit A and report such measures quarterly to the CITY. If the SUBRECIPIENT estimates such goals will not be met, the SUBRECIPIENT is to contact the CITY, at which time the CITY will determine if any adjustments to the grant award is appropriate. C. Staffmg The SUBRECIPIENT shall ensure adequate and appropriate staffing is allocated to each ESG activity. Nothing contained in this AGREEMENT is intended to, or shall be construed in any manner, as creating or establishing the relationship of employer/employee between the parties. IL TERM OF AGREEMENT This AGREEMENT shall take effect on July 1, 2020, and shall terminate on June 30, 2021, unless otherwise cancelled or modified according to the terms of this AGREEMENT. I I 13 61auu.)it Du W.1oI U1 The City was allocated $500,947 in Emergency Solutions Grant funds under the McKinney-Vento Homeless Assistance Act for fiscal year 2019-2020 from the Department of Housing and Urban Development. CITY agrees to pay to SUBRECIPIENT when, if and to the extent federal funds are received under provisions of the Act a sum not to exceed $XX,XY for SUBRECIPIENTS performance in accordance with the Budget attached hereto as "Exhibit B" during the period of this Agreement. Said sum shall be paid after CITY receives invoices submitted by SUBRECIPIENT as provided hereinabove. A. Amount and Expenditure End Date The CITY agrees to reimburse the SUBRECIPIENT a maximum amount not to exceed $XX XXX from Emergency Solutions Grant (ESG) funds, as outlined in Exhibit B, Final Budget, and such funds shall be expended by the SUBRECIPIENT on or before June 30, 2021. SUBRECIPIENT has the ability to adjust line item amounts in the Budget with the written approval of the CITY's Executive Director of the Community Development Agency, so long as the total Budget amount does not increase. B. Invoicing Procedures The SUBRECIPIENT shall submit quarterly invoices (on or before the 15' day of October, January, April, and July) in a form prescribed by the CITY, detailing such expenses. Such schedule may be modified with the approval of the CITY. �• •. C. Payment Payment is subject to the receipt and approval of such invoices and quarterly activity reports, as hereinafter more fully set forth below under Reporting, with the final payment subject to the satisfaction of the condition precedent of submittal of complete invoicing and reporting information due on or before July 15 of the applicable funding year. The CITY shall pay such invoices within thirty (30) days after receipt thereof, provided the CITY is satisfied that such expenses have been incurred within the scope of this AGREEMENT and that the SUBRECIPIENT is in compliance with the terms and conditions of this AGREEMENT. The thirty (30) day period will discontinue if the reimbursement request is determined to be incomplete and will restart the thirty day timeline once the remaining required elements have been submitted. Failure to provide any of the required documentation and reporting will cause the CITY to withhold all or a portion of a request for reimbursement until such documentation and reporting has been received and approved by the CITY. D. Use of Funds The SUBRECIPIENT agrees to use said funds pursuant to this AGREEMENT to pay for necessary and reasonable costs allowable under federal law and regulations to operate said program only. Said amounts shall include and will be limited to, street outreach, emergency shelter, homelessness prevention, rapid re -housing assistance, housing relocation and stabilization services, short-term and medium -term rental assistance, and Homeless Management Information Systems ("FMS') data contribution as set forth in 24 CFR § 576.101 — § 576.107. Allowable program costs are detailed in the Budget, as set forth in Exhibit B, attached hereto and by this reference incorporated herein. The SUBRECIPIENT'S failure to perform as required may, in addition to other remedies set forth in this AGREEMENT, result in readjustment of the amount of funds the CITY is otherwise obligated to pay to the SUBRECIPIENT pursuant to the terms hereof. The SUBRECIPIENT agrees that the homeless shelter/services under said program shall be available for the entire period during which said funds are provided. E. Condition of Fundim, (1) The CITY advises the SUBRECIPIENT that a significant change in entitlement funding may result in a change in the current process utilized by the CITY to determine funding allocations. The SUBRECIPIENT acknowledges that the obligation of the CITY is contingent upon the availability of Federal, State or Local government funds, which are appropriated or allocated for the payment of such an obligation. If funding levels are significantly affected by Federal budgeting or if funds are not allocated and available for the continuance of the function performed by the SUBRECIPIENT, this AGREEMENT may be terminated by the CITY at the end of the period for which funds are available. At the earliest opportunity, the CITY shall notify the SUBRECIPIENT of any service which may be affected by a shortage of funds. No penalty shall accrue to the CITY in the event this provision is exercised and the CITY shall not be liable for any damages as a result of termination under this provision of this AGREEMENT. Nothing herein shall be construed as obligating the CITY to expend funds in excess of appropriations authorized by law. (2) The SUBRECIPIENT shall allow representatives of the CITY or HUD to inspect facilities which are used in connection with the AGREEMENT or which implement programs funded under this AGREEMENT. F. Matchin¢ The SUBRECIPIENT is required to make matching contributions to supplement the ESG program in an amount that equals or exceeds the amount of ESG funds provided by HUD through the CITY. Such contributions shall be entirely consistent with the Matching Requirements as outlined by 24 CFR § 576.201. The anticipated source and 3 60A-27 amount of all matching funds contributed by the SUBRECIPIENT will be enumerated in Exhibit B, Final Budget. G. Program Income (1) Definition. Program income means, as provided by 2 CFR 200.80, gross income received by the SUBRECIPIENT directly generated by a grant supported activity, or earned only as a result of the grant agreement during the grant period. For purposes of ESG, program income will also include any amount of a security or utility deposit returned to the SUBRECIPIENT. (2) Use. The SUBRECIPIENT shall use all income received from said funds only for the same purposes for which said funds may be expended pursuant to the terms and conditions of this AGREEMENT. (3) Counts toward Matching. Costs paid by program income may count toward meeting the matching requirements, provided the costs are eligible ESG costs that supplement the program. H. Separation of Accounts All funds received by the SUBRECIPIENT from the CITY pursuant to this AGREEMENT shall be maintained separate and apart from any other funds of the SUBRECIPIENT, or of any principal or member of the SUBRECIPIENT, in an account (the "Account') at a federally insured banking or savings and loan institution with record keeping of such Accounts maintained pursuant to applicable legal requirements. The SUBRECIPIENT shall keep all records of the Account in a manner that is consistent with generally accepted accounting principles. No monies shall be withdrawn from the Account except for expenditures relating to essential services, homeless prevention, and/or operations costs, as authorized hereunder. All disbursements from the Account shall be for obligations incurred in the performance of this AGREEMENT and shall be supported by contracts, invoices, vouchers, and other data, as appropriate, evidencing the necessity of such expenditure. The CITY may withhold payment allocation requests if the SUBRECIPIENT fails to comply with the above requirements until such compliance is demonstrated. 1. EMenditure of Funds Much like how HUD requires the CITY, pursuant to 24 CFR 576.203, to expend all of the grant funds for eligible activity costs within 24 months after the date that HUD signs the grant agreement with the CITY, it is a requirement for the SUBRECIPIENT to expend all of the grant funds for eligible activity costs within the aforementioned period. For the purposes of this paragraph, expenditure means either an actual cash disbursement for a direct charge for a good/service or an indirect cost, or the accrual of a direct charge for a good/service or an indirect cost. Failure to expend said funds within said timeframe can result in a reallocation of funds. I Prohibited Use (1) Generally. The SUBRECIPIENT hereby certifies and agrees that it will not use funds provided through this AGREEMENT to pay for meals for persons other than those identified as homeless or at risk of homelessness. Said funds shall not be used for entertaimnent purposes or for gifts. The SUBRECIPIENT certifies that it will not use said funds for illegal or dishonest conduct, rather, fund use will remain in compliance with all applicable federal, state, and local laws, including applicable laws not outlined in this AGREEMENT. (2) Lobbying. The SUBRECIPIENT certifies and agrees that it will comply with federal law (31 U.S.C. 1352) and regulations found at 24 CFR Part 87, which provide that no appropriated funds may be expended by the recipient of a federal contract, grant, loan, or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, Member of Congress, or an officer or employee of a Member of 4 Z� • IV 1� Congress in connection with awarding of any federal contract, the making of any federal grant or loan, entering into any cooperative agreement and the extension, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement. The SUBRECIPIENT shall sign a certification to that effect in a form as set forth in Exhibit C, attached hereto and by this reference incorporated herein. The SUBRECIPIENT shall submit said signed certification to the CITY prior to performing any of its obligations under this AGREEMENT and prior to any obligation arising on the part of the CITY to pay any sums to the SUBRECIPIENT under the terns and conditions of this AGREEMENT. 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 a "Disclosure Form to Report Lobbying," in accordance with its instructions (see Exhibit D). The SUBRECIPIENT and the CITY agree that all notices required by this AGREEMENT shall be made in writing and delivered via mail (postage prepaid); commercial courier; personal delivery; or sent by facsimile or other electronic means (provided that receipt is confirmed). Any notice delivered or sent as aforesaid shall be effective on the date of delivery or sending. All notices and other written communications under this AGREEMENT shall be addressed to the individuals in the capacities indicated below, unless modified by subsequent written notice. Communication and details concerning the AGREEMENT shall be delivered to the office of, and directed to, the following representatives: Mikelle Daily Community Development Analyst City of Santa Ana Community Development Agency (M-25) 20 Civic Center Plaza P.O. Box 1988 Santa Ana, CA 92702-1988 (714) 667-2256 (714) 647-6549 FAX mdaily@santa-ana.org A. Coordination with Continuum of Care David Valentin Chief of Police Santa Ana Police Department 60 Civic Center Plaza Santa Ana, CA 92701 714-245-8249 The SUBRECIPIENT must work with the Continuum of Care ("CoC') to ensure the screening, assessment, and referral of program participants are consistent with the CITY's written standards for providing ESG assistance as described in its consolidated plan. The SUBRECIPIENT must keep documentation evidencing the use of, and written intake procedures for, the centralized or coordinated assessment system(s) developed by the CoC in accordance with the requirements established by HUD. See 24 CFR 576.400. 60A-29 B. Evaluation of Program Participants Eligibility and Needs The SUBRECIPIENT must conduct evaluations and re-evaluations to determine the eligibility of each individual or family's eligibility for ESG assistance in accordance with 24 CFR 576.401. C. Terminating Assistance If a program participant violates program requirements, the SUBRECIPIENT may terminate the assistance in accordance with a formal process established by the SUBRECIPIENT that recognizes the rights of individuals affected. See 24 CFR 576.402 D. Shelter and Housing Standards The SUBRECIPIENT certifies that shelters and housing supported by ESG funds and used by ESG beneficiaries will conform to 24 CFR 576.403. E. Homeless Involvement The SUBRECIPIENT certifies that it will involve, to the maximum extent practicable, homeless individuals and families in constructing, renovating, maintaining, and operating facilities assisted under the ESG program, and in providing services for occupants of these facilities. See 24 CFR 576.405(c) and 42 USC 11375(d). F. Independent Contractor Nothing contained in this AGREEMENT is intended to, or shall be construed in any manner, as creating or establishing the relationship of employer/employee between the parties. The SUBRECIPIENT and its subcontractors shall at all times remain independent contractors with respect to the services to be performed under this AGREEMENT. The CITY shall be exempt from payment of any Unemployment Compensation, FICA, retirement, life and/or medical insurance and Workers' Compensation Insurance as the SUBRECIPIENT is an independent contractor. G. Subcontracts (1) Content Requirements. The SUBRECIPIENT will include all relevant provisions of this AGREEMENT in all subcontracts entered into as part of the activities undertaken in furtherance of this AGREEMENT and will take appropriate action pursuant to any subcontract upon a fmding that the subcontractor is in violation of regulations issued by any federal agency. The SUBRECIPIENT will not subcontract with any entity where it has notice or knowledge that the latter has been found in violation of regulations under 24 CFR Part 135 (Economic Opportunities for Low- and Very Low -Income Persons) and will not allow any subcontract unless the entity has first provided it with a preliminary statement of ability to comply with the requirements of these regulations. (2) Submission to the CITY. The SUBRECIPIENT must submit all subcontracts and other agreements that relate to this AGREEMENT to the CITY. 60A-30 H. Licensing The SUBRECIPIENT agrees to obtain and maintain all required licenses, registrations, accreditation, and inspections from all agencies governing its operations. The SUBRECIPIENT shall ensure that its staff and subcontractors shall also obtain and maintain all required licenses, registrations, accreditation and inspections from all agencies governing the SUBRECIPIENT's operations hereunder. Such licensing requirements include obtaining a City business license, as applicable. L Responsibilities Toward Employees The SUBRECIPIENT accepts full responsibility for payment of any and all unemployment compensation, insurance premiums, workers' compensation premiums, income tax withholdings, social security withholdings, and any and all other taxes or payroll withholdings required for all employees engaged in the performance of the work and activities authorized by the AGREEMENT. The SUBRECIPIENT accepts full responsibility for providing workers with proper safety equipment and taking any and all necessary precautions to guarantee the safety of workers or persons otherwise affected. J. Insurance and Bonding (1)Generally. The SUBRECIPIENT shall maintain liability and property insurance to cover actionable legal claims for liability or loss which are the result of injury to or death of any person, or damage to property (including property of Grantee) caused by the negligent acts or omissions, or negligent conduct of the SUBRECIPIENT, its employees, agents or subcontractors, to the extent permitted by law, in connection with the activities pursuant to this AGREEMENT. The SUBRECIPIENT shall comply with the bonding and insurance requirements of 2 CFR 200.427, and 2 CFR 200.447. The SUBRECIPIENT shall undertake self-insurance, or shall obtain, at its sole cost, a policy or policies of commercial general liability insurance, or equivalent form. Such insurance shall: (1) name the City of Santa Ana, its officers, agents, employees and volunteers as additional insureds; (2) be primary with respect to insurance or self-insurance programs maintained by the CITY; (3) contain standard separation of insureds provisions; and (4) give to the CITY prompt and timely notice of claim made or suit instituted arising out of the SUBRECIPIENT's operations hereunder. (2) Limits. The SUBRECIPIENT shall maintain, at all times, the following minimum levels of Insurance, and shall, without in any way altering its liability, obtain, pay for, and maintain insurance for the coverages and amounts of coverage not less than those set forth below: a. Workers' Compensation. Amount must comply with State and Federal Laws b. Comprehensive General Liability. $1,000,000 combined single limit of liability for bodily injuries, death, and property damage resulting from any one occurrence, including the following coverages: i. Premises and Operations; and 60A-31 K. ii. Broad Form Commercial General Liability Endorsement to include blanket contractual liability (specifically covering, but not limited to, the contractual obligations assumed by the SUBRECIPIENT); Personal Injury (with employment and contractual exclusions deleted); and Broad Form Property Damage coverage. C. The SUBRECIPIENT's self -insured retention or deductible per line of coverage shall not exceed $25,000 without the permission of the CITY. (3) Proof of Insurance. The SUBRECIPIENT shall furnish the CITY's Clerk of the Council with an insurance certificate from insurance carrier certifying that it carries such insurance and that the policy shall not be canceled nor the coverage reduced except upon thirty (30) days prior notice to the CITY. The SUBRECIPIENT shall, prior to exercising any right under this AGREEMENT: a. furnish properly executed certificates of insurance and additional insured endorsement to the CITY which shall clearly evidence all coverage required above; b. provide that such insurance shall not be materially changed or terminated except on thirty (30) days prior written notice to the CITY; c. maintain such insurance for the period covered by this AGREEMENT; and d. replace such certificates for policies expiring prior to the expiration of this AGREEMENT. (4) Company Rating. All insurance coverage shall be written with a company having an A.M. Best Rating of "A" or better and financial size of VIII or larger. (5) Failure to Comply. In the event of any failure by the SUBRECIPIENT to comply with these provisions, the CITY may, after notice to the SUBRECIPIENT, suspend the program for cause until there is full compliance. The SUBRECIPIENT agrees that any facility/property used in furtherance of said program shall be specifically zoned and permitted for such use(s) and activity(ies). Should the SUBRECIPIENT fail to have the required land entitlement and/or permits, thus violating any local, state, or federal rules and regulations relating thereto, the SUBRECIPIENT shall immediately make good -faith efforts to gain compliance with local, state, or federal rules and regulations following written notification of said violation(s) from the CITY or other authorized citing agency. The SUBRECIPIENT shall notify the CITY immediately of any pending violations. Failure to notify the CITY of pending violations, or to remedy such known violation(s), shall result in termination of grant funding hereunder. The SUBRECIPIENT must make all corrections required to bring the facility/property into compliance with the law within sixty (60) days of notification of the violation(s); failure to gain compliance within such time shall result in termination of grant funding hereunder. L. Displacement and Relocation. The SUBRECIPIENT must assure that it has taken all reasonable steps to minimize displacement of persons. Relocation must be consistent with requirements as set forth in 24 CFR § 576.408. 60A-32 M. Provisions Required by Law Deemed Inserted. Each and every provision of law and clause required by law to be inserted in this contract shall be deemed to be inserted herein and the AGREEMENT shall be read and enforced as though it were included herein, and if through mistake or otherwise any such provision is not inserted or correctly inserted, then upon the application of either party the contract shall forthwith be physically amended to make such insertion or correction. VL ASSURANCES AND CERTIFICATIONS A. Non -Profit Status The SUBRECIPIENT certifies that: (1) The SUBRECIPIENT is a duly organized and existing non-profit corporation in good standing and authorized to do business under the laws of the State of California and in possession of required non-profit status under the United States Internal Revenue Code [for example, 26 USC § 501(c)(3)]. The SUBRECIPIENT has full right, power, and lawful authority to accept the funding hereunder and to undertake all obligations as provided herein and the execution, performance, and delivery of this AGREEMENT by the SUBRECIPIENT has been fully authorized by all requisite actions on the part of the SUBRECIPIENT. (2) If the SUBRECIPIENT's non-profit status changes at anytime during this AGREEMENT, it will advise the CITY within 15 days. (3) If the SUBRECIPIENT is a private non-profit, it hereby agrees that the members of its Board of Directors will receive no compensation, directly or indirectly, other than reimbursement for expenses, from any funds generated from or because of the ESG program, for their services. (4) As a non-profit, the SUBRECIPIENT acknowledges that administration of its operation and services are subject to the requirements as established in 2 CFR 200. B. Adherence to Federal, State, and Local Laws and Regulations (1) General. The SUBRECIPIENT agrees to comply with all requirements of the ESG program and applicable cross -cutting Federal, State, and Local requirements. (2) Economic Opportunities for Low- and Very Low-income Persons. The SUBRECIPIENT shall ensure that employment and other economic opportunities generated by the Program shall, to the greatest extent feasible, be directed to low- and very low-income persons, particularly those who are recipients of government assistance for housing. Section 3 of the Housing and Urban Development Act of 1968, 12 U.S.C. 1701u, and regulations at 24 CFR part 135 apply, except that homeless individuals have priority over other Section 3 residents in accordance with § 576.405(c). (3) Civil Rights. The SUBRECIPIENT agrees to comply with Title VI of the Civil Rights Act of 1964, as amended, Title VIII of the Civil Rights Act of 1968, as amended, Section 109 of the Title I of the Housing and Community Development Act of 1974, Section 504 of the Rehabilitation Act of 1973, the Americans with Disabilities Act of 1990, the Age Discrimination Act of 1975, and 41 CFR Chapter 60. (4) Nondiscrimination and Equal Employment Opportunity. During the performance under this AGREEMENT, the SUBRECIPIENT shall not discriminate against any employee or applicant for employment 60A-33 based on race, color, creed, religion, sex, age, handicap, disability, ancestry, national origin, marital status, familial status, sexual orientation, or any other basis prohibited by applicable law. The SUBRECIPIENT shall take affirmative action to ensure that all applicants and employees are treated without regard to race, color, creed, religion, sex, age, handicap, disability, ancestry, national origin, marital status, familial status, and sexual orientation. The SUBRECIPIENT shall comply with all provisions of Executive Order 11246, Equal Employment Opportunity, as amended by Executive Orders 11375 and 12086. (5) Nondiscrimination and Equal Opportunity in Participation. The requirements in 24 CFR part 5, subpart A are applicable, including the nondiscrimination and equal opportunity requirements at 24 CFR 5.105(a). The SUBRECIPIENT shall not discriminate against any participant on the ground of race, color, creed, religion, sex, age, handicap, disability, ancestry, national origin, marital status, familiar status, sexual orientation, or any other basis prohibited by applicable law. The SUBRECIPIENT shall, through affirmative outreach, make known that use of the facilities, assistance, and services are available to all on a nondiscriminatory basis. The SUBRECIPIENT must take appropriate steps to ensure effective communication with persons with disabilities. (6) Americans with Disabilities Act. The SUBRECIPIENT agrees to comply with any federal regulations issued pursuant to compliance with the Americans with Disabilities Act which prohibits discrimination and ensures equal opportunity for persons with disabilities in employment, State and Local government services, and public accommodations. (7) Fair Housing. Under section 808(e)(5) of the Fair Housing Act, HUD has a statutory duty to affirmatively further fair housing. HUD requires the same of its funded sub -recipients. The SUBRECIPIENT has a duty to affirmatively further fair housing opportunities for classes protected under the Fair Housing Act. C. Falsification of Information The SUBRECIPIENT represents and warrants that it has made no false statements to the CITY in the process of obtaining this award of the ESG Funds. D. Drug Free Workplace The SUBRECIPIENT represents and warrants that it has established the following drug -free workplace policy: (1) The unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the workplace for any employee involved in a federally funded program. (2) As an employee working in conjunction with a federally funded program, the employees of the SUBRECIPIENT will be required to: a. Abide by the terms above in statement (1), and b. Notify the appropriate SUBRECIPIENT authorities and CITY officials of any criminal drug statute conviction for a violation occurring in the workplace. Such notification shall be made no later than five (5) days after conviction. (3) The CITY and the United States Department of Housing and Urban Development will be notified within 10 60A-34 ten days after receiving notice of any such violation. (4) Within thirty (30) days of receiving such notice, appropriate personnel action will be taken against such employee, up to and including termination. (5) Each such employee shall be required to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State or Local health, law enforcement, or other appropriate agency. E. Religious Organization The SUBRECIPIENT may not engage in inherently religious activities, such as worship, religious instruction, or proselytization as part of said program or services. If the SUBRECIPIENT conducts such activities, the activities must be offered separately, in time or location, from said programs or services, and participation must be voluntary for the program participants. The SUBRECIPIENT shall not, in providing program assistance, discriminate against a program participant or prospective program participant on the basis of religion or religious belief. If the SUBRECIPIENT is a religious organization, it retains its independence from Federal, State, and Local governments, and may continue to carry out its mission, including the definition, practice, and expression of its religious beliefs, provided that the religious organization does not use direct ESG funds to support any inherently religious activities. The SUBRECIPIENT agrees that rehabilitation of structures by the religious organization in connection with said program must be in sound accord with the provisions under 24 CFR § 576.406. F. Additional Terms between the CITY and HUD The SUBRECIPIENT agrees further that it shall be bound by the standard terms and conditions used in the Grant Agreement between HUD and the CITY and such other rules, regulations, or requirements as HUD may reasonably impose in addition to the aforementioned assurances at or subsequent to the execution of this AGREEMENT by the parties hereto. G. OSHA Where employees are engaged in activities not covered under the Occupational Safety and Health Act of 1970, they shall not be required or permitted to work, be trained, or receive services in buildings or surroundings or under working conditions which are unsanitary, hazardous, or dangerous to the participants' health or safety. H. Hatch Act The SUBRECIPIENT agrees that no funds provided, nor personnel employed under this AGREEMENT, shall be in any way or to any extent engaged in the conduct of political activities in violation of the Hatch Act, 5 U.S.C. Section 1501 et seq. 11 60A-35 L Davis -Bacon Act Vu. All laborers and mechanics employed by contractors or subcontractors in the performance of construction work, including alterations and repairs, in excess of $2,000.00, financed in whole or in part with federal funds shall be paid wages at rates not less than those prevailing on similar construction in the locality as determined in accordance with the Davis -Bacon Act, as amended, 40 U.S.C. sections 276a - 276a-5. Any such construction contract shall include and comply with the required contract provisions and rules set forth in 29 C.F.R §5.5. Further, the payroll reports (along with the "Statement of Compliance") and basic records are required to be maintained and submitted, or made available, pursuant to 29 C.F.R §5.5(a)(3). No payment, advance, grant, loan or guarantee of funds shall be approved by the federal agency unless there is on file with the agency a certification by the contractor that the contractor and its subcontractors have complied with the provisions of 29 C.F.R. §5.5. A breach of the contract clauses in 29 C.F.R §5.5 may be grounds for termination of the contract, and for debarment as a contractor/subcontractor, as provided in 29 C.F.R §5.12. Labor standards interviews/investigations shall be made as necessary to assure compliance. See 29 C.F.R §5.6(a)(3). Generally The following requirements and standards must be complied with: 2 CFR Part 200, et al. SUBRECIPIENT shall procure all materials, property, or services in accordance with the requirements of 2 CFR 200.318-326. A. Procurement (1) Compliance. The SUBRECIPIENT shall comply with current HUD and CITY policies concerning the procurement of equipment, goods, and services, and shall maintain inventory records of all non -expendable personal property as defined by such policy as may be procured with funds provided herein. The SUBRECIPIENT shall report to the CITY all program assets (unexpended program income, property, equipment, etc.), and upon the CITY' S request, such assets shall revert to the CITY upon termination of this AGREEMENT. (2) Pursuant to 2 CFR 200.331 (a) (4), the Indirect Cost Rate for the SUBRECIPIENT's award shall be an approved federally recognized cost rate negotiated between the SUBRECIPIENT and the Federal government, or, if no cost rate exists, the de minims indirect cost rate as defined in 2 CFR 200.414(b) Indirect (F & A) costs shall be used. For this agreement, the de minims indirect cost of 10% will apply. (3) Use and Reversion of Assets. The use and disposition of equipment under this AGREEMENT shall be in compliance with the requirements of 2 CFR Part 200. B. Reporting Reporting requirements must conform to the policies and procedures as established by the CITY and 24 CFR § 576.500. The SUBRECIPIENT shall submit to the CITY, on or before the 15' day of October, January, April, and July, as part of the Quarterly Report: (1) Payment Request. An original request for reimbursement and true copies of invoices, receipts, agreements, or other documentation supporting and evidencing how the ESG Funds have been expended during the applicable quarter. 12 (2) Quarterly Activities and written cumulative (year-to-date) reports of activities, program accomplishments, new program information, and up-to-date program statistics on expenditures, caseload and activities. Failure to provide any of the required documentation and reporting will cause the CITY to withhold all or a portion of a request for reimbursement until such documentation and reporting has been received and approved by the CITY. (3) Matching. Quarterly certification of match, plus documentation of match source. (4) Any other such reports as the CITY (or HUD) shall reasonably require and/or request, including but not limited to the following information: monthly records of all ethnic and racial statistics of persons and families benefited by the SUBRECIPIENT in the performance of its obligations under this AGREEMENT. C. Record Keeping Sufficient records must be established and maintained to enable the CITY and HUD to determine whether the ESG requirements are being met. Record keeping requirements must conform to the policies and procedures as established by the CITY. All accounting records, reports, all evidence pertaining to costs, expenses, and ESG Funds of the SUBRECIPIENT, and all documents related to this AGREEMENT shall be maintained and kept available at the SUBRECIPIENT'S office or place of business for the duration of the AGREEMENT and thereafter for five (5) years post -completion of an audit in conformity with the ESG requirements, except as hereinafter provided relating to retention of any records or documentation existing, created, or maintained in compliance with Lead -based Paint regulations, which likely require longer retention as outlined below. Records which relate to (a) complaints, claims, administrative proceedings or litigation arising out of the performance of this AGREEMENT, or (b) costs and expenses of this AGREEMENT to which the CITY or any other governmental agency takes exception, shall be retained beyond the five (5) years until complete resolution or disposition of such appeals, litigation claims, or exceptions. All said records must be retained for the greater of the aforementioned duration or the periods specified in 24 CFR 576.500(y). All records relating to, or created or maintained in compliance with, the Lead -Based Paint regulations shall be retained and maintained by the SUBRECIPIENT indefmitely, including without limitation, all inspection report(s), disclosure statement(s), and clearance report(s). Copies made by microfilming, photocopying, or similar methods may be substituted for the original records. The CITY, HUD and auditors shall have the right to access all the SUBRECIPIENT records for as long as the records are retained by the SUBRECIPIENT. In the event the SUBRECIPIENT does not make the above -referenced documents available within the City of Santa Ana, California, the SUBRECIPIENT agrees to pay all necessary and reasonable expenses incurred by the CITY in conducting any audit at the location where said records and books of account are maintained. The SUBRECIPIENT agrees to meet the requirements set forth in 24 CFR § 576.500. D. Homeless Management Information Systems (HMIS) 1. Generally. The SUBRECIPIENT must ensure that data on all persons served and all activities assisted under ESG are entered into the applicable community -wide HMIS in the area in which those persons and activities are located, or with the express knowledge and written consent of the CITY, a comparable database, in accordance with HUD's standards on participation, data collection, and reporting under a local HMIS. 2. HMIS Agency Agreement. The SUBRECIPIENT shall have an agreement in place with the HMIS lead agency to participate in the regionally HMIS system. A copy of the SUBRECIPIENTS agreement with the HMIS lead agency shall be attached to this agreement as Exhibit F. In the case of Domestic Violence service providers 13 60A-37 or other agencies prohibited from entering data into TIMIS, documentation from the TIMIS lead agency certifying that the SUBRECIPIENT is using a comparable database shall be attached to this agreement as Exhibit E. 3. TIMIS Interagency Data Sharing Agreement. The SUBRECIPIENT shall enter into an Interagency Data Sharing Agreement with the TIMIS Lead Agency where the SUBRECIPIENT agrees to share TIMIS data with other ESG funded agencies regarding clients that are served in ESG funded programs, unless prohibited by law. A copy of such agreement shall be attached as Exhibit F-L E. Audit Report Requirements The SUBRECIPIENT agrees that if the SUBRECIPIENT expends Seven Hundred Fifty Thousand Dollars ($750,000.00) or more in federal funds, the SUBRECIPIENT shall have an annual audit conducted by a certified public accountant in accordance with the standards as set forth and published by the United States Office of Management and Budget (2 CFR 200.501a). The SUBRECIPIENT shall provide the CITY with a copy of said audit by April 1 of the year following the program year in which this AGREEMENT is executed. Further, the SUBRECIPIENT shall comply and/or cause compliance with audit report(s) required by applicable provisions of the Lead -Based Paint Regulations as further detailed below. VHL EVALUATION AND MONITORING a. Generally The CITY will monitor the performance of the SUBRECIPIENT against goals and performance standards as required herein. The SUBRECIPIENT shall provide the CITY all necessary reporting information as required by the CITY in the administration and review of the Program. Substandard performance as determined by the CITY will constitute noncompliance with this AGREEMENT. If action to correct such substandard performance is not taken by the SUBRECIPIENT within a reasonable period of time after being notified by the CITY, contract suspension or termination procedures will be initiated. b. Access to Records The SUBRECIPIENT gives the CITY and HUD, including their authorized representative, access to and the right to examine all records, books, papers, items, emails, and documents, both physical and electronic, relating to the program. c. Audit The CITY shall have the right to audit and monitor any program income as a result of an ESG activity. Upon request by the CITY and for audit purposes, the SUBRECIPIENT further agrees to provide all files, records, and documents pertaining to related activities and clientele demographic data. A. Generally Each party to this AGREEMENT acknowledges that it will be liable for its own negligent acts or negligent omissions by or through itself, its employees, agents, and subcontractors. Each party further agrees to defend itself and themselves, and to pay any judgments and costs arising out of such negligent acts or omissions, and nothing in this AGREEMENT shall impute or transfer any such liability from one to the other. In other words, the 14 �� • R SUBRECIPIENT agrees to be fully responsible for its negligent acts or omissions, or any intentional tortuous acts which result in claims or suits against the CITY, and agrees to be liable for any damages proximately caused by said acts or omissions. Nothing herein shall be construed as consent by a State or CITY agency or subdivision to be sued by third parties in any matter arising out of any contract, and nothing herein is intended to serve as a waiver of sovereign immunity where sovereign immunity applies. B. CITY not Liable for Funds The SUBRECIPIENT further acknowledges that the source of the ESG Funds is a federal pass -through grant to the SUBRECIPIENT. The CITY shall have no obligation to advance or pay the SUBRECIPIENT with any funds other than the ESG Funds the CITY receives from HUD. C. Hold Harmless The SUBRECIPIENT shall defend, indemnify and save harmless the CITY, its officers, agents, employees, representatives, volunteers, and student externs from and against any and all damages to property or injuries to or death of any person or persons, including property and employees or agents of the CITY, and shall defend, indemnify and save harmless the CITY, its officers, agents, employees, representatives, volunteers, and student externs from and against any and all claims, demands, suits, actions or proceedings of any kind or nature, including, but not by way of limitation, workers compensation claims and attorney fees/expenses for litigation or settlement, resulting from or arising out of the negligent or wrongful acts, errors or omissions of the SUBRECIPIENT, its officers, directors, employees, agents, subcontractors, and suppliers arising out of the SUBRECIPIENT's performance of this AGREEMENT. A. Generally ESG activities are subject to environmental review by HUD under the environmental regulations in 24 CFR 50. The SUBRECIPIENT, or any contractor of the SUBRECIPIENT, may not acquire, rehabilitate, convert, lease, repair, dispose of, demolish, or construct property for a project under this part, or commit or expend HUD or local funds for eligible activities under this part, until HUD has performed an environmental review under 24 CFR part 50 and the recipient has received HUD approval of the property. The SUBRECIPIENT agrees to comply with all applicable environmental requirements insofar as they apply to the performance of this AGREEMENT, including but not limited to the Clean Air Act, the Federal Water Pollution Control Act and the Flood Disaster Protection Act. If applicable, the SUBRECIPIENT also shall comply with the Historic Preservation requirements of National Historic Preservation Act of 1966. B. Lead -based paint remediation and disclosure The Lead -Based Paint Poisoning Prevention Act (42 U.S.C. 4821 4846), the Residential Lead -Based Paint Hazard Reduction Act of 1992 (42 U.S.C. 4851-4856), and implementing regulations in 24 CFR part 35, subparts A, B, H, J, K, M, and R apply to all shelters assisted under ESG program and all housing occupied by program participants that were built before 1978. 15 60A-39 C. Assigaunent of Responsibilities By this AGREEMENT, the SUBRECIPIENT will accept assignment from the CITY of all responsibilities set forth in Subpart K of 24 CFR 35. D. Compliance with Subpart K The purpose of Subpart K is to establish procedures to eliminate as far as practicable lead -based paint ("LBP') hazards in a residential property that receives Federal assistance under certain HUD programs for acquisition, leasing, support services, or operation. In connection with the grant funds under this AGREEMENT, the CITY requires that the SUBRECIPIENT comply and show evidence of compliance with all applicable subparts of 24 CFR 35, and especially, Subpart K ("LBP Regs'). The SUBRECIPIENT shall conduct the following activities for the dwelling unit, common areas servicing the dwelling unit, and the exterior surfaces of the building in which the dwelling unit is located: (1) A visual assessment of all painted surfaces in order to identify deteriorated paint; (2) Paint stabilization of each deteriorated paint surface, and clearance, in accordance with §§ 35.1330(a) and (b), before occupancy of a vacant dwelling unit or, where a unit is occupied, immediately after receipt of Federal assistance; and (3) Ongoing lead -based paint maintenance activities into regular building operations, in accordance with § 35.1355(a), if the dwelling unit has a continuing, active financial relationship with a Federal housing assistance program, except that mortgage insurance or loan guarantees are not considered to constitute an active programmatic relationship for the purposes of this part. (4) And, notice to occupants in accordance with §§ 35.125(b)(1) and (c), describing the results of the clearance examination. E. Notification of LBP Hazard The SUBRECIPIENT shall provide to all occupants of housing: (1) In accordance with Section 35.130 of the LBP Regs - the LBP hazard information pamphlet. The pamphlet shall be the EPA/HUD/Consumer Product Safety Commission lead hazard information pamphlet or an EPA -approved equivalent. The current form and version of the pamphlet can be found at: http://www.h ud.gov/offices/lead/I ibrary/enforcement/fs-d iscl. pdf (2) In accordance with 24 CFR 35, Subpart A, all available information and knowledge regarding the presence of LBP and LBP hazards prior to leasing a housing unit. (3) In accordance with 24 CFR 35, Subpart A, notification in writing of the results of the presumption of LBP and/or LBP hazards, results of any lead hazard evaluation, and any lead hazard reduction work. 16 0:4 1 F. LBP Information Summary For purposes of information only and in no respect intended to be a representation or warranty of the provisions of the LBP Regulations, the CITY has caused to be prepared an information summary relating to the LBP Regulations and Application to dwelling units that may be occupied by recipients of services and/or funding from the SUBRECIPIENT under this AGREEMENT. CITY staff will cooperate with and be available to the SUBRECIPIENT to assist in implementation of compliance with the LBP Regs as to residential dwelling units to be assisted by the SUBRECIPIENT. The parties acknowledge and agree the CITY shall not be liable or responsible for the accuracy of such summary, and the SUBRECIPENT is directed to the LBP Regulations and implementing guidance published and provided by HUD relating to compliance with such LBP Regulations. G. Exemptions Section 35.115(a) provides exemptions from Subparts B through R For example, lead -based paint requirements do not apply to housing assistance if the assistance lasts less than one hundred (100) days. The SUBRECIPIENT shall comply with 2 CFR 200.112 with respect to the use of program funds to procure services, equipment, supplies, or other property. With respect to all other decisions involving the use of program funds, the following restriction shall apply: No person who is an employee, agent, consultant, officer, or elected or appointed official of the SUBRECIPIENT and who exercises or has exercised any functions or responsibilities with respect to assisted activities, or who is in a position to participate in a decision making process or gain inside information with regard to such activities, may obtain a personal or financial interest or benefit from the activity, or have an interest in any contract, subcontract, or agreement with respect thereto, or the proceeds there under, either for himself or herself, or for those with who he or she has family or business ties, during his or her tenure or for one (1) year thereafter. The SUBRECIPIENT agrees to abide by the ESG Program's Conflict of Interest provisions as expressly detailed in 24 CFR § 576.404 regarding Organizational Conflicts of Interest and Personal Conflicts of Interest. All contractors of the SUBRECIPIENT must comply with the same requirements that apply to the SUBRECIPIENT under this section. NI .:11 r None of the duties of, or work to be performed by, the SUBRECIPIENT under this AGREEMENT shall be subcontracted or assigned to any agency, consultant, or person without the prior written consent of the CITY. The SUBRECIPIENT must submit all subcontracts and other agreements that relate to this AGREEMENT to the CITY. No subcontract or assignment shall terminate or alter the legal obligations of the SUBRECIPIENT pursuant to this AGREEMENT. = aNel ItW \ 1 t4 D) DILI 1 This AGREEMENT supersedes any and all other agreements, either oral or in writing, between the parties hereto with respect to the use of the CITY's ESG Funds by the SUBRECIPIENT and contains all the covenants and agreements between the parties with respect to such ESG Funds in any manner whatsoever. Each party to this AGREEMENT acknowledges that no representations, inducements, promises or agreements, orally or otherwise, 17 60A-41 have been made by any party, or anyone acting on behalf of any party, which are not embodied herein, and that no other agreement or amendment hereto shall be effective unless executed in writing and signed by both the CITY and the SUBRECIPIENT. h �,'Vu111U17uIDies Y1]tium1111ra-41[Ile The SUBRECIPIENT shall not obligate, encumber, spend, or otherwise utilize program funds for any activity or purpose not included or not in conformance with the budget as apportioned and as submitted to the CITY unless: (1) The SUBRECIPIENT has received explicit written approval from the CITY to undertake such actions, or (2) Budget changes may be made among approved program activities and among approved budget categories so long as the specific project activity has been approved, there is no change to the total grant amount, and the changes to the budget are documented. Any program modification request by the SUBRECIPIENT must be requested at least forty-five (45) days prior to the end of the term of this AGREEMENT. No modification to this AGREEMENT shall be binding by either party unless in writing and signed by both parties. In the event that the CITY approves any amendment to the funding allocation, the SUBRECIPIENT shall be notified in writing and such notification shall constitute an official amendment. The CITY may, at its discretion and upon provision of proper notice to the SUBRECIPIENT, amend this AGREEMENT to conform with changes in Federal, State, and/or the CITY laws, regulations, guidelines, directives, and objectives. Such amendments shall be incorporated by written amendment as a part of this AGREEMENT. / / L91 W.TJI wgul = 101 :u Imika 1 1► A. Termination If, due to any cause, the SUBRECIPIENT fails to comply with the terms, conditions or requirements of this AGREEMENT, or any prior AGREEMENT whereby ESG funds were received by the SUBRECIPIENT, whether stated in a Federal statute or regulation, an assurance, a State plan or application, a notice of award, or elsewhere, the CITY may terminate or suspend this AGREEMENT in accordance with 2 CFR 200.339 and in accordance with 2 CFR 200.340 by giving written notice, and the CITY may request in writing that all or some of the grant funds be returned even if the SUBRECIPIENT has expended the funds. If the SUBRECIPIENT reports inaccurately, or if on audit there is a disallowance of certain expenditures, the SUBRECIPIENT agrees to remedy the acts or omissions causing the disallowance and repay the CITY all amounts spent in violation thereof If the SUBRECIPIENT engaged in fraudulent activity to obtain and/or justify expenditure of the ESG funds granted hereunder, the SUBRECIPIENT shall be required to reimburse the CITY of all such funds that were obtained and/or spent under fraudulent circumstances, and the CITY reserves the right to take other remedies that may be legally available. The SUBRECIPIENT agrees to return all funds as requested by the CITY under this section within thirty (30) days of receipt of the written request. 18 60A-42 Any objections regarding terminations or suspensions shall be made by the SUBRECIPIENT in writing and mailed to the CITY pursuant to the above NOTICES section. XVI. CLOSE-OUT The SUBRECIPIENT agrees to comply with the closeout procedures detailed in 2 CFR 200.343, including the following: (1) SUBRECIPIENT must submit no later than ninety (90) calendar days after the end date of the period of performance, all financial, performance, and other reports as required by the terms and conditions of the Federal award; (2) Unless the CITY authorizes an extension, SUBRECIPIENT must liquidate all obligations incurred under the Federal award not later than ninety (90) calendar days after the end date of the period of performance as sepecified in the terms and conditions of the Federal award; (3) SUBRECIPIENT must promptly refund any balances of unobligated cash that the CITY paid in advance or paid and that is not authorized to be retained by SUBRECIPIENT for use in other projects (See OMG Circular A-129 and 2 CFR 200.345); (4) SUBRECIPIENT must account for any real and personal property acquired with Federal funds or received from the Federal government in accordance with 2 CFR 200.310-200.316 and 200.329; and, (5) The CITY should complete all closeout actions for the Federal award no later than one year after receipt and acceptance of all required final reports. The invalidity in whole or in part of any provision of this ARGREEMENT shall not void or affect the validity of any other provision of this AGREEMENT. Whenever possible, each provision of this AGREEMENT shall be interpreted in such manner as to be effective and valid under applicable law, but if any provision of this AGREEMENT is held to be prohibited by or invalid under applicable law, such provision shall be ineffective only to the extent of such prohibition or invalidity, without invalidating the remainder of such provisions of this AGREEMENT. This AGREEMENT shall be governed by and construed in accordance with the laws of the State of California, and all applicable federal laws and regulations. /�► ♦ - \/ C No delay or omission by the CITY hereto to exercise any right or power accruing upon any noncompliance or default by the SUBRECIPIENT with respect to any of the terms of this AGREEMENT shall impair any such right or power or be construed to be a waiver thereof. A waiver by either of the parties hereto of any of the covenants, conditions, or agreements to be performed by the other shall not be construed to be a waiver of any succeeding breach thereof or of any other covenant condition, or agreement herein contained. 19 All of the attachments and exhibits attached to this AGREEMENT are deemed incorporated by reference. This document may be executed in three (3) counterparts, each of which shall be deemed to be an original. 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 the CITY fully, including reasonable costs and attorney's fees, for any injuries or damages to the CITY in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. IN WITNESS WHEREOF, the parties hereto have executed this AGREEMENT on the date and year first above written. ATTEST: DAISY GOMEZ Clerk of the Council APPROVED AS TO FORM: SONIA CAR) LHO City Attorry6 , ( D By: RYAN Assistant Ci FOR APPROVAL: STEVEN A. MENDOZA Executive Director Community Development Agency CITY OF SANTA ANA a municipal corporation KRISTINE RIDGE City Manager SUBRECIPIENT: Name: David Valentin Title: Chief of Police Tax ID: 95-6000785 DUNS 9:0831532470000 20 EXHIBIT 4 EMERGENCY SOLUTIONS GRANT SUBRECIPIENT AGREEMENT BETWEEN THE CITY OF SANTA ANA AND MERCY HOUSE LIVING CENTERS, INC. (24 CFR Parts 91 and 576) THIS GRANT AGREEMENT, is hereby made and entered into this July 1, 2020, by and between the City of Santa Ana, a charter city and municipal corporation of the State of California, herein called the "CITY", and Mercy House Living Centers, Inc., a California nonprofit organization, herein called the "SUBRECIPIENT". RECITALS: 1. The CITY is the recipient of Emergency Solutions Grant ("ESG") funds from the United States Department of Housing and Urban Development ("HUD"), pursuant to subtitle B of title IV of the McKinney-Vento Homeless Assistance Act [42 U.S.C. 11371-11378], for the rehabilitation or conversion of buildings for use as emergency shelter for the homeless, for the payment of certain expenses related to operating emergency shelters, for essential services related to emergency shelters and street outreach for the homeless, and for homelessness prevention and rapid re -housing assistance. Catalogue of Federal Domestic Assistance ("CFDA") 14.231 and Federal Award Identification Number (FAIN) E-20-MC-06-0508. 2. The CITY has approved the provision of federal funds under the ESG to be used in the operation of an emergency solutions program ("program') for the homeless or at -risk of homelessness of the City of Santa Ana as further described by Exhibit A, Scope of Work, attached hereto and by this reference incorporated herein. 3. The SUBRECIPIENT represents that it has the requisite qualifications, expertise, and experience in the provision of emergency solutions programs for the homeless or at -risk of homelessness and is willing to use said federal funds to operate said program. 4. The SUBRECIPIENT agrees to assist individuals and families that are homeless or at risk of homelessness in obtaining appropriate supportive services including, but not limited to: temporary and permanent housing, relocation and stabilization services, rapid re -housing assistance, medical and mental health treatment, counseling supervision, and other services essential for achieving independent living. 5. The SUBRECIPIENT has agreed to be reimbursed for the above services in an amount not to exceed $276,468 in grant funding for Emergency Shelter - Operations, Rapid Re -Housing and Homeless Prevention. 6. The CITY previously entered into an Agreement with Mercy Housing Living Centers to Operate an Interim Emergency Homeless Shelter, Agreement No. A-2018-221, as amended, dated September 18, 2018, by which the City committed a set amount of funds to SUBRECIPIENT for the operation of The Link Interim Emergency Homeless Shelter. As part of this ESG AGREEMENT, the CITY is committing up to $151,468 to SUBRECIPIENT for Emergency Shelter Operations at The Link. This $151,468 shall count toward the amount of funds due from the CITY to SUBRECIPEINT under Agreement No. 2018-221, as amended. 7. This AGREEMENT is contingent upon the award of Emergency Solutions Grant funds from the United States Department of Housing and Urban Development. 8. The CITY and the SUBRECIPIENT have duly executed this AGREEMENT for the expenditure and utilization of said funds. NOW THEREFORE, it is agreed by and between the parties that the foregoing Recitals are a substantive part of this AGREEMENT and the following terms and conditions are approved and together with all exhibits and attachments hereto, shall constitute the entire AGREEMENT between the CITY and the SUBRECIPIENT: I. SCOPE OF PROGRAM A. General Administration The SUBRECIPIENT agrees to implement this activity as set forth in detail in Exhibit A, Scope of Work, which shall provide a description of each activity, including the services to be performed, the person or entity providing the service, the estimated number of recipients of the service, and the manner and means of the services. B. Levels of Accomplishment —Goals and Performance Measures The SUBRECIPIENT shall be responsible to accomplish the levels of performance as set forth in Exhibit A and report such measures quarterly to the CITY. If the SUBRECIPIENT estimates such goals will not be met, the SUBRECIPIENT is to contact the CITY, at which time the CITY will determine if any adjustments to the grant award is appropriate. C. Staffing The SUBRECIPIENT shall ensure adequate and appropriate staffing is allocated to each ESG activity. Nothing contained in this AGREEMENT is intended to, or shall be construed in any manner, as creating or establishing the relationship of employer/employee between the parties. H. TERM OF AGREEMENT in. This AGREEMENT shall take effect on July 1, 2020, and shall terminate on June 30, 2021, unless otherwise cancelled or modified according to the terms of this AGREEMENT. The City was allocated $500,947 in Emergency Solutions Grant funds under the McKinney-Vento Homeless Assistance Act for fiscal year 2020-2021 from the Department of Housing and Urban Development. CITY agrees to pay to SUBRECIPIENT when, if and to the extent federal funds are received under provisions of the Act a sum not to exceed $276,468 for SUBRECIPIENT'S performance in accordance with the Budget attached hereto as "Exhibit B" during the period of this Agreement. Said sum shall be paid after CITY receives invoices submitted by SUBRECIPIENT as provided hereinabove. Pursuant to said Budget, SUBRECIPIENT shall receive up to $151,468 in ESG funds for Emergency Shelter — Operations at The Link. The amount of funds, up to $151,468, reimbursed to SUBRECIPIENT for Emergency Shelter — Operations at The Link pursuant to this AGREEMENT, shall apply toward the funds that the CITY owes to SUBRECIPIENT for operation of The Link pursuant to Agreement No. A-2018-221, as amended. �• ' •. A. Amount and Expenditure End Date The CITY agrees to reimburse the SUBRECIPIENT a maximum amount not to exceed $276,468 from Emergency Solutions Grant (ESG) funds, as outlined in Exhibit B, Final Budget, and such funds shall be expended by the SUBRECIPIENT on or before June 30, 2021. SUBRECIPIENT has the ability to adjust line item amounts in the Budget with the written approval of the CTTY's Executive Director of the Community Development Agency, so long as the total Budget amount does not increase. B. Invoicing Procedures The SUBRECIPIENT shall submit quarterly invoices (on or before the 15' day of October, January, April, and July) in a form prescribed by the CITY, detailing such expenses. Such schedule may be modified with the approval of the CITY. C. Pavment Payment is subject to the receipt and approval of such invoices and quarterly activity reports, as hereinafter more fully set forth below under Reporting, with the final payment subject to the satisfaction of the condition precedent of submittal of complete invoicing and reporting information due on or before July 15 of the applicable funding year. The CITY shall pay such invoices within thirty (30) days after receipt thereof, provided the CITY is satisfied that such expenses have been incurred within the scope of this AGREEMENT and that the SUBRECIPIENT is in compliance with the terms and conditions of this AGREEMENT. The thirty (30) day period will discontinue if the reimbursement request is determined to be incomplete and will restart the thirty -day timeline once the remaining required elements have been submitted. Failure to provide any of the required documentation and reporting will cause the CITY to withhold all or a portion of a request for reimbursement until such documentation and reporting has been received and approved by the CITY. D. Use of Funds The SUBRECIPIENT agrees to use said funds pursuant to this AGREEMENT to pay for necessary and reasonable costs allowable under federal law and regulations to operate said program only. Said amounts shall include and will be limited to, street outreach, emergency shelter, homelessness prevention, rapid re -housing assistance, housing relocation and stabilization services, short-term and medium -term rental assistance, and Homeless Management Information Systems ("HMIS") data contribution as set forth in 24 CFR § 576.101 — § 576.107. Allowable program costs are detailed in the Budget, as set forth in Exhibit B, attached hereto and by this reference incorporated herein. The SUBRECIPIENT'S failure to perform as required may, in addition to other remedies set forth in this AGREEMENT, result in readjustment of the amount of funds the CITY is otherwise obligated to pay to the SUBRECIPIENT pursuant to the terms hereof. The SUBRECIPIENT agrees that the homeless shelter/services under said program shall be available for the entire period during which said funds are provided. E. Condition of Funding (1) The CITY advises the SUBRECIPIENT that a significant change in entitlement funding may result in a change in the current process utilized by the CITY to determine funding allocations. The SUBRECIPIENT acknowledges that the obligation of the CITY is contingent upon the availability of Federal, State or Local 60A-47 government funds, which are appropriated or allocated for the payment of such an obligation. If funding levels are significantly affected by Federal budgeting or if funds are not allocated and available for the continuance of the function performed by the SUBRECIPIENT, this AGREEMENT may be terminated by the CITY at the end of the period for which funds are available. At the earliest opportunity, the CITY shall notify the SUBRECIPIENT of any service which may be affected by a shortage of funds. No penalty shall accrue to the CITY in the event this provision is exercised and the CITY shall not be liable for any damages as a result of termination under this provision of this AGREEMENT. Nothing herein shall be construed as obligating the CTfY to expend funds in excess of appropriations authorized by law. (2) The SUBRECIPIENT shall allow representatives of the CITY or HUD to inspect facilities which are used in connection with the AGREEMENT or which implement programs funded under this AGREEMENT. F. Matching The SUBRECIPIENT is required to make matching contributions to supplement the ESG program in an amount that equals or exceeds the amount of ESG funds provided by HUD through the CITY. Such contributions shall be entirely consistent with the Matching Requirements as outlined by 24 CFR § 576.201. The anticipated source and amount of all matching funds contributed by the SUBRECIPIENT will be enumerated in Exhibit B, Final Budget. G. Program Income (1) Definition. Program income means, as provided by 2 CFR 200.80, gross income received by the SUBRECIPIENT directly generated by a grant supported activity, or earned only as a result of the grant agreement during the grant period. For purposes of ESG, program income will also include any amount of a security or utility deposit returned to the SUBRECIPIENT. (2) Use. The SUBRECIPIENT shall use all income received from said funds only for the same purposes for which said funds may be expended pursuant to the terms and conditions of this AGREEMENT. (3) Counts toward Matching. Costs paid by program income may count toward meeting the matching requirements, provided the costs are eligible ESG costs that supplement the program. H. Separation of Accounts All funds received by the SUBRECIPIENT from the C1TY pursuant to this AGREEMENT shall be maintained separate and apart from any other funds of the SUBRECIPIENT, or of any principal or member of the SUBRECIPIENT, in an account (the "Account') at a federally insured banking or savings and loan institution with record keeping of such Accounts maintained pursuant to applicable legal requirements. The SUBRECIPIENT shall keep all records of the Account in a manner that is consistent with generally accepted accounting principles. No monies shall be withdrawn from the Account except for expenditures relating to essential services, homeless prevention, and/or operations costs, as authorized hereunder. All disbursements from the Account shall be for obligations incurred in the performance of this AGREEMENT and shall be supported by contracts, invoices, vouchers, and other data, as appropriate, evidencing the necessity of such expenditure. The CITY may withhold payment allocation requests if the SUBRECIPIENT fails to comply with the above requirements until such compliance is demonstrated. I. Expenditure of Funds Much like how HUD requires the CITY, pursuant to 24 CFR 576.203, to expend all of the grant funds for eligible activity costs within 24 months after the date that HUD signs the grant agreement with the CITY, it is a requirement for the SUBRECIPIENT to expend all of the grant funds for eligible activity costs within the Z' • aforementioned period. For the purposes of this paragraph, expenditure means either an actual cash disbursement for a direct charge for a good/service or an indirect cost, or the accrual of a direct charge for a good/service or an indirect cost. Failure to expend said funds within said timeframe can result in a reallocation of funds. Prohibited Use (1) Generally. The SUBRECIPIENT hereby certifies and agrees that it will not use funds provided through this AGREEMENT to pay for meals for persons other than those identified as homeless or at risk of homelessness. Said funds shall not be used for entertainment purposes or for gifts. The SUBRECIPIENT certifies that it will not use said funds for illegal or dishonest conduct, rather, fund use will remain in compliance with all applicable federal, state, and local laws, including applicable laws not outlined in this AGREEMENT. (2) Lobbying. The SUBRECIPIENT certifies and agrees that it will comply with federal law (31 U.S.C. 1352) and regulations found at 24 CFR Part 87, which provide that no appropriated funds may be expended by the recipient of a federal contract, grant, loan, or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, Member of Congress, or an officer or employee of a Member of Congress in connection with awarding of any federal contract, the making of any federal grant or loan, entering into any cooperative agreement and the extension, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement. The SUBRECIPIENT shall sign a certification to that effect in a form as set forth in Exhibit C, attached hereto and by this reference incorporated herein. The SUBRECIPIENT shall submit said signed certification to the CITY prior to performing any of its obligations under this AGREEMENT and prior to any obligation arising on the part of the CITY to pay any sums to the SUBRECIPIENT under the terms and conditions of this AGREEMENT. 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 a 'Disclosure Form to Report Lobbying," in accordance with its instructions (see Exhibit D). IV. NOTICES The SUBRECIPIENT and the CITY agree that all notices required by this AGREEMENT shall be made in writing and delivered via mail (postage prepaid); commercial courier; personal delivery; or sent by facsimile or other electronic means (provided that receipt is confirmed). Any notice delivered or sent as aforesaid shall be effective on the date of delivery or sending. All notices and other written communications under this AGREEMENT shall be addressed to the individuals in the capacities indicated below, unless modified by subsequent written notice. Communication and details concerning the AGREEMENT shall be delivered to the office of, and directed to, the following representatives: CITY: Terri Eggers Homeless Services Manager City of Santa Ana Community Development Agency (M-25) 20 Civic Center Plaza P.O. Box 1988 Santa Ana, CA 92702-1988 (714) 647-5378, teggers@santa-ana.org f.Y�l:1:�:[N191:I�Y W Larry Haynes Executive Director Mercy House Living Centers, Inc. P.O. Box 1905 Santa Ana, CA 92701 714-836-7188 �• V. GENERAL CONDITIONS A. Coordination with Continuum of Care The SUBRECIPIENT must work with the Continuum of Care ("CoC") to ensure the screening, assessment, and referral of program participants are consistent with the CITY's written standards for providing ESG assistance as described in its consolidated plan. The SUBRECIPIENT must keep documentation evidencing the use of, and written intake procedures for, the centralized or coordinated assessment system(s) developed by the CoC in accordance with the requirements established by HUD. See 24 CFR 576.400. B. Evaluation of Program Participants Eligibility and Needs The SUBRECIPIENT must conduct evaluations and re-evaluations to determine the eligibility of each individual or family's eligibility for ESG assistance in accordance with 24 CFR 576.401. C. Terminating Assistance If a program participant violates program requirements, the SUBRECIPIENT may terminate the assistance in accordance with a formal process established by the SUBRECIPIENT that recognizes the rights of individuals affected. See 24 CFR 576.402 D. Shelter and Housing Standards The SUBRECIPIENT certifies that shelters and housing supported by ESG funds and used by ESG beneficiaries will conform to 24 CFR 576.403. E. Homeless Involvement The SUBRECIPIENT certifies that it will involve, to the maximum extent practicable, homeless individuals and families in constructing, renovating, maintaining, and operating facilities assisted under the ESG program, and in providing services for occupants of these facilities. See 24 CFR 576.405(c) and 42 USC 11375(d). F. Independent Contractor Nothing contained in this AGREEMENT is intended to, or shall be construed in any manner, as creating or establishing the relationship of employer/employee between the parties. The SUBRECIPIENT and its subcontractors shall at all times remain independent contractors with respect to the services to be performed under this AGREEMENT. The CITY shall be exempt from payment of any Unemployment Compensation, FICA, retirement, life and/or medical insurance and Workers' Compensation Insurance as the SUBRECIPIENT is an independent contractor. 60A-50 G. Subcontracts (1) Content Requirements. The SUBRECIPIENT will include all relevant provisions of this AGREEMENT in all subcontracts entered into as part of the activities undertaken in furtherance of this AGREEMENT and will take appropriate action pursuant to any subcontract upon a finding that the subcontractor is in violation of regulations issued by any federal agency. The SUBRECIPIENT will not subcontract with any entity where it has notice or knowledge that the latter has been found in violation of regulations under 24 CFR Part 135 (Economic Opportunities for Low- and Very Low -Income Persons) and will not allow any subcontract unless the entity has first provided it with a preliminary statement of ability to comply with the requirements of these regulations. (2) Submission to the CITY. The SUBRECIPIENT must submit all subcontracts and other agreements that relate to this AGREEMENT to the CITY. H. Licensing The SUBRECIPIENT agrees to obtain and maintain all required licenses, registrations, accreditation, and inspections from all agencies governing its operations. The SUBRECIPIENT shall ensure that its staff and subcontractors shall also obtain and maintain all required licenses, registrations, accreditation and inspections from all agencies governing the SUBRECIPIENT's operations hereunder. Such licensing requirements include obtaining a City business license, as applicable. I. Responsibilities Toward Employees The SUBRECIPIENT accepts full responsibility for payment of any and all unemployment compensation, insurance premiums, workers' compensation premiums, income tax withholdings, social security withholdings, and any and all other taxes or payroll withholdings required for all employees engaged in the performance of the work and activities authorized by the AGREEMENT. The SUBRECIPIENT accepts full responsibility for providing workers with proper safety equipment and taking any and all necessary precautions to guarantee the safety of workers or persons otherwise affected. J. Insurance and Bonding (1)Generally. The SUBRECIPIENT shall maintain liability and property insurance to cover actionable legal claims for liability or loss which are the result of injury to or death of any person, or damage to property (including property of Grantee) caused by the negligent acts or omissions, or negligent conduct of the SUBRECIPIENT, its employees, agents or subcontractors, to the extent permitted by law, in connection with the activities pursuant to this AGREEMENT. The SUBRECIPIENT shall comply with the bonding and insurance requirements of 2 CFR 200.427, and 2 CFR 200.447. The SUBRECIPIENT shall undertake self-insurance, or shall obtain, at its sole cost, a policy or policies of commercial general liability insurance, or equivalent form. 60A-51 Such insurance shall: (1) name the City of Santa Ana, its officers, agents, employees and volunteers as additional insureds; (2) be primary with respect to insurance or self-insurance programs maintained by the CITY; (3) contain standard separation of insureds provisions; and (4) give to the CITY prompt and timely notice of claim made or suit instituted arising out of the SUBRECIPIENT's operations hereunder. (2) Limits. The SUBRECIPIENT shall maintain, at all times, the following minimum levels of Insurance, and shall, without in any way altering its liability, obtain, pay for, and maintain insurance for the coverages and amounts of coverage not less than those set forth below: a. Workers' Compensation. Amount must comply with State and Federal Laws b. Comprehensive General Liability. $1,000,000 combined single limit of liability for bodily injuries, death, and property damage resulting from any one occurrence, including the following coverages: Premises and Operations; and ii. Broad Form Commercial General Liability Endorsement to include blanket contractual liability (specifically covering, but not limited to, the contractual obligations assumed by the SUBRECIPIENT); Personal Injury (with employment and contractual exclusions deleted); and Broad Form Property Damage coverage. C. The SUBRECIPIENI"s self -insured retention or deductible per line of coverage shall not exceed $25,000 without the permission of the CITY. (3) Proof of Insurance. The SUBRECIPIENT shall furnish the CITY's Clerk of the Council with an insurance certificate from insurance carrier certifying that it carries such insurance and that the policy shall not be canceled nor the coverage reduced except upon thirty (30) days prior notice to the CITY. The SUBRECIPIENT shall, prior to exercising any right under this AGREEMENT: a. furnish properly executed certificates of insurance and additional insured endorsement to the CITY which shall clearly evidence all coverage required above; b. provide that such insurance shall not be materially changed or terminated except on thirty (30) days prior written notice to the CITY; c. maintain such insurance for the period covered by this AGREEMENT; and d. replace such certificates for policies expiring prior to the expiration of this AGREEMENT. (4) Company Rating. All insurance coverage shall be written with a company having an A.M. Best Rating of "A" or better and financial size of VIII or larger. (5) Failure to Comply. In the event of any failure by the SUBRECIPIENT to comply with these provisions, the CITY may, after notice to the SUBRECIPIENT, suspend the program for cause until there is full compliance. 60A-52 K. Zoning. The SUBRECIPIENT agrees that any facility/property used in furtherance of said program shall be specifically zoned and permitted for such use(s) and activity(ies). Should the SUBRECIPIENT fail to have the required land entitlement and/or permits, thus violating any local, state, or federal rules and regulations relating thereto, the SUBRECIPIENT shall immediately make good -faith efforts to gain compliance with local, state, or federal rules and regulations following written notification of said violation(s) from the CITY or other authorized citing agency. The SUBRECIPIENT shall notify the CITY immediately of any pending violations. Failure to notify the CITY of pending violations, or to remedy such known violation(s), shall result in termination of grant funding hereunder. The SUBRECIPIENT must make all corrections required to bring the facility/property into compliance with the law within sixty (60) days of notification of the violation(s); failure to gain compliance within such time shall result in termination of grant funding hereunder. L. Displacement and Relocation. The SUBRECIPIENT must assure that it has taken all reasonable steps to minimize displacement of persons. Relocation must be consistent with requirements as set forth in 24 CFR § 576.408. M. Provisions Required by Law Deemed Inserted. Each and every provision of law and clause required by law to be inserted in this contract shall be deemed to be inserted herein and the AGREEMENT shall be read and enforced as though it were included herein, and if through mistake or otherwise any such provision is not inserted or correctly inserted, then upon the application of either party the contract shall forthwith be physically amended to make such insertion or correction. Vl. ASSURANCES AND CERTIFICATIONS A. Non -Profit Status The SUBRECIPIENT certifies that (1) The SUBRECIPIENT is a duly organized and existing non-profit corporation in good standing and authorized to do business under the laws of the State of California and in possession of required non-profit status under the United States Internal Revenue Code [for example, 26 USC § 501(c)(3)]. The SUBRECIPIENT has full right, power, and lawful authority to accept the funding hereunder and to undertake all obligations as provided herein and the execution, performance, and delivery of this AGREEMENT by the SUBRECIPIENT has been fully authorized by all requisite actions on the part of the SUBRECIPIENT. (2) If the SUBRECIPIENT's non-profit status changes at anytime during this AGREEMENT, it will advise the CITY within 15 days. (3) If the SUBRECIPIENT is a private non-profit, it hereby agrees that the members of its Board of Directors will receive no compensation, directly or indirectly, other than reimbursement for expenses, from any funds generated from or because of the ESG program, for their services. (4) As a non-profit, the SUBRECIPIENT acknowledges that administration of its operation and services are subject to the requirements as established in 2 CFR 200. 60A-53 B. Adherence to Federal. State, and Local Laws and Reulations (1) General. The SUBRECIPIENT agrees to comply with all requirements of the ESG program and applicable cross -cutting Federal, State, and Local requirements. (2) Economic Opportunities for Low- and Very Low-income Persons. The SUBRECIPIENT shall ensure that employment and other economic opportunities generated by the Program shall, to the greatest extent feasible, be directed to low- and very low-income persons, particularly those who are recipients of government assistance for housing. Section 3 of the Housing and Urban Development Act of 1968, 12 U.S.C. 1701u, and regulations at 24 CFR part 135 apply, except that homeless individuals have priority over other Section 3 residents in accordance with § 576.405(c). (3) Civil Rights. The SUBRECIPIENT agrees to comply with Title VI of the Civil Rights Act of 1964, as amended, Title VHI of the Civil Rights Act of 1968, as amended, Section 109 of the Title I of the Housing and Community Development Act of 1974, Section 504 of the Rehabilitation Act of 1973, the Americans with Disabilities Act of 1990, the Age Discrimination Act of 1975, and 41 CFR Chapter 60. (4) Nondiscrimination and Equal Employment Opportunity. During the performance under this AGREEMENT, the SUBRECIPIENT shall not discriminate against any employee or applicant for employment based on race, color, creed, religion, sex, age, handicap, disability, ancestry, national origin, marital status, familial status, sexual orientation, or any other basis prohibited by applicable law. The SUBRECIPIENT shall take affirmative action to ensure that all applicants and employees are treated without regard to race, color, creed, religion, sex, age, handicap, disability, ancestry, national origin, marital status, familial status, and sexual orientation. The SUBRECIPIENT shall comply with all provisions of Executive Order 11246, Equal Employment Opportunity, as amended by Executive Orders 11375 and 12086. (5) Nondiscrimination and Equal Opportunity in Participation. The requirements in 24 CFR part 5, subpart A are applicable, including the nondiscrimination and equal opportunity requirements at 24 CFR 5.105(a). The SUBRECIPIENT shall not discriminate against any participant on the ground of race, color, creed, religion, sex, age, handicap, disability, ancestry, national origin, marital status, familiar status, sexual orientation, or any other basis prohibited by applicable law. The SUBRECIPIENT shall, through affirmative outreach, make known that use of the facilities, assistance, and services are available to all on a nondiscriminatory basis. The SUBRECIPIENT must take appropriate steps to ensure effective communication with persons with disabilities. (6) Americans with Disabilities Act. The SUBRECIPIENT agrees to comply with any federal regulations issued pursuant to compliance with the Americans with Disabilities Act which prohibits discrimination and ensures equal opportunity for persons with disabilities in employment, State and Local government services, and public accommodations. (7) Fair Housing. Under section 808(e)(5) of the Fair Housing Act, HUD has a statutory duty to affirmatively further fair housing. HUD requires the same of its funded sub -recipients. The SUBRECIPIENT has a duty to affirmatively further fair housing opportunities for classes protected under the Fair Housing Act. to 60A-54 C. Falsification of Information The SU13RECIPIENr represents and warrants that it has made no false statements to the CITY in the process of obtaining this award of the ESG Funds. D. Drug Free Workplace The SUBRECIPIENT represents and warrants that it has established the following drug -free workplace policy: (1) The unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the workplace for any employee involved in a federally funded program. (2) As an employee working in conjunction with a federally funded program, the employees of the SUBRECIPIENT will be required to: a. Abide by the terms above in statement (1), and b. Notify the appropriate SUBRECIPIENT authorities and CITY officials of any criminal drug statute conviction for a violation occurring in the workplace. Such notification shall be made no later than five (5) days after conviction. (3) The Cri'Y and the United States Department of Housing and Urban Development will be notified within ten days after receiving notice of any such violation. (4) Within thirty (30) days of receiving such notice, appropriate personnel action will be taken against such employee, up to and including termination. (5) Each such employee shall be required to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State or Local health, law enforcement, or other appropriate agency. E. Religious Organization The SUBRECIPIENT may not engage in inherently religious activities, such as worship, religious instruction, or proselytization as part of said program or services. If the SUBRECIPIENT conducts such activities, the activities must be offered separately, in time or location, from said programs or services, and participation must be voluntary for the program participants. The SUBRECIPIENT shall not, in providing program assistance, discriminate against a program participant or prospective program participant on the basis of religion or religious belief. If the SUBRECIPIENT is a religious organization, it retains its independence from Federal, State, and Local governments, and may continue to carry out its mission, including the definition, practice, and expression of its religious beliefs, provided that the religious organization does not use direct ESG funds to support any inherently religious activities. 11 60A-55 The SUBRECIPIENT agrees that rehabilitation of structures by the religious organization in connection with said program must be in sound accord with the provisions under 24 CFR § 576.406. F. Additional Terms between the CITY and HUD The SUBRECIPIENT agrees further that it shall be bound by the standard terms and conditions used in the Grant Agreement between HUD and the CITY and such other rules, regulations, or requirements as HUD may reasonably impose in addition to the aforementioned assurances at or subsequent to the execution of this AGREEMENT by the parties hereto. Immi r, Where employees are engaged in activities not covered under the Occupational Safety and Health Act of 1970, they shall not be required or permitted to work, be trained, or receive services in buildings or surroundings or under working conditions which are unsanitary, hazardous, or dangerous to the participants' health or safety. H. Hatch Act The SUBRECIPIENT agrees that no funds provided, nor personnel employed under this AGREEMENT, shall be in any way or to any extent engaged in the conduct of political activities in violation of the Hatch Act, 5 U.S.C. Section 1501 et seq. I. Davis -Bacon Act All laborers and mechanics employed by contractors or subcontractors in the performance of construction work, including alterations and repairs, in excess of $2,000.00, financed in whole or in part with federal funds shall be paid wages at rates not less than those prevailing on similar construction in the locality as determined in accordance with the Davis -Bacon Act, as amended, 40 U.S.C. sections 276a - 276a-5. Any such construction contract shall include and comply with the required contract provisions and rules set forth in 29 C.F.R. §5.5. Further, the payroll reports (along with the "Statement of Compliance") and basic records are required to be maintained and submitted, or made available, pursuant to 29 C.F.R. §5.5(a)(3). No payment, advance, grant, loan or guarantee of funds shall be approved by the federal agency unless there is on file with the agency a certification by the contractor that the contractor and its subcontractors have complied with the provisions of 29 C.F.R. §5.5. A breach of the contract clauses in 29 C.F.R. §5.5 may be grounds for termination of the contract, and for debarment as a contractor/subcontractor, as provided in 29 C.F.R. §5.12. Labor standards interviews/investigations shall be made as necessary to assure compliance. See 29 C.F.R. §5.6(a)(3). VU. ADMINISTRATIVE REQUIREMENTS A. Generally The following requirements and standards must be complied with: 2 CFR Part 200, et al. SUBRECIPIENT shall procure all materials, property, or services in accordance with the requirements of 2 CFR 200.318-326. B. Procurement (1) Compliance. The SUBRECIPIENT shall comply with current HUD and CITY policies concerning the procurement of equipment, goods, and services, and shall maintain inventory records of all non -expendable 12 personal property as defined by such policy as may be procured with funds provided herein. The SUBRECIPIENT shall report to the CITY all program assets (unexpended program income, property, equipment, etc.), and upon the CITY' S request, such assets shall revert to the CITY upon termination of this AGREEMENT. (2) Pursuant to 2 CFR 200.331 (a) (4), the Indirect Cost Rate for the SUBRECIPIENT's award shall be an approved federally recognized cost rate negotiated between the SUBRECIPIENT and the Federal government, or, if no cost rate exists, the de minims indirect cost rate as defined in 2 CFR 200.414(b) Indirect (F & A) costs shall be used. For this agreement, the de minim c indirect cost of 10% will apply. (3) Use and Reversion of Assets. The use and disposition of equipment under this AGREEMENT shall be in compliance with the requirements of 2 CFR Part 200. C. Reporting Reporting requirements must conform to the policies and procedures as established by the CITY and 24 CFR § 576.500. The SUBRECIPIENT shall submit to the CITY, on or before the 15' day of October, January, April, and July, as part of the Quarterly Report: (1) Payment Request. An original request for reimbursement and true copies of invoices, receipts, agreements, or other documentation supporting and evidencing how the ESG Funds have been expended during the applicable quarter. (2) Quarterly Activities and written cumulative (year-to-date) reports of activities, program accomplishments, new program information, and up-to-date program statistics on expenditures, caseload and activities. Failure to provide any of the required documentation and reporting will cause the CITY to withhold all or a portion of a request for reimbursement until such documentation and reporting has been received and approved by the CITY. (3) Matching. Quarterly certification of match, plus documentation of match source. (4) Any other such reports as the CITY (or HUD) shall reasonably require and/or request, including but not limited to the following information: monthly records of all ethnic and racial statistics of persons and families benefited by the SUBRECIPIENT in the performance of its obligations under this AGREEMENT. D. Record Keeping Sufficient records must be established and maintained to enable the CITY and HUD to determine whether the ESG requirements are being met. Record keeping requirements must conform to the policies and procedures as established by the CITY. All accounting records, reports, all evidence pertaining to costs, expenses, and ESG Funds of the SUBRECIPIENT, and all documents related to this AGREEMENT shall be maintained and kept available at the SUBRECIPIENT'S office or place of business for the duration of the AGREEMENT and thereafter for five (5) years post -completion of an audit in conformity with the ESG requirements, except as hereinafter provided relating to retention of any records or documentation existing, created, or maintained in compliance with Lead -based Paint regulations, which likely require longer retention as outlined below. Records which relate to (a) complaints, claims, administrative proceedings or litigation arising out of the performance of this AGREEMENT, or (b) costs and expenses of this AGREEMENT to which the CITY or any other governmental agency takes exception, shall be retained beyond the five (5) years until complete resolution or 13 60A-57 disposition of such appeals, litigation claims, or exceptions. All said records must be retained for the greater of the aforementioned duration or the periods specified in 24 CFR 576.500(y). All records relating to, or created or maintained in compliance with, the Lead -Based Paint regulations shall be retained and maintained by the SUBRECIPIENT indefinitely, including without limitation, all inspection report(s), disclosure statement(s), and clearance report(s). Copies made by microfilming, photocopying, or similar methods may be substituted for the original records. The CITY, HUD and auditors shall have the right to access all the SUBRECIPIENT records for as long as the records are retained by the SUBRECIPIENT. In the event the SUBRECIPIENT does not make the above -referenced documents available within the City of Santa Ana, California, the SUBRECIPIENT agrees to pay all necessary and reasonable expenses incurred by the CITY in conducting any audit at the location where said records and books of account are maintained. The SUBRECIPIENT agrees to meet the requirements set forth in 24 CFR § 576.500. E. Homeless Management Information Systems (HMIS) (1) Generally. The SUBRECIPIENT must ensure that data on all persons served and all activities assisted under ESG are entered into the applicable community -wide ID41S in the area in which those persons and activities are located, or with the express knowledge and written consent of the CITY, a comparable database, in accordance with HUD's standards on participation, data collection, and reporting under a local HMIS. (2) HMIS Agency Agreement. The SUBRECIPIENT shall have an agreement in place with the HMIS lead agency to participate in the regionally HMIS system. A copy of the SUBRECIPIENTS agreement with the HMIS lead agency shall be attached to this agreement as Exhibit F. In the case of Domestic Violence service providers or other agencies prohibited from entering data into HMIS, documentation from the HMIS lead agency certifying that the SUBRECIPIENT is using a comparable database shall be attached to this agreement as Exhibit E. (3) HMIS Interagency Data Sharing Agreement. The SUBRECIPIENT shall enter into an Interagency Data Sharing Agreement with the HMIS Lead Agency where the SUBRECIPIENT agrees to share HMIS data with other ESG funded agencies regarding clients that are served in ESG funded programs, unless prohibited by law. A copy of such agreement shall be attached as Exhibit F-1. (A.) The SUBRECIPIENT agrees to provide 211 OC with all required data needed to complete data analysis regarding project performance, data timeliness, or data quality. F. Audit Report Requirements The SUBRECIPIENT agrees that if the SUBRECIPIENT expends Seven Hundred Fifty Thousand Dollars ($750,000.00) or more in federal funds, the SUBRECIPIENT shall have an annual audit conducted by a certified public accountant in accordance with the standards as set forth and published by the United States Office of Management and Budget (2 CFR 200.501 a). The SUBRECIPIENT shall provide the CITY with a copy of said audit by April 1 of the year following the program year in which this AGREEMENT is executed. Further, the SUBRECIPIENT shall comply and/or cause compliance with audit report(s) required by applicable provisions of the Lead -Based Paint Regulations as further detailed below. VIU. EVALUATION AND MONITORING A. Generallv 14 �� • The CITY will monitor the performance of the SUBRECIPIENT against goals and performance standards as required herein. The SUBRECIPIENT shall provide the CITY all necessary reporting information as required by the CITY in the administration and review of the Program. Substandard performance as determined by the CITY will constitute noncompliance with this AGREEMENT. If action to correct such substandard performance is not taken by the SUBRECIPIENT within a reasonable period of time after being notified by the CITY, contract suspension or termination procedures will be initiated. B. Access to Records The SUBRECIPIENT gives the CITY and HUD, including their authorized representative, access to and the right to examine all records, books, papers, items, emails, and documents, both physical and electronic, relating to the program. C. Audit The CITY shall have the right to audit and monitor any program income as a result of an ESG activity. Upon request by the CITY and for audit purposes, the SUBRECIPIENT further agrees to provide all files, records, and documents pertaining to related activities and clientele demographic data. IX. LIABILITY A. Generally Each party to this AGREEMENT acknowledges that it will be liable for its own negligent acts or negligent omissions by or through itself, its employees, agents, and subcontractors. Each party further agrees to defend itself and themselves, and to pay any judgments and costs arising out of such negligent acts or omissions, and nothing in this AGREEMENT shall impute or transfer any such liability from one to the other. In other words, the SUBRECIPIENT agrees to be fully responsible for its negligent acts or omissions, or any intentional tortuous acts which result in claims or suits against the CITY, and agrees to be liable for any damages proximately caused by said acts or omissions. Nothing herein shall be construed as consent by a State or CITY agency or subdivision to be sued by third parties in any matter arising out of any contract, and nothing herein is intended to serve as a waiver of sovereign immunity where sovereign immunity applies. B. CITY not Liable for Funds The SUBRECIPIENT further acknowledges that the source of the ESG Funds is a federal pass -through grant to the SUBRECIPIENT. The CITY shall have no obligation to advance or pay the SUBRECIPIENT with any funds other than the ESG Funds the CITY receives from HUD. C. Hold Harmless The SUBRECIPIENT shall defend, indemnify and save harmless the CITY, its officers, agents, employees, representatives, volunteers, and student externs from and against any and all damages to property or injuries to or death of any person or persons, including property and employees or agents of the CITY, and shall defend, indemnify and save harmless the CITY, its officers, agents, employees, representatives, volunteers, and student externs from and against any and all claims, demands, suits, actions or proceedings of any kind or nature, including, but not by way of limitation, workers compensation claims and attorney fees/expenses for litigation or settlement, resulting from or arising out of the negligent or wrongful acts, errors or omissions of the SUBRECIPIENT, its officers, directors, employees, agents, subcontractors, and suppliers arising out of the is 60A-59 SUBRECIPIENT's performance of this AGREEMENT. X. ENVIRONMENTAL CONDITIONS A. Generally ESG activities are subject to environmental review by HUD under the environmental regulations in 24 CFR 50. The SUBRECIPIENT, or any contractor of the SUBRECIPIENT, may not acquire, rehabilitate, convert, lease, repair, dispose of, demolish, or construct property for a project under this part, or commit or expend HUD or local funds for eligible activities under this part, until HUD has performed an environmental review under 24 CFR part 50 and the recipient has received HUD approval of the property. The SUBRECIPIENT agrees to comply with all applicable environmental requirements insofar as they apply to the performance of this AGREEMENT, including but not limited to the Clean Air Act, the Federal Water Pollution Control Act and the Flood Disaster Protection Act. If applicable, the SUBRECIPIENT also shall comply with the Historic Preservation requirements of National Historic Preservation Act of 1966. B. Lead -based paint remediation and disclosure The Lead -Based Paint Poisoning Prevention Act (42 U.S.C. 4821-4846), the Residential Lead -Based Paint Hazard Reduction Act of 1992 (42 U.S.C. 4851-4856), and implementing regulations in 24 CFR part 35, subparts A, B, H, J, K, M, and R apply to all shelters assisted under ESG program and all housing occupied by program participants that were built before 1978. C. Assignment of Responsibilities By this AGREEMENT, the SUBRECIPIENT will accept assignment from the CITY of all responsibilities set forth in Subpart K of 24 CFR 35. D. Compliance with Subpart K The purpose of Subpart K is to establish procedures to eliminate as far as practicable lead -based paint ("LBP") hazards in a residential property that receives Federal assistance under certain HUD programs for acquisition, leasing, support services, or operation. In connection with the grant funds under this AGREEMENT, the CITY requires that the SUBRECIPIENT comply and show evidence of compliance with all applicable subparts of 24 CFR 35, and especially, Subpart K ("LBP Regs"). The SUBRECIPIENT shall conduct the following activities for the dwelling unit, common areas servicing the dwelling unit, and the exterior surfaces of the building in which the dwelling unit is located: (1) A visual assessment of all painted surfaces in order to identify deteriorated paint; (2) Paint stabilization of each deteriorated paint surface, and clearance, in accordance with §§ 35.1330(a) and (b), before occupancy of a vacant dwelling unit or, where a unit is occupied, immediately after receipt of Federal assistance; and (3) Ongoing lead -based paint maintenance activities into regular building operations, in accordance with § 35.1355(a), if the dwelling unit has a continuing, active financial relationship with a Federal housing assistance program, except that mortgage insurance or loan guarantees are not considered to constitute an active programmatic relationship for the purposes of this part. 16 (4) And, notice to occupants in accordance with §§ 35.125(b)(1) and (c), describing the results of the clearance examination. E. Notification of LBP Hazard The SUBRECIPIENT shall provide to all occupants of housing: (1) In accordance with Section 35.130 of the LBP Regs - the LBP hazard information pamphlet. The pamphlet shall be the EPA41UD/Consumer Product Safety Commission lead hazard information pamphlet or an EPA -approved equivalent. The current form and version of the pamphlet can be found at: http://www.hud.gov/offices/lead/library/enforcement/fs-disci.pdf (2) In accordance with 24 CFR 35, Subpart A, all available information and knowledge regarding the presence of LBP and LBP hazards prior to leasing a housing unit. (3) In accordance with 24 CFR 35, Subpart A, notification in writing of the results of the presumption of LBP and/or LBP hazards, results of any lead hazard evaluation, and any lead hazard reduction work. F. LBP Information Summary For purposes of information only and in no respect intended to be a representation or warranty of the provisions of the LBP Regulations, the CITY has caused to be prepared an information summary relating to the LBP Regulations and Application to dwelling units that may be occupied by recipients of services and/or funding from the SUBRECIPIENT under this AGREEMENT. CITY staff will cooperate with and be available to the SUBRECIPIENT to assist in implementation of compliance with the LBP Regs as to residential dwelling units to be assisted by the SUBRECIPIENT. The parties acknowledge and agree the CITY shall not be liable or responsible for the accuracy of such summary, and the SUBRECIPENT is directed to the LBP Regulations and implementing guidance published and provided by HUD relating to compliance with such LBP Regulations. G. Exemptions Section 35.115(a) provides exemptions from Subparts B through R. For example, lead -based paint requirements do not apply to housing assistance if the assistance lasts less than one hundred (100) days. XI. CONFLICTS OF INTEREST The SUBRECIPIENT shall comply with 2 CFR 200.112 with respect to the use of program funds to procure services, equipment, supplies, or other property. With respect to all other decisions involving the use of program funds, the following restriction shall apply: No person who is an employee, agent, consultant, officer, or elected or appointed official of the SUBRECIPIENT and who exercises or has exercised any functions or responsibilities with respect to assisted activities, or who is in a position to participate in a decision making process or gain inside information with regard to such activities, may obtain a personal or financial interest or benefit from the activity, or have an interest in any contract, subcontract, or agreement with respect thereto, or the proceeds there under, 17 60A-61 either for himself or herself, or for those with who he or she has family or business ties, during his or her tenure or for one (1) year thereafter. The SUBRECIPIENT agrees to abide by the ESG Program's Conflict of Interest provisions as expressly detailed in 24 CFR § 576.404 regarding Organizational Conflicts of Interest and Personal Conflicts of Interest. All contractors of the SUBRECIPIENT must comply with the same requirements that apply to the SUBRECIPIENT under this section. XII. ASSIGNABILITY None of the duties of, or work to be performed by, the SUBRECIPIENT under this AGREEMENT shall be subcontracted or assigned to any agency, consultant, or person without the prior written consent of the CITY. The SUBRECIPIENT must submit all subcontracts and other agreements that relate to this AGREEMENT to the CITY. No subcontract or assignment shall terminate or alter the legal obligations of the SUBRECIPIENT pursuant to this AGREEMENT. XIII. EXCLUSIVITY OF AGREEMENT This AGREEMENT supersedes any and all other agreements, either oral or in writing, between the parties hereto with respect to the use of the CITY's ESG Funds by the SUBRECIPIENT and contains all the covenants and agreements between the parties with respect to such ESG Funds in any manner whatsoever. 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, and that no other agreement or amendment hereto shall be effective unless executed in writing and signed by both the CITY and the SUBRECIPIENT. XIV. AMENDMENTS OR MODIFICATIONS The SUBRECI IENT shall not obligate, encumber, spend, or otherwise utilize program funds for any activity or purpose not included or not in conformance with the budget as apportioned and as submitted to the CITY unless: (1) The SUBRECIPIENT has received explicit written approval from the CITY to undertake such actions, or (2) Budget changes may be made among approved program activities and among approved budget categories so long as the specific project activity has been approved, there is no change to the total grant amount, and the changes to the budget are documented. Any program modification request by the SUBRECIPIENT must be requested at least forty-five (45) days prior to the end of the term of this AGREEMENT. No modification to this AGREEMENT shall be binding by either party unless in writing and signed by both parties. In the event that the CITY approves any amendment to the funding allocation, the SUBRECIPIENT shall be notified in writing and such notification shall constitute an official amendment. The CITY may, at its discretion and upon provision of proper notice AGREEMENT to conform with changes in Federal, State, and/or the directives, and objectives. Such amendments shall be incorporated by AGREEMENT. IE to the SUBRECIPIENT, amend this CITY laws, regulations, guidelines, written amendment as a part of this 60A-62 XV. VIOLATION OF TERMS AND CONDITIONS A. Termination If, due to any cause, the SUBRECIPIENT fails to comply with the terms, conditions or requirements of this AGREEMENT, or any prior AGREEMENT whereby ESG funds were received by the SUBRECIPIENT, whether stated in a Federal statute or regulation, an assurance, a State plan or application, a notice of award, or elsewhere, the CITY may terminate or suspend this AGREEMENT in accordance with 2 CFR 200.339 and in accordance with 2 CFR 200.340 by giving written notice, and the CITY may request in writing that all or some of the grant funds be returned even if the SUBRECIPIENT has expended the funds. If the SUBRECIPIENT reports inaccurately, or if on audit there is a disallowance of certain expenditures, the SUBRECIPIENT agrees to remedy the acts or omissions causing the disallowance and repay the CITY all amounts spent in violation thereof. If the SUBRECIPIENT engaged in fraudulent activity to obtain and/or justify expenditure of the ESG funds granted hereunder, the SUBRECIPIENT shall be required to reimburse the CITY of all such funds that were obtained and/or spent under fraudulent circumstances, and the CITY reserves the right to take other remedies that may be legally available. The SUBRECIPIENT agrees to return all funds as requested by the CITY under this section within thirty (30) days of receipt of the written request. Any objections regarding terminations or suspensions shall be made by the SUBRECIPIENT in writing and mailed to the CITY pursuant to the above NOTICES section. XVI. CLOSE-OUT The SUBRECIPIENT agrees to comply with the closeout procedures detailed in 2 CFR 200.343, including the following: 1. SUBRECIPIENT must submit, no later than ninety (90) calendar days after the end date of the period of performance, all financial, performance, and other reports as required by the terms and conditions of the Federal award; 2. Unless the CITY authorizes an extension, SUBRECIPIENT must liquidate all obligations incurred under the Federal award not later than ninety (90) calendar days after the end date of the period of performance as specified in the terms and conditions of the Federal award; 3. SUBRECIPIENT must promptly refund any balances of unobligated cash that the CITY paid in advance or paid and that is not authorized to be retained by SUBRECIPIENT for use in other projects (See OMG Circular A-129 and 2 CFR 200.345); 4. SUBRECIPIENT must account for any real and personal property acquired with Federal funds or received from the Federal government in accordance with 2 CFR 200.310-200.316 and 200.329; and, 5. The CITY should complete all closeout actions for the Federal award no later than one year after receipt and acceptance of all required final reports. 19 XVH. VALIDITY AND SEVERABHdTY The invalidity in whole or in part of any provision of this ARGREEMENT shall not void or affect the validity of any other provision of this AGREEMENT. Whenever possible, each provision of this AGREEMENT shall be interpreted in such manner as to be effective and valid under applicable law, but if any provision of this AGREEMENT is held to be prohibited by or invalid under applicable law, such provision shall be ineffective only to the extent of such prohibition or invalidity, without invalidating the remainder of such provisions of this AGREEMENT. XVHI. LAWS GOVERNING THIS AGREEMENT This AGREEMENT shall be governed by and construed in accordance with the laws of the State of California, and all applicable federal laws and regulations. XIX. WAIVER No delay or omission by the CITY hereto to exercise any right or power accruing upon any noncompliance or default by the SUBRECIPIENT with respect to any of the terms of this AGREEMENT shall impair any such right or power or be construed to be a waiver thereof. A waiver by either of the parties hereto of any of the covenants, conditions, or agreements to be performed by the other shall not be construed to be a waiver of any succeeding breach thereof or of any other covenant, condition, or agreement herein contained. 20 XX. AGREEMENT DOCUMENT, EXHIBITS, AND ATTACHMENTS All of the attachments and exhibits attached to this AGREEMENT are deemed incorporated by reference. This document may be executed in three (3) counterparts, each of which shall be deemed to be an original. 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 the CITY fully, including reasonable costs and attorney's fees, for any injuries or damages to the CITY in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. IN WITNESS WHEREOF, the parties hereto have executed this AGREEMENT on the date and year first above written. ATTEST: DAISY GOMEZ Clerk of the Council APPROVED AS TO FORM: SONIA CARVALHO City Atto y By: RYM b. H DGE Assistant C4 Att mey RECOMMENDED FOR APPROVAL: STEVEN A. MENDOZA Executive Director Community Development Agency CITY OF SANTA ANA a municipal corporation KRISTINE RIDGE City Manager LYillt�C� Ii171�I�YlA ffarrAlaynes Executive Director Mercy House Living Centers, Inc. Tax ID: 33-0315864 DUNS #: 87-979-7165 21 City of Santa Ana Scope of Work Name of Organization Mercy House Living Centers Name of Funded Program Homeless Prevention Program Annual Accomplishment Goal I. Total number of unduplicated clients (Santa Ana and Non -Santa Ana Residents) anticipated to be served by the funded pro ram, named above, during the 12-month contract period. 150 Persons II. Number of unduplicated Santa Ana residents expected to be served by the funded program during the 12-month contract period. 35 Persons Program and Funding Description III. Description of Work - In the space below, describe the program to be funded during the 12-month contract period. What specific activities will be undertaken during the contract period. Please be concise in your response. Only the viewable space will print. The Homeless Prevention program provides short term financial assistance and case management to Santa Ana Resident households who are at -risk of homelessness and who without assistance would become homeless. Mercy House anticipates serving 35 people during the grant term. Schedule of Performance Estimate the number of unduplicated Santa Ana residents to be served by the funded program during the 12-month contract period per quarter. (Enter number of new Santa Ana clients served each quarter. If they were served in quarter 1 do not count them again in quarter Quarter 1: July 1 - September 30 Quarter 2: October 1 -December 31 Quarter 3: January 1 - March 31 Quarter 4: April 1 -June 30 Persons Persons Persons Persons Total unduplicated Santa Ana Residents to be served. Schedule of Invoicing Estimate the amount of grant funds to be requested during the 12-month contract period on a quarteriv basis. Quarter 1: July 1 - September 30 Quarter 2: October 1 - December 31 Quarter 3: January 1 - March 31 Quarter 4: April 1 -June 30 Total Grant Exhibit A 61YA 8'6 ESG Funded Personnel Name of Organization: Mercy House Living Centers Name of Program Homeless Prevention Program Program Staff Position Title (only list funded positions) Budget Category Annual Salary Hourly Rate Approximate # of Hours per month serving Santa Ana Total Amount Requested Case Manager Case Mgr $ 38,480 $ 18.50 13% $5,000 Total ESG Requested $ 5,000.00 60A-67 ESG Final Budget Organization Name Mercy House Living Centers Program Name Homeless Prevention Expenditures Category Expenses Funded by Santa Ana Expenses Funded I by Other Sources Total Program Budget Total Organizational Budget Housing Relocation and Stabilization Services Financial Assistance Rent Deposit $ - $ 179,984 Rental Application fees $ _ Utility Deposit $ _ Utility $ - $ 217,892 Moving Costs $ - $ 40,000 Service Assistance $ - $ 1,984,088 Hsg Search & Placement $ - $ 760,000 Case Management 5 a5,OOO$ 26,500 $ 31,500 $ 7,544,978 Mediation $ _ Legal $ _ Credit Repair $ _ Rental Assistance Rent 5 19,500 $ 55,500 $ 75,000 $ 4,764,164 Other Insurance $ - $ 194,992 Professional Fees $ - $ 153,400 Admin/Office $ - $ 481,686 Local Expenses $ - $ 76,418 Indirect Cost S 500 $ 10,500 $ 11,000 $ 1,317,648 Facility Expenses $ $ 6,115,738 Fundraising $ $ 202,201 Total $ 25,000 $ 92,500 $ 117,500 $ 24,033,189 LIST ALL OTHER PROGRAM FUNDS THAT HAVE BEEN SECURED (Total Funds for Program must equal Total Program Budget above) Source Amount Santa Ana $ 25,000 Garden Grove $ 15,000 EFSP $ 37,500 General Funds $ 40,000 Total Funds for the Program $ 117,500 Exhibit B Page 1 of 1 60A-68 City of Santa Ana Scope of Work Name of Organization Mercy House Living Centers Name of Funded Program The Link - Interim Emergency Shelter Annual Accomplishment Goal I. Total number of unduplicated clients (Santa Ana and Non -Santa Ana Residents) anticipated to be served by the funded prolpram, named above, during the 12-month contract period. 3751 Persons IL Number of unduplicated Santa Ana residents expected to be served by the funded program during the 12-month contract period. 3751 Persons Program and Funding Description III. Description of Work - In the space below, describe the program to be funded during the 12-month contract period. What specific activities will be undertaken during the contract period. Please be concise in your response. Only the viewable space will print. Emergency Shelter will be provided to homeless adults and families with ties to the City of Santa Ana at the Link - Interim Emergency Shelter location. While in the program participants will have access to emergency assistance including shelter, meals, and hygiene facilities. Additionally, participants receive assessment and housing navigation services as well as connections to employment, mental health, veteran, and substance use services. Employment and Housing Navigators conduct individual assessment of needs, followed by provision of targeted services (Housing Plan) focused on returning individuals to permanent housing as quickly as possible. Navigators conduct VI-SPDAT assessments and enter participants in the Orange County Coordinated Entry System and prioritization list, ensuring that shelter clients are connected to permanent supportive and rapid rehousing opportunities in the community. Shelter clients are provided assistance to obtain necessary documents, employment guidance and linkages to community resources and meet weekly with their assigned Navigators. ESG funding will be used to support Essential Servces and Operations including expenses associated with the salary and benefits of the site lead and housing navigators at the shelter and logicial staff. Schedule of Performance Estimate the number of unduplicated Santa Ana residents to be served by the funded program during the 12-month contract period per quarter. (Enter number of new Santa Ana clients served each quarter. If they were served in quarter 1 do not count them again in quarter Quarter 1: July 1 - September 30 Quarter 2: October 1 - December 31 Quarter 3: January 1 - March 31 Quarter 4: April 1 -June 30 Persons Persons Persons Persons Total unduplicated Santa Ana Residents to be served. Schedule of Invoicing Estimate the amount of grant funds to be requested during the 12-month contract period on a quarterly basis. Quarter 1: July 1 - September 30 Quarter 2: October 1 - December 31 Quarter 3: January 1 - March 31 Quarter 4: April 1 -June 30 $50,490.00 $50,490.00 $50,488.00 $0.00 $ 151,468.00 Total Grant Exhibit A 6VA c19 ESG Final Budget Organization Name Mercy House Living Centers Program Name The Link - Interim Emergency Shelter Expenditures Category Expenses Funded by Santa Ana Expenses Funded by Other Sources Total Program Budget Total Organizational Budget Essential Services Case Management $ 51,468 $ 97,650 $ 149.118 $ 1,157,587 Support Services $ 6,000 $ 6,000 $ 7,186,128 Transportation $ 200,000 $ 200,000 $ 874,100 Shelter Operations Shelter Staff $ 100,000 $ 779,382 $ 879,382 $ 5,159,722 Security Guards $ 560,000 $ 560,000 $ 2,777,000 Facility Expenses $ 661,000 $ 661,000 $ 1,797,461 Equipment Rentals $ 10,000 $ 10,000 $ 37,250 Shelter Supplies $ 315,000 $ 315,000 $ 1,424,027 Insurance $ 10,000 $ 10,000 $ 194,992 Other Misc. Agency Expenses $ $ 2,107,274 Indirect Cost $ 85,134 $ 85,134 $ 1,317,648 Total $ 151,468 $ 2,724,166 1 $ 2,875,634 $ 24,033,189 LIST ALL OTHER PROGRAM FUNDS THAT HAVE BEEN SECURED (Total Funds for Program must equal Total Program Budget above) Source Amount Santa Ana $ 151,468 City of Santa Ana $ 2,724,166 Total Funds for the Program $ 2,875,634 Exhibit B Page 1 of 1 60A-70 Name of Organization: Name of Program Program Staff ESG Funded Personnel Mercy House Living Centers The Link -Interim Emergency Shelter Position Title (only list funded positions) Budget Category Annual Salary Hourly Rate Approximate # of Hours per month serving Santa Ana Total Amount Requested Housing Navigators Essential $ 33,568 $16.14 100% $51,468 Site Lead Operations $ 35,360 $17.00 100% $20,000 Logistics Staff Operations $ 31,200 $15.00 100% $80,000 Total ESG Requested $ 151,468.00 60A-71 City of Santa Ana Scope of Work Name of Organization Mercy House Living Centers Name of Funded Program Rapid Rehousing Program Annual Accomplishment Goal I. Total number of unduplicated clients (Santa Ana and Non -Santa Ana Residents) anticipated to be served by the fund_ ed program, named above, during the 12-month contract period. 5001 Persons II. Number of unduplicated Santa Ana residents expected to be served by the funded program during the 12-month contract period. 12 Persons Program and Funding Description III. Description of Work - In the space below, describe the program to be funded during the 12-month contract period. What specific activities will be undertaken during the contract period. Please be concise in your response. Only the viewable space will print. Mercy House will provide Rapid Rehousing assistance to12 homeless persons who will receive security deposit assistance , rental assistance, case managment and housing search and placement services. It is anticipated that the majority of clients will need medium term assistance (6-12 months). As required by ESG , all referrals for the program will come from the Coordinated Entry System and will have connections to the City of Santa Ana . Priority will be given to those who are exiting directly from The Link emergency shelter. Schedule of Performance Estimate the number of unduplicated Santa Ana residents to be served by the funded program during the 12-month contract period per quarter. (Enter number of new Santa Ana clients served each quarter. If they were served in quarter 1 do not count them again in quarter 2) Quarter 1: July 1 - September 30 3 Persons Quarter 2: October 1 - December 31 7 Persons Quarter 3: January 1 - March 31 2 Persons Quarter 4: April 1 -June 30 0 Persons 12 Total unduplicated Santa Ana Residents to be served. Schedule of Invoicing Estimate the amount of grant funds to be requested during the 12-month contract period on a quarterly basis. Quarter 1: July 1 - September 30 Quarter 2: October 1 - December 31 Quarter 3: January 1 - March 31 Quarter 4: April 1 -June 30 A100000.00 Total Grant ExhibitoA 90-� / 2 ESG Final Budget Organization Name Mercy House Living Centers Program Name Rapid Rehousing Program Expenditures Category Expenses Funded by Santa Ana Expenses Funded I by Other Sources Total Program Budget Total Organizational Budget Housing Relocation and Stabilization Services Financial Assistance Rent Deposit S 19,700 $ 138,556 $ 158,256 $ 179,984 Rental Application fees $ - Utility Deposit $ _ Utility $ 39,151 $ 39,151 $ 217,892 Moving Costs $ 4,320 $ 4,320 $ 40,000 Service Assistance $ 6,624 $ 6,624 $ 1,984,088 Hsg Search & Placement $ 227,978 $ 227,978 $ 760,000 Case Management $ 34,600 $ 903.701 $ 938,301 $ 7,544,978 Mediation $ _ Legal $ Credit Repair $ Rental Assistance Rent $ 42,300 $ 2,058,485 $ 2,100,785 $ 4,764,164 Other Insurance $ 5,285 $ 5,285 $ 194,992 Professional Fees $ 10,080 $ 10,080 $ 153,400 Admin/Office $ 49,196 $ 49,196 $ 481,686 Local Expenses $ 15,264 $ 15,264 $ 76,418 Indirect Cost $ 3,400 $ 69,752 $ 73,152 $ 1,317,648 Facility Expenses $ - $ 6,115,738 Fundraising $ - $ 202,201 Total $ 100,000 $ 3,528,391 $ 3,628,391 $ 24,033,189 LIST ALL OTHER PROGRAM FUNDS THAT HAVE BEEN SECURED (Total Funds for Program must equal Total Program Budget above) Source Amount Santa Ana $ 100,000 HDAP (CA State) $ 167,704 State ESG $ 227,114 Anaheim ESG $ 20,000 Garden Grove TBRA $ 250,000 Huntington Beach TBRA $ 305,694 Anaheim TBRA $ 182,538 Adult ReEntry (CA State) $ 601,819 CA State General Funds $ 550,000 HEAP Funds $ 72,247 Bringing Families Home $ 901,275 Private Funds $ 250,000 Total Funds for the Program $ 3,628,391 ESG Funded Personnel Name of Organization: Mercy House Living Centers Name of Program Rapid Rehousing Program Program Staff Position Title (only list funded positions) Budget Category Annual Salary Hourly Rate Approximate # of Hours per month serving Santa Ana Total Amount Requested Case Manager(s) Case Mgr $ 38,480 $ 18.50 90% $34,600 Total ESG Requested $ 34,600.00 60A-74 Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions This certification is required by the regulations implementing Executive Order 12549, Debarment and Suspension, 29 CFR Part 98, Section 98.510, Participants' responsibilities. The regulations were published as Part VII of the May 26,1988 Federal Reg sx ter (pages 19160-19211). (BEFORE COMPLETING CERTIFICATION, READ INSTRUCTIONS FOR CERTIFICATION - Attached) (1) The prospective recipient of federal assistance funds certifies, by submission of this proposal, that neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any federal department or agency. (2) Where the prospective recipient of federal assistance funds is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. Name and Title of Authorized Representative Signature Date ,01•y1Ia•W& INSTRUCTIONS FOR CERTIFICATION 1. By signing and submitting this proposal, the prospective recipient of federal assistance funds is providing the certification as set out below. 2. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective recipient of federal assistance funds knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the Department of Labor (DOL) may pursue available remedies, including suspension and/or debarment. 3. The prospective recipient of federal assistance funds shall provide immediate written notice to the person to which this proposal is submitted if at any time the prospective recipient of federal assistance funds learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances. 4. The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered transaction," "participant," "person," "primary covered transaction," "principal," "proposal," and "voluntarily excluded," as used in this clause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the person to which this proposal is submitted for assistance in obtaining a copy of those regulations. 5. The prospective recipient of federal assistance funds agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the DOL. 6. The prospective recipient of federal assistance funds further agrees by submitting this proposal that it will include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and voluntary exclusion - Lower Tier Covered Transactions," without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. 7. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to check the List of Parties Excluded from Procurement or Non - Procurement Programs. 8. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. 9. Except for transactions authorized under paragraph 5 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the DOL may pursue available remedies, including suspension and/or debarment. Certification Regarding Lobbying Certification for Contracts, Grants, Loans, and Cooperative Agreements The undersigned certifies, to the best of his or her knowledge and belief, that: (1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, 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 cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contact, grant, loan or cooperative agreement. (2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, 'Disclosure Form to Report Lobbying," in accordance with its instructions. (3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontract, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by 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. Grantee/Contactor Organization Program Title Name of Certifying Officer Signature Date EXgHIIBI9T�2D e� ux- / / SUBRECIPIENT warrants the following: 1. SUBRECIPIENT will comply with Public Law 88-352, Title VI of the Civil Rights Act of 1964 (42 U. S. C. section 2000 et seq.) and implementing regulation in 24 CFR Part 1. 2. No person in the United States shall on the ground of race, color, religion, national origin, or sex, be excluded from participation in, or be denied the benefits of, or be subjected to discrimination under any program or activity funded in whole or in part with community development funds made available pursuant to the ACT. 3. All laborers and mechanics, employed by contractors or subcontractors in the performance of construction work financed in whole or in part with community development funds shall be paid wages at rates not less than those prevailing on similar construction in the locality as determined in accordance with the Davis -Bacon Act, as amended, 40 U. S. C. Sections 276 a 1-5, except for individuals who perform services for which they volunteered; do not receive compensation for such services; or are paid expenses, reasonable benefits, or a nominal fee for such services; and are not otherwise employed at any time in construction work. 4. SUBRECIPIENT will comply with all Federal statutes applicable to projects funded with community development funds, except that (a) SUBRECIPIENT does not assume CITY'S environmental responsibilities described at 24 CFR 570.604; and (b) SUBRECIPIENT does not assume CITY'S responsibility for initiating the review process under Executive Order 12372. 5. 1 Orange County CoC Inter -Agency Data Sharing Memorandum of Agreement The agency agrees to share client data among participating agencies via the LA/OC HMIS (Homeless Management Information System) for the purposes outlined below. Each participating agency must complete and comply with the Agency Agreement. Each individual HMIS user must complete and comply with the HMIS User Agreement. This document is available on the OCHMIS website http://www.ochmis,or,q. Uses of HMIS Data: • Coordinate housing services for families and individuals experiencing homelessness or facing a housing crisis in Orange County • Understand the extent and the nature of homelessness in Orange County • Evaluate performance and progress toward community benchmarks • Improve the programs and services available to Orange County residents experiencing homelessness or a housing crisis • Improve access to services for all Orange County homeless and at -risk populations • Reduce inefficiencies and duplication of services within our community • Ensure that services are targeted to those most in need, including "hard to serve" populations • Ensure that clients receive the amount and type of services that "best fits" their needs and preferences • Pursue additional resources for ending homelessness • Advocate for policies and legislation that will support efforts to end homelessness in Orange County Client Protection: • Informed consent must be given by clients in order for their identifying information to be entered into HMIS and shared among agencies in the LA/OC HMIS (see Orange County HMIS participating agencies on OCHMIS.org). Non -identifying client information may be entered in the system for all clients regardless of whether they give their informed consent and regardless of their domestic violence status. • Only non -identifying information will be entered for clients currently fleeing or in danger from a domestic violence, dating violence, sexual assault or stalking situation. • Identifying client information will only be shared among agencies that have signed this agreement. At the time of informed consent, and at any point after, the client has the right to see a current list of the OC HMIS participating agencies. • Additional agencies may join the LA/OC HMIS and will be added to the list of HMIS participating agencies. As part of the informed consent process, clients must be informed that additional agencies may join the collaborative at any time and will have access to their information. • HMIS Users will maintain HMIS data in such a way as to protect against revealing the identity of clients to unauthorized agencies, individuals, or entities (see the "OC HMIS Client Consent Form," and the "Client Rights Brochure OC" available on the OCHMIS.org website). • Clients may not be denied services based on their choice to withhold their consent. Each party to this memorandum of agreement shall defend, indemnify, and hold all other parties harmless from any and all claims arising out of that party's negligent performance of this agreement. Any loss or liability to third parties resulting from negligent acts, errors, or omissions of a LA/OC HMIS user while acting within the scope of their authority under this Agreement shall be borne by that user exclusively. Agreed to and signed by the following agency representative: Printed Name Signature Agency Name Orange County CoC Inter -Agency Data Sharing Memorandum of Agree vent Updated 9i 60A-79 13I2012 GREATER Los ANGELES & ORANGE COUNTY HOMELESS MANAGEMENT INFORMATION SYSTEM (LA/OC HMIS) PARTICIPATING ORGANIZATION AGREEMENT I. Purpose The HMIS is a HUD -mandated information technology system that is designed to capture client -level information over time, on the characteristics and service needs of homeless persons. Client data is maintained on a central server, which will contain all client information in an encrypted state. HMIS integrates data from all homeless service providers andorganizations in the community and captures basic descriptive information on every person served. Participation inLA/OC HMIS allows organizations to share information with other participating organizations to create a morecoordinated and effective delivery system. The LA/OC HMIS is the secured electronic database for the Greater Los Angeles and Orange Counties and is a valuable resource for local communities. The LA/OC HMIS Collaborative consists of four separate Continuums of Care (CoC). The continuums are: Los Angeles City and County; Santa Ana/Anaheim/Orange County; Glendale; and Pasadena. The LA/OC HMIS Collaborative's goal is to provide a comprehensive case management system to advance the provision of quality services for homeless persons, improve data collection, and promote more responsive policies to end homelessness in the Greater Los Angeles and Orange Counties. II. Agreement and Understanding This Agreement authorizes this Participating Organization (Organization) to designate HMIS Users (User). A User is a staff person entrusted to enter Protected Personal Information (PPI) into the LA/OC HMIS, on behalf of this Organization. In order to allow a User to access the LA/OC HMIS, a User Agreement must be signed by the User, the HMIS Administrator, and this Organization's Authorized Representative. III. Confidentiality and Informed Consent Confidentiality: This Organization must require all Users to abide by its organization's policies and procedures; uphold all privacy protection standards established by the LA/OC HMIS Collaborative Policies and Procedures; and comply with all relevant federal and State of California confidentiality laws and regulations that protect client records. Except where otherwise provided for by law, this Organization shall ensure that confidential client records are released with the client's written consent. Written Consent: To obtain written consent, prior to each client's assessment, each client must be informed that the client's information will be entered into an electronic database called HMIS. The terms of the Consent to Share Protected Personal Information form must also be explained to each client. Clients who agree to have their PPI entered into the LA/OC HMIS must sign the Consent to Share Protected Personal Information form. Verbal Consent: Verbal consent to enter PPI into the LA/OC HMIS may be obtained during circumstances such as phone screenings, street outreach, or community access center sign -ins. Each client must be informed that his or her information will be entered into the HMIS database. The terms of the Consent to Share Protected Personal Information form must also be explained to each client. The client's written consent must be obtained once the client appears for his or her initial assessment. Version 1.5 Page 1 of 3 Modified 1012112015 IV. Client's Rights The client has a right to receive a copy of this notice at the time of request. Each client has the right to receive the following, no later than five (5) business days of a written request: • A correction of inaccurate or incomplete PPI • A copy of his or her consent form • A copy of his or her HMIS records • A current list of participating organizations that have access to HMIS data V. Data Use This Organization must protect HMIS data by ensuring that: • A link to the Privacy Notice is accessed from the Organization's website. • LA/OC HMIS is not accessible to unauthorized users • Ua/OC HMIS is only accessed by computers approved by the Organization • HMIS Users are trained regarding user responsibilities and conduct • HMIS Users sign and comply with the LA/OC HMIS User Agreement • HMIS Users forward a copy of a client's Revocation of Consent to the HMIS Administrator within 24 hours of receipt. VI. Responsibilities This Organization is responsible to ensure that: • The Notice Regarding Collection of Personal Information is posted at each intake desk or comparable location. • HMIS Users do not misuse the system • Clients are notified if a breach of their PPI is discovered • Any HMIS User who finds a possible security lapse on the system is obligated to immediately report it to the HMIS Administrator. • A signed copy of the Consent to Share Protected Personal Information is retained for a period of seven (7) years after the PPI was created or last changed. Al. System Use Computer equipment and services provided by a CoC are intended only for LA/OC HMIS-related activities. Prohibited uses include, but are not limited to: malicious or illegal activities; unauthorized access; the creation, sending and/or storing of fraudulent, threatening, harassing, or obscene messages; inappropriate mass mailing (spamming, flooding, bombing); denial of service attacks; and the creation or intentional distribution of computer viruses, worms, and/or Trojan horses. Equipment, if applicable: All CoC-provided computer equipment including, but not limited to, printers, scanners, laptops and monitors, were provided through grant funds from HUD. The maintenance and upgrades of these devices are subject to the requirements and funding limitations of the HUD grant. Maintenance and/or upgrade costs to equipment, incurred after the HUD grant funds have been exhausted, become the sole responsibility of this Organization. Software, Licenses, and/or Services, if applicable: CoC-provided services to each organization may include, but are not limited to, purchasing and installing Anti -Virus Software and licenses, Firewall software and licenses, Windows software updates and High -Speed Internet Connections. The software and/or services are provided for HMIS purposes through HUD grant funds. The maintenance, upgrades and license purchases are subject to the requirements and funding limitations of the HUD grant. Additional maintenance, upgrades and license purchases, incurred after the grant funds have been exhausted, become the sole responsibility of this Organization. Version 1.5 Page 2 of 3 Modified 1012112015 L11 � � • Vill. Rights and Privileges LA/OC HMIS data is stored in one central database and is owned by the LA/OC HMIS Collaborative. The LA/OC HMIS Collaborative reserves all rights to the HMIS data. Use of the LA/OC HMIS equipment, software, licenses, and/or services is a privilege and is assigned and managed by each HMIS Administrator. IX. Copyright The LA/OC HMIS and other CoC-provided software are protected by copyright and are not to be copied, except as permitted by law or by contract with the owner of the copyright. The number and distribution of copies of any CoC provided software are at the sole discretion of the HMIS Administrator. X. Violations Any violations or suspected violations of any of the terms and conditions of this agreement, the HMIS User Agreement, and/or the HMIS Policies and Procedures, must be immediately and confidentially reported to the HMIS Administrator and the Executive Director or other authorized representative of this Organization. XI. Term This Participating Organization Agreement becomes effective on the date of final execution and shall remain in effect unless terminated pursuant to paragraph XI. Termination, below. XII. Amendment and Termination • The LA/OC CoC reserves the right to amend this agreement by providing a 3-day notice to this Organization. • Either party has the right to terminate this agreement, with or without cause, by providing a 3-day written notice to the other party. • If this agreement is terminated, this Organization shall no longer have access to HMIS or any information therein. The remaining LA/OC HMIS participating organizations shall retain the right to use all client data previously entered by this Organization, subject to any restrictions requested by the client. All organizations that sign this agreement and are granted access to the LA/OC HMIS agree to abide by LA/OC's HMIS Collaborative Policies and Procedures. The signature of the Executive Director or other authorized representative of this Organization indicates acceptance of all terms and conditions set forth in this agreement. This Agreement is executed between the CoC and the Participating Organization. Upon final execution, this Organization will be given access to the LA/OC HMIS. Organization Name Organization Administrator/Authorized Representative (Print Name) Signature CoC Name HMIS Administrator Name (Print Name) Signature Date of Signature Date of Signature Version 1.5 Page 3 of 3 Modified 1012112015 Memorandum of Understanding (MOU) between ORGANIZATIONNAME and The City of Santa Ana W/O/R/K Center 1. PARTIES: The parties to this Memorandum of Understanding (MOU) are and the City of Santa Ana W/O/R/K Center ("Work Center"). 2. PURPOSE: The Work Center, in conjunction with , endeavors to establish a cooperative working relationship between the parties in order to provide program beneficiaries with information about Work Center opportunities to find better jobs and careers. The MOU serves to establish the framework for providing services to employees, job seekers and others needing workforce services. The goal is to ensure that all program beneficiaries have been provided an opportunity to connect with the Work Center and be assisted with the tools and knowledge necessary to enter the workforce or obtain a higher - paying job. 3. RESPONSIBILITIES: A) The Work Center shall perform the following: 1) Accept referrals to the Work Center. B) shall perform the following: 1) Provide Work Center information to participants and their families; and, 2) Refer participants in need of employment, training, or career counseling to the Work Center utilizing the referral form attached hereto as Attachment 1 and incorporated herein by reference. 4. DURATION: This MOU shall commence on July 1, 2019, and shall remain in effect through June 30, 2020. 5. AMENDMENTS: Either party may propose amendments to this MOU at any time by providing written notice to the other party. Amendments to this MOU shall require the approval of the City Manager, or her/his designee ("City Manager"), on behalf of the Work Center. 6. CONFIDENTIALITY: If receives information, which due to the nature of such information is reasonably understood to be confidential and/or proprietary, such information shall not be used or disclosed except in the performance of this MOU, and 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 non-public information. Confidential Z� • 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 MOU. 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 disclosed in a publicly available source; (c) is in rightful possession of without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by without reference to information disclosed by the City of Santa Ana. 7. ACCESSABILITY: ORGANIZATION NAME will assure that its services and premises are accessible to persons with disabilities pursuant to the requirements of the Americans with Disabilities Act. 8. HOLD HARMLESS CLAUSE: Each party to this MOU agrees to indemnify and hold harmless the other parties, their officers, agents, employees, and volunteers from and against any and all loss or damage, and from any and all suits, actions and claims filed or brought by any person or persons arising out of acts or omissions of the party or its officers, agents, employees or volunteers in the performance of this MOU. 9. DISPUTES: The parties shall first attempt to resolve all disputes informally. Any party may call a meeting of all parties to discuss and resolve disputes. Should informal resolution efforts fail, the dispute shall be referred to the City Manager to act as mediator, to attempt to resolve the dispute by holding an informal hearing with presentations by both parties. If the City Manager's resolution efforts fail, any party may file a grievance with the City Manager for review and hearing. The parties agree to be bound by the final determination resulting from that procedure. Each party to bear its own costs associated with any grievance procedures. 10. DISCRIMINATION: 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. affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 11. SEVERABILITY: If any part of this MOU is found to be null and void, or is otherwise stricken, the rest of this MOU shall remain in force. 12. JURISDICTION: Jurisdiction over any disputes arising under this MOU shall reside in Orange County, California. 13. AUTHORITY AND SIGNATURES: The individuals signing this MOU or its attachments have the authority to commit the party they represent to the terms of this MOU, and do so commit by signing. REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 7, 2020 TITLE: APPROVE A PRE -COMMITMENT OF $3,904,341 OF AFFORDABLE HOUSING FUNDS TO COMMUNITY DEVELOPMENT PARTNERS AND MERCY HOUSE FOR THE DEVELOPMENT OF THE WESTVIEW HOUSE PROJECT LOCATED AT 2530 AND 2534 WESTMINSTER AVENUE CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2i1 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 pre -commitment letter with Community Development Partners ("CDP") and Mercy House Community Housing Development Organization ("Mercy House CHDO") for $3,904,341 in affordable housing funds consisting of $1,514,113 in Inclusionary Housing funds, $2,003,705 in HOME Investment Partnerships Program funds and $386,523 in Rental Rehabilitation Program funds for the development of the Westview House affordable housing project located at 2530 and 2534 Westminster Avenue, Santa Ana, CA 92701, (APNs 198-132-21 and 198-132-23), subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION On July 2, 2019, the City Council authorized the Community Development Agency ("CDA") to release a FY 2019 — 2020 Request for Proposals (RFP # 19-063) to develop affordable rental and ownership project(s) in the City of Santa Ana with available funds from the HOME Investment Partnerships Program ("HOME"), Community Development Block Grant Program ("CDBG"), Rental Rehabilitation Program ("RRP") and Inclusionary Housing Fund. The RFP also included one land asset owned by the Housing Authority of the City of Santa Ana. The RFP was prepared in compliance with the City's Affordable Housing Funds Policies and Procedures adopted by City Council on March 20, 2018. Following this approval, on July 3, 2019, CDA issued RFP # 19-063 for Affordable Housing Development. The RFP was published on both the City and Housing Authority's websites and Planet Bids; a public notice was published in the OC Register on July 10, 2019; an e-mail was sent out by Orange County's largest affordable housing membership associations including the Kennedy Commission, 2-1-1 Orange County, and Southern California Association of Nonprofit L. 1 Pre -Commitment of Affordable Housing Funds to Community Development Partners April 7, 2020 Page 3 Housing; and an electronic letter was e-mailed to interested developers and nonprofit organizations who had previously requested to be informed of development opportunities on CDA's RFP Process Database. The first deadline for the City's RFP # 19-063 for Affordable Housing Development closed on Tuesday, October 15, 2019 at 5:00 p.m. The City received four (4) proposals prior to the deadline. The affordable housing developers that submitted a proposal are: Affordable Housing Developers American Family Housing Community Development Partners Innovative Housing Opportunities Premiant Development After the deadline, staff conducted a minimum threshold review of each proposal to ensure compliance with RFP requirements. Following the minimum threshold review, staff formed a Review Panel that consisted of the Executive Director of the City's Public Works Agency, the Executive Director of the Planning and Building Agency, the Executive Director of the Community Development Agency, the Housing Division Manager and the Housing Programs Analyst. Keyser Marston Associates served as an advisor to the Review Panel. In compliance with the City's Affordable Housing Funds Policies and Procedures, the Review Panel used the proposal Scoring and Selection Criteria from the RFP to conduct their review and analysis of each proposal. In addition to the Scoring and Selection Criteria from the RFP, the Review Panel also reviewed the proposed project design for appropriateness for the proposed target group, compatibility with surrounding uses, cost effectiveness of construction, and appropriateness of the design and construction for low maintenance and long term durability. On January 7, 2020, the Review Panel met and interviewed all proposals. On January 23, 2020, the Review Panel met a second time to discuss and deliberate upon the scoring and selection of the proposals. The Review Panel agreed upon the final scores below based on an average of the individual reviewer scores: Housing Final Score Developer Name Project Name Authority (Average of Land Asset Individual Requested Reviewer Scores Community Development Westview House N/A 104 Partners Innovative Housing 2021 E. 4th Street N/A 82 Opportunities Apartments American Family Housing 1921 Washington N/A 70 Premiant Development Twenty Two 302 E. Twenty 60 Residences Second Street �. 1 Pre -Commitment of Affordable Housing Funds to Community Development Partners April 7, 2020 Page 3 Based on the scores above and the deliberative selection and review process followed by the City, the Review Panel recommends the following award for this project: Developer: Community Development Partners and Mercy House CHDO Project Name: Westview House Award Recommendation: Inclusionary Housing funds $1,514,113 HOME Investment Partnerships Program $1,412,643 (HOME) funds HOME Community Housing Development $591,062 Organization (CHDO) funds Rental Rehabilitation Program funds $386,523 Total Financial Award $3,904,341 The pre -commitment letter for Community Development Partners and Mercy House CHDO as the service provider provides the enforceable funding commitment from the City (Exhibit 1) for $3,904,341 in affordable housing funds consisting of $1,514,113 in Inclusionary Housing funds, $2,003,705 in HOME Investment Partnerships Program funds and $386,523 in Rental Rehabilitation Program funds, for the development of the Westview House affordable housing project located at 2530 and 2534 Westminster Avenue, Santa Ana, CA 92706, (APNs 198-132- 21 and 198-132-23). Among various other conditions in the pre -commitment letter, one of the primary conditions is that the developer must provide verification that it has secured all of its remaining financing for the development of the Project in the form of the other enforceable funding commitments in the Project's capital stack, which may include 9% or 4% Federal Low Income Housing Tax Credits, State Housing Tax Credits, a commitment of affordable housing funds from the County of Orange or State of California, Section 8 project -based vouchers from the Orange County or Santa Ana Housing Authority, or any other funding source needed in the Project's capital stack to develop the Project and close on the financing, before staff will return to the City Council for consideration of the Loan Agreements for this Project. The pre -commitment letter is also conditional on the developer securing any and all permits and discretionary approvals that may be required for the Project by the City. The pre -commitment does not obligate the City or any department thereof to approve any application or request for or take any other action in connection with any planning approval, permit or other action necessary for the construction of the project. In compliance with the City's Affordable Housing Funds Policies and Procedures, KMA has conducted a preliminary financial gap analysis to confirm the Project's underwriting, the financial gap, and other programmatic requirements related to the funding sources (Exhibit 2). KMA reviewed the developer's estimates and projections of rents, expenses, reserves and Pre -Commitment of Affordable Housing Funds to Community Development Partners April 7, 2020 Page 3 development costs in accordance with industry -standard underwriting guidelines. Following this financial gap analysis and the procurement and deliberative process described above, staff recommends the full amount of the award to City Council for final approval. Project Description Following the Request for Proposal ("RFP") process, Community Development Partners ("CDP") in partnership with Mercy House Community Housing Development Organization ("Mercy House CHDO") is being recommended by the City of Santa Ana staff as the developers to co -develop an affordable housing community at 2530 and 2534 Westminster Avenue (the "Project"). The proposed name for the Project is the Westview House. Community Development Partners is an experienced multifamily and mixed -use developer focused exclusively on creating and preserving vibrant affordable housing communities with a focus on Southern California, where the company is headquartered. Since 2011, CDP has successfully built a portfolio of 22 unique projects comprising over 1,660 units and $400 million in total development costs. As of August 2019, CDP became a Certified B Corporation ("B-Corp"), a reflection of their dedication to mission and priority of impact over profits. The company's principals have over 30 years of combined experience working with cities and public agencies to bring new investment into existing neighborhoods. CDP has extensive affordable housing financing experience, including securing 4% and 9% low income housing tax credits, and is well versed in navigating regulatory complexities. CDP's long term and multiple deal relationships with various public and private financial partners provide access to external capital resources and expertise in leveraging public financing sources for affordable housing projects. CDP has experience developing and operating communities in Santa Ana including the recently opened permanent supportive housing project The Orchard, and two affordable housing developments currently under construction, Aqua Housing and Tiny Tim Plaza. CDP has formed a qualified team to design and partner with in supporting the ongoing mission of the property. This includes, as co -developer and Managing General Partner, the local non-profit Mercy House CHDO, their specialized supportive services provider affiliate Mercy House Living Centers, development partner Magis Realty, non-profit project architecture firm City Fabrick, The Orangewood Foundation, the Orange County Healthcare Agency, and experienced property management firm Solari Enterprises, Inc. Mercy House CHDO, Inc. was founded in 2007 by Mercy House Living Centers in order to assist and support its existing transitional housing activities. Mercy House CHDO, Inc. is dedicated to providing support and transitional assistance to low- and moderate -income people, with an emphasis on development, construction, and operations of decent, safe, and sanitary housing in the geographic area of Greater Southern California. The work of Mercy House CHDO, Inc. is guided by its mission, to become a community -based developer, owner, and manager of affordable housing. Mercy House has been providing supportive services and comprehensive case management to homeless individuals, veterans, and families in Southern California for over 29 years. As a co -developer and general partner, Mercy House CHDO will work with CDP, particularly within Mercy House's areas of expertise including the project's resident selection, �. 1 Pre -Commitment of Affordable Housing Funds to Community Development Partners April 7, 2020 Page 3 execution of the services plan, and oversight of other service providers and property management. CDP and Mercy House CHDO have been collaborating on affordable housing and permanent supportive housing developments over the last 5 years. Along with completing two projects with permanent supportive housing ("PSH") in Orange County, they have successfully funded and started construction on two additional projects in Santa Ana. CDP and Mercy House CHDO currently have new projects in development together in Riverside, Oxnard, Costa Mesa, and Los Angeles. Additionally, Mercy House CHDO provides the resident services and case management at three CDP projects in Arizona, totaling 191 units. Project Site CDP, in partnership with Mercy House CHDO, is proposing to develop 2.12 acres located on the vacant site at 2530 and 2534 Westminster Avenue. The site is located along Westminster Avenue and Fairview Street. Both routes have regular Orange County Transportation Authority bus service including Route 560 along Westminster Avenue and Route 47 on Fairview. The project is within one mile of two stops on the future OC Streetcar (Westminster/Harbor and Fairview/Civic Center). The Project site is on two (2) contiguous undeveloped parcels and is currently zoned for general commercial. The project will require a zone change and amendment to the current land -use. The City's Planning and Building Agency has completed an initial review of the project and has agreed to recommend this zone change and amendment to the Planning Commission for approval. The development team has worked together to secure necessary entitlements for multiple projects in Santa Ana, and are familiar with the process to receive approval for the zone change and land -use amendment. Most recently, the team began the redevelopment of Tiny Tim Plaza, in the adjacent Pilar Artesia neighborhood and the development of Aqua Housing on 17th Street, a couple miles to the east. Both of these projects required community engagement as part of securing their respective zone changes, land -use amendments and creation of unique specific zones. Proposed Project The proposed project includes 84 new affordable units and 1 manager's unit, with 58 three- and four -bedroom affordable units, and 26 one- and two -bedroom affordable units. A total of 75% of the units will be set aside for extremely low-income households at 30% Area Median Income. The three- and four -bedroom units will be designated for large families, while the one- and two - bedroom units will be designated as PSH for persons experiencing chronic homelessness. Community outreach was conducted to understand whether there were other homeless housing needs that were still being unmet. From this, a partnership developed with the Orangewood Foundation to set aside 10 of the 26 PSH units for Transitional Aged Youth ("TAY") (e.g. emancipated foster youth). The project consists of a single 3 to 4 story building, with multiple wings extending around a series of courtyards and public open space. The larger massing is located on Westminster and tiered lower to the South. The building architecture is modestly contemporary responding to the Pre -Commitment of Affordable Housing Funds to Community Development Partners April 7, 2020 Page 3 commercial conditions of the boulevard while providing a comfortable environment for residents. Much of the street facing ground floor is occupied by resident amenities, as well as spaces for service providers and community partners. The indoor amenities and most apartment homes are oriented around a series of courtyards with a mix of balconies, patios, and decks engaging the common outdoor spaces. Expanded breezeways and upper level deck distribute common outdoor spaces throughout the building. The amenities in the project include a community room, community kitchen, laundry room, computer room, pocket park, picnic/BBQ area, and a tot lot. Resident Services Mercy House will coordinate the delivery of all services including those anticipated to be committed through the Orange County Health Care Agency and Orangewood Foundation. A comprehensive range of services will be offered to assist residents achieve and maintain self- sufficient, healthy and purposeful lives. Working under a Housing First and "Whatever it Takes" philosophy, Mercy House staff utilizes strategies from an array of evidence -based models and practices to ensure residents have access to all required services. The project will provide a full suite of on -site client -centered services for the PSH residents that support wellness, recovery and resiliency to adults diagnosed with a serious and persistent mental illness who are homeless. A Residential Clinical Services Coordinator will ensure that a Supportive Services Plan is enacted for all PSH units and residents have access to needed services to maintain housing, a sense of community and quality of life. Additional supportive services and case management will be provided on site by the Orangewood Foundation to assist TAY resident's transition to permanent housing. Services will be focused on four critical areas: health and wellness, housing, life skills and employment, and education. Highly trained Youth Support Specialists will be available to assist TAY residents in acclimating to their environment and building life skills necessary to maintain housing (financial planning, advocacy, interpersonal skills and communication skills). Lastly, Mercy House will provide wrap -around services and coordination to activate the community amenity spaces on site to meet the needs of all residents. Community Inclusion As part of the development process, the development team has engaged local partners to determine suitable housing types and services, and to identify ideal partners for implementing the project. This engagement has included extensive communications with the United Way of Orange County, Orangewood Foundation and Samueli Academy, the latter of which has led to engaging in a partnership specific to this project. The project will include, a public pocket park, oriented toward the neighborhood, providing a much -needed community asset. The nearest publicly accessible open space, Edna Park, is over a third of a mile away from the project site, and requires traversing multiple major thoroughfares. This pocket park will provide neighbors essential public open spaces, along with play equipment and a picnic area. Pre -Commitment of Affordable Housing Funds to Community Development Partners April 7, 2020 Page 3 Along with the new public park, the development and design team will engage local residents to collaboratively develop community -enhancing projects. Additional opportunities for neighborhood initiatives include tree planting, painting a community mural, or holding a neighborhood event. City Fabrick, the nonprofit design studio, has extensive experience working with residents to select, design, and implement community projects. Further, CDP is committed to providing $100,000 of the developer fee to the Samueli Academy to enhance their programs. An additional contribution of up to $100,000 to Samueli Academy may become available through a $400,000 City -controlled contingency allowance if there are any funds remaining after construction. The development team will work with local businesses to enhance access and connections between the project, its residents, the surrounding neighborhood, and the nearby commercial centers. Recognizing that the nearby commercial centers collectively provide essential daily needs including groceries, self -care, and professional services, within walking distance for residents of the project, and the surrounding residential neighborhood, improving pedestrian access would benefit local residents and businesses alike. This will include identifying means to enhance safety at the corner of Fairview Street and Westminster Avenue, as well as determine ways to establish pedestrian connections between the project site and commercial center to the east. Parking The proposed site plan includes 144 surface parking spaces, of which a portion of the spaces would be tandem spaces assigned to the three -bedroom and four -bedroom apartments. The City allows tandem parking. In terms of the parking ratio, 1.0 parking space per PSH unit and 2.0 parking spaces per family unit is planned for a total parking ratio of 1.7 overall. Typically, PSH units are developed with a ratio of .50 parking space per dwelling unit. The ratio of 1.0 parking space per PSH unit is higher than the industry standard of .50 parking space per PSH unit and will provide additional parking capacity in the event many of the formerly homeless residents secure employment and vehicles. Residents will not be charged for parking. The City's Planning and Building Agency has reviewed this proposed number of 144 surface parking spaces and is willing to consider the 1.7 overall ratio when the project is submitted for site plan review. Unit Mix The target population for Westview House includes large families and special needs homeless individuals with a local preference for residents of the Santa Ana community. Within the project's census block, 61 % are renter -households with a per capita income far below that which would be required to adequately house a family within market rate rentals in the area. To support these families, the project was designed with 58 three- and four -bedroom units. A total of 61 of the project units (75%) are reserved for extremely low-income individuals and families at or below 30% of the Area Median Income (AMI), with the remainder of the units at 60% AMI. There are 26 of the project units (30%) also specifically designated for permanent supportive housing for persons who are experiencing chronic homelessness. The proposed unit mix and rent restrictions are as follows: �. 1 Pre -Commitment of Affordable Housing Funds to Community Development Partners April 7, 2020 Page 3 Bedroom Size 30% AMI PSH 30% AMI 60% AMI Manager's Unit Total Units One -Bedroom 23 23 Two -Bedroom 3 1 4 Three -Bedroom 21 13 34 Four -Bedroom 16 8 24 TOTAL 26 37 21 1 85 STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal # 5 - Community Health, Livability, Engagement & Sustainability, Objective # 3 (Facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods), and Strategy C (Provide that Santa Ana residents, employees, artists and veterans receive priority for affordable housing created under the City's Housing Opportunity Ordinance or with City funding to the extent allowed under state law). FISCAL IMPACT The various agreements, including the loan agreements, are estimated to be finalized for City Council approval in FY 2020-21. Upon future approval of the loan agreements, funds will be budgeted and available as shown below: Fiscal Accounting Unit — Accounting Unit, Year Account # Fund Description Account Amount Description FY 20-21 13018780-69152 HOME Program Loans & Grants $2,003,705 FY 20-21 41718820-69152 Inclusionary Housing Loans & Grants $1,514,113 Fund FY 20-21 14518760-69152 Rental Rehabilitation Loans & Grants $ 386,523 Program Total Loans $3,904,341 Exhibits: 1. Pre -Commitment Letter with CDP and Mercy House CHDO 2. Preliminary Financial Gap Analysis by Keyser Marston Associates 3. Proposed Project Renderings / Preliminary Site Plan EXHIBIT 1 MAYOR Miguel A. Pulido MAYOR PRO TEM Juan Villages COUNCILMEMBERS Phil Bacerra Cecilia Iglesias David Penaloza Vicente Sarmiento Jose Solorio CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY 20 Civic Center Plaza - M25 • P.O. Box 1988 Santa Ana, California 92702 www.santa-ana.org (714) 657-5360 April 7, 2020 Kyle Paine Community Development Partners 3416 Via Oporto, Suite 301 Newport Beach, CA 92663 Larry Haynes Executive Director Mercy House Living Centers CITY MANAGER Kristine Ridge CITY ATTORNEY Sonia R. Carvalho CLERK OF THE COUNCIL Daisy Gomez Re: Westview House 2530 and 2534 Westminster Avenue, Santa Ana, CA 92701 Pre -Commitment Letter for Inclusionary Housing Funds Loan, HOME Loan, HOME CHDO Loan, and Rental Rehabilitation Program Loan Dear Messrs. Paine and Haynes: Community Development Partners ("CDP"), in partnership with Mercy House Community Housing Development Organization ("Mercy House CHDO") (collectively referred to as the "Developer"), requested financial assistance in connection with the proposed development of an eighty-five (85) unit affordable housing complex, with eighty-four (84) units restricted to extremely -low income and very -low income households, to be located at 2530 and 2534 Westminster Avenue, Santa Ana, CA 92701 (APNs 198-132-21 and 198-132-23) ("Project"). The Project site is located along Westminster Avenue, near North Fairview Street. The Project site is on two (2) contiguous undeveloped parcels and is currently zoned for general commercial. The Project will require a zone change and amendment to the current land -use, among other potential discretionary actions to be determined by the City's Planning and Building Agency. The City of Santa Ana ("City") has reviewed the Developer's request for assistance, and at the City Council meeting on April 7, 2020, the City Council authorized and approved Page 12 issuance of this pre -commitment letter evidencing the preliminary award of $3,904,341 in affordable housing funds consisting of (collectively, the "City Assistance"): - A loan in the maximum amount of $1,514,113 from the Inclusionary Housing Fund held by the City for the Project ("Inclusionary Loan"); - A loan in the maximum amount of $1,412,643 from the HOME Investment Partnerships Program ("HOME") funds held by the City for the Project ("HOME Loan"); - A loan in the maximum amount of $591,062 from the HOME Community Housing Development Organization ("CHDO") funds held by the City for the Project ("HOME CHDO Loan"); and, - A loan in the maximum amount of $386,523 from the Rental Rehabilitation Program held by the City for the Project ("RRP Loan"). This letter shall evidence the City's pre -commitment of the City Assistance to the Developer for the Project subject to the conditions described below. City Assistance: The amount of the proposed City Assistance has been determined based upon the City's review of the Developer's request for the receipt of the City Assistance and the development proforma and projected cash flows for the Project submitted by the Developer to the City ("Proforma"). The City Manager has authority to approve revised development proformas and projected cash flows for the Project; provided, however, that the City Assistance is not increased or extended. The City Assistance shall include the following loan terms: The Inclusionary Loan shall be for a maximum principal amount of $1,514,113, or as much thereof as is disbursed for hard and soft costs in constructing the Project, provided from the Inclusionary Housing Fund. The HOME Loan and HOME CHDO Loan shall be for a maximum principal amount of $2,003,705, or as much thereof as is disbursed for hard and soft costs in constructing the Project, provided from HOME funds. The RRP Loan shall be for a maximum principal amount of $386,523, or as much thereof as is disbursed for hard and soft costs in constructing the Project, provided from RRP funds. 3% simple interest per annum. Page 13 Repayment from 50% of Residual Receipts (pro-rata with payments due in connection with other financing provided by other public agencies) (after payment of operating expenses, including social services expenses and monitoring fees, debt service, any deferred developer fee, and partnership fees to be described in the Agreement), with the remaining 50% to be disbursed to the Developer. o Any repayments to the soft loans must be based on the pro rata share of all the soft loan balances (the same as the residual receipts splits). The Developer will request a different term for their Rising Tide Loan to match the other terms of their soft debt. Remaining principal and accrued interest due upon the 55th anniversary of the issuance of Certificate of Occupancy or earlier upon sale, refinancing or default. On that date, the City agrees to review the performance of the Property and consider in good faith any reasonable request by Developer to modify the terms or extend the term of the City Promissory Notes. Additionally, the City will receive 50% of the net proceeds received from any sale or refinancing of the Project in order to repay any outstanding principal or interest due on the City Promissory Notes, after payment of outstanding conventional debt and payment in full of any deferred developer fee and establishment of any reserves and transaction costs. Cost savings from the Project, if any, will be applied first to pay down the City Assistance, subject to compliance with the Tax Credit Allocation Committee ("TCAC") Regulations and California Health and Safety Code, as applicable. After all other funding sources have been secured through enforceable funding commitments, a HOME Subsidy Layering Review is required in order to confirm the amount of HOME funds committed to the Project. An environmental review in compliance with the National Environmental Policy Act is required prior to entering into a Loan Agreement for the HOME funds committed to the Project. The HOME Loan shall also require specific HOME designated units in the Project. Based on a preliminary HOME Cost Allocation Analysis, the City must designate at least nine (9) units in the Project as HOME assisted -units per the following preliminary unit mix: • Three (3) one -bedroom units; • One (1) two -bedroom unit; • Three (3) three -bedroom units; and, • Two (2) four -bedroom units. As least 20% of the HOME designated units must be designated as Low HOME units. This equates to two (2) Low HOME units based on a nine (9) unit HOME requirement. One (1) of the one -bedroom units and one (1) of the four -bedroom units will be designated as the Low HOME units. The remainder of the HOME designated units can be restricted 60B-11 Page 14 as High HOME units. This is subject to change based upon a final HOME Cost Allocation Analysis to be completed after the HOME Subsidy Layering Review has been performed. General Provisions: The City's obligation to provide the City Assistance to the Project is subject to each of the following conditions: Developer must provide proof that it has secured all of its remaining financing for the development of the Project in the form of enforceable funding commitments, which may include 9% or 4% Federal Low Income Housing Tax Credits, State Housing Tax Credits, a commitment of affordable housing funds from the County of Orange or State of California, Section 8 project -based vouchers from the Orange County or Santa Ana Housing Authority, or any other funding source needed in the Project's capital stack to develop the Project and close on the financing, before staff will return to the City Council for consideration of the Loan Agreements for the City Assistance. At least 75% of the affordable units (less one (1) manager's unit) in the Project will be restricted to extremely low-income households at 30% of the Area Median Income. The Project consists of twenty-six (26) permanent supportive housing units for chronically homeless individuals and families. All individuals and families shall be referred from the Orange County Coordinated Entry System, and preference should be given to residents of the City of Santa Ana based upon: o Proof of strong ties to the community, to include current residency of an immediate family member — mother, father, sibling, or grandparent in the City of Santa Ana; o Proof that the individual attended a K-12 school in Santa Ana; o Proof that the individual resided on property zoned for residential use in Santa Ana and the individual was on the lease and/or paid utilities necessary for legal use of the property for residential purposes; or o Knowledge — either first-hand or recorded — by the Santa Ana Police Department that the individual has been a member of the Santa Ana homeless community. The rent standards for the Project must comply with the strictest of the standards imposed by TCAC and the HOME Program regulations, or other funding sources contributed to the Project, as applicable. All provided funding and Project requirements shall conform to the City's most recently adopted Affordable Housing Funds Policies and Procedures, unless alternative requirements are expressly provided in the executed Loan Agreements for the City Assistance or any other documents related to the development of the Project. 60B-12 Page 15 Approval of all required entitlements and discretionary actions, to allow the construction of an 85-unit affordable housing complex to be located at 2530 and 2534 Westminster Avenue, Santa Ana, CA 92706, (APNs 198-132-21 and 198- 132-23). The City's obligation to provide the City Assistance is and shall remain subject to all covenants, conditions, and restrictions set forth in the Loan Agreements, and in particular the City's analysis of the available funding sources and development and operating costs of the Project and the overall economic feasibility of the Project. Review and approval of the Loan documents evidencing the City Assistance by the City Council including the Loan Agreement(s), Promissory Note(s), Affordability Restrictions and Deed(s) of Trust. $400,000 of the City's financial assistance will be set -aside as a City -controlled contingency allowance. The City must approve any disbursements from this contingency allowance. Any funds remaining in the contingency allowance at the end of construction must be utilized for a surrounding community benefit at the City's sole discretion, within the guidelines for allowable uses pursuant to the funding source. $100,000 of the $2.5 million Developer Fee will be contributed to a surrounding community benefit, within the guidelines for allowable uses pursuant to the funding source. Any additional contribution will be allocated from the remainder of the City - controlled contingency allowance. The City is requiring that any amount of the Developer Fee above $2.5 million to be contributed as Developer Equity. This amount is currently estimated at $1.43 million, or 36% of the total Developer Fee. The Developer Equity should have the following terms: o The Developer Equity will not be secured by a promissory note; o The Developer Equity may only be repaid from the Developer's share of the Project's residual receipts; and o Any portion of the Developer Equity that is not repaid from the Developer's share of the Project's residual receipts may only be repaid upon sale or transfer of the property after the City Loans are repaid in full. Given that HUD severely limits the restructuring that can occur during the HOME affordability period (e.g. refinancing), the Developer's senior permanent loan term should be at least 20 years. The Developer will request a longer term permanent loan from their senior lender. Compliance with California Health and Safety Code and applicable regulations set forth in Section 34176. 60B-13 Page 16 Developer, at its sole cost and expense, will be responsible for securing any and all permits and discretionary approvals that may be required for the Project by the City or any other federal, state, or local governmental entity having or claiming jurisdiction over the Property or Project. Notably, this pre -commitment letter shall not obligate the City or any department thereof to approve any application or request for or take any other action in connection with any planning approval, permit or other action necessary for the construction, rehabilitation, installation or operation of the Project. This pre -commitment letter for the Project will expire on April 7, 2022. If you have any questions or require any additional information regarding this pre - commitment letter, please contact Judson Brown, Housing Division Manager, by telephone at (714) 667-2241 or by e-mail at Ibrown(a1santa-ana.org. Sincerely, On behalf of the City of Santa Ana: Kristine Ridge City Manager Attest: Daisy Gomez Clerk of the Council �. 1 EXHIBIT 2 KEYSER MARSTON ASSOCIATES,. ADVISORS IN PUBLIC/PRIVATE REAL ESTATE DEVELOPMENT MEMORANDUM ADVISORS IN: Real Estate To: Judson Brown, Housing Division Manager Affordable Housing Economic Development City of Santa Ana BERKELEY A. Jerry Keyser From: Tim Bretz Timothy C. Kelly Debbie M. Kern David Doezema Date: March 19, 2020 Kevin Feeney Los ANGELES Kathleen H. Head Subject: Westview House: Financial Gap Analysis James A. Rabe Gregory D. Soo-Hoo Kevin E. Engstrom Julie L. Burney Tim R. Bretz At your request, Keyser Marston Associates, Inc. (KMA) prepared a financial gap analysis SAN DIEGO for the project proposed to be developed at 2530 and 2534 Westminster Avenue (Site) Paul C. Marra by Community Development Partners (CDP) and Mercy House Development Organization (Mercy House CHDO) — collectively referred to in this analysis as "Developer." As proposed, the project will include 84 apartment units that will be restricted to extremely low and low income households and one (1) unrestricted manager's unit (Project). The Developer is requesting financial assistance from the City of Santa Ana (City) for the purposes of developing the Project. The purpose of this KMA analysis is to evaluate the Developer's request for financial assistance. EXECUTIVE SUMMARY Estimated Financial Gap The results of the KMA financial gap analysis are compared to the Developer's financial proposal in the following table: 500 SOUTH GRAND AVENUE, SUITE 1480 ➢ LOS ANGELES, CALIFORNIA 90071 ➢ PHONE 213.622.8095 W W W.KEYSERMARSTON.COM 6 U B -15 2003012:SA:TRB 19090.017.022 Judson Brown, City of Santa Ana Westview House: Financial Gap Analysis March 19, 2020 Page 2 KMA Developer Difference Total Development Costs $39,020,000 $39,017,000 $3,000 (Less) Outside Funding Sources (35,125,000) (35,113,000) (12,000) Financial Gap $3,895,000 $3,904,000 ($9,000) As shown in the preceding table, KMA estimates the Project's financial gap at $3,895,000. Comparatively, the Developer is requesting $3,904,000 in financial assistance from the City. This equates to less than 1% differential, which can be considered inconsequential. However, the KMA and Developer analyses differ on a line item by line item basis. Proposed Funding Sources The following summarizes the proposed funding sources for the Project: 1. The Project's stabilized net operating income (NOI) supports $13.98 million in Tax -Exempt Multifamily Bonds (Bonds), which are allocated by the California Debt Limit Allocation Committee (CDLAC). 2. The Developer is proposing to utilize 4% Federal Low Income Housing Tax Credits (Tax Credits) that are automatically awarded to projects that receive a Bond allocation from CDLAC. The net Tax Credit proceeds are estimated at $11.61 million. 3. The Developer intends to apply for 26 Section 8 Project -Based Vouchers (PBVs) from the County of Orange. The PBVs are allocated to the Orange County Housing Authority (OCHA) by the United States Department of Housing and Urban Development (HUD). 4. The Developer propose to apply for a $7.11 million loan of No Place Like Home Program (NPLH) funds that is awarded by the California Department of Housing and Community Development (HCD). 2003012:SA:TRB 60 B-16 19090.017.022 Judson Brown, City of Santa Ana Westview House: Financial Gap Analysis March 19, 2020 Page 3 5. The Developer received a commitment letter from Rising Tide, a non-profit affordable housing investment group, to provide a $1.0 million loan (Rising Tide Loan). 6. The City is requiring that any amount of the Developer Fee above $2.5 million to be contributed as Developer Equity. This amount is currently estimated at $1.43 million, or 36% of the total Developer Fee. The Developer Equity should have the following terms: a. The Developer Equity will not be secured by a promissory note; b. The Developer Equity may only be repaid from the Developer's share of the Project's residual receipts; and C. Any portion of the Developer Equity that is not repaid from the Developer's share of the Project's residual receipts may only be repaid upon sale or transfer of the property after the City Loans are repaid in full. 7. The City's financial assistance will consist of the following: a. A $1.51 million loan of Inclusionary Housing Funds (Inclusionary Loan). b. A $2.0 million loan of HOME Investment Partnership Program (HOME) funds allocated to the City by HUD (HOME Loan). The HOME Loan will consist of the following components: i. $1.14 million in general HOME funds; and ii. $591,000 in HOME Community Housing Development Organization (CHDO) funds. C. A $387,000loan of Rental Rehabilitation Program funds (RRP Loan). PROJECT DESCRIPTION The proposed scope of development can be described as follows: 2003012:SA:TRB 60 B-17 19090.017.022 Judson Brown, City of Santa Ana March 19, 2020 Westview House: Financial Gap Analysis Page 4 1. The Site area totals 2.12 acres, or approximately 92,400 square feet of land area.1 2. The 85-unit project represents a density of 40 units per acre. 3. The Project's units mix is as follows: Number of Unit Size Units (SF) One -Bedroom Units 23 520 Two -Bedroom Units 4 750 Three -Bedroom Units 34 970 Four -Bedroom Units 24 1,080 Total / Weighted Average 85 869 4. The Project's gross building area (GBA) is estimated at 95,370 square feet, and is comprised of the following: a. The residential GBA is estimated at 73,860 square feet; b. The community room/amenity GBA is estimated at 5,400 square feet; and C. The common area and circulation GBA is estimated at 16,110 square feet. 5. The Project will include 144 surface parking spaces, which equates to 1.7 parking spaces per unit. 6. The Project's affordability mix is as follows: 'Per the appraisal prepared by James G. Palmer Appraisals, Inc. on January 3, 2020. 2003012:SA:TRB 60 B-18 19090.017.022 Judson Brown, City of Santa Ana Westview House: Financial Gap Analysis March 19, 2020 Page 5 Tax Credit @ 30%AMI/NPLH/ HOME (PSH) 2 26 Tax Credit @ 30%AMI / HOME 37 Tax Credit @ 60%AMI / HOME 21 Unrestricted Manager's Unit 1 Total Units 85 FINANCIAL GAP ANALYSIS KMA prepared a pro forma analysis to estimate the Project's financial gap. The analysis is located at the end of this memorandum, and is organized as follows: Table 1: Estimated Development Costs Table 2: Stabilized Net Operating Income Table 3: Financial Gap Calculation Table 4: Cash Flow Analysis Table 5: HOME Cost Allocation Estimated Development Costs (Table 1) KMA reviewed the Developer's March 19, 2020 pro forma and then independently prepared a pro forma analysis of the Project. The resulting development costs are estimated as follows: Property Acquisition Costs The Developer entered into a purchase and sale agreement on October 11, 2019 to acquire the vacant Site for $6,675,000, or $72 per square foot of land area. The Developer provided an appraisal prepared by James G. Palmer Appraisals, Inc. on January 3, 2020 that estimates the As -Is market value of the property at $6,286,000, or $68 per square foot of land area. As such, the purchase price is $389,000, or approximately 6% higher than the appraised value. 2 PSH refers to permanent supportive housing units. 2003012:SA:TRB 60 B-19 19090.017.022 Judson Brown, City of Santa Ana Westview House: Financial Gap Analysis March 19, 2020 Page 6 The Seller is allowing the Developer to enter into a longer than typical escrow period to provide the Developer time for due diligence and to secure public funding sources. As such, KMA contends that the 6% premium above the appraised value is warranted by the terms of the sale. However, the City should confer with legal counsel to ensure this differential complies with City funding requirements. Direct Costs The direct costs assume that the Project will be subject to State of California and/or Federal Davis Bacon prevailing wage requirements. The direct costs applied in this analysis can be summarized as follows: 1. The Developer estimates the off -site improvement costs at $250,000. City staff should verify the scope and cost of the off -site improvements required to serve the Project. 2. The on -site improvement costs are estimated at $1.39 million, which equates to $15 per square foot of land area. 3. The residential building costs are estimated at $150 per square foot of GBA, or $14.31 million. 4. The Developer included a prevailing wage premium equal to 17%of the construction costs. 5. The Developer included a $213,000 allowance for furnishings, fixtures and equipment. 6. A 12% allowance for contractors' fees and general requirements is provided. 7. An allowance for construction bonds / general liability insurance at 1% of construction costs is provided. 8. The Developer included a total direct cost contingency allowance equal to 5% of other direct costs. The total direct costs are estimated at $22.36 million. This equates to $234 per square foot of GBA. 2003012:SA:TRB 60 B 0 19090.017.022 Judson Brown, City of Santa Ana March 19, 2020 Westview House: Financial Gap Analysis Page 7 Indirect Costs KMA utilized the following assumptions in estimating the indirect costs: 1. The architecture, engineering and consulting costs are estimated at 5.5% of direct costs. 2. The Developer estimated the public permits and fees costs at $1.48 million, or approximately $17,500 per unit. City staff should verify the accuracy of this estimate. 3. The taxes, insurance, legal and accounting costs are estimated at 2% of direct costs. 4. A $500 per unit allowance for marketing and leasing costs is provided. 5. The Developer set the Developer Fee at $3.93 million, which is the maximum amount allowed by TCAC for this Project.3 6. $400,000 of the City's financial assistance will be set -aside as a City -controlled project contingency allowance. KMA estimates the total indirect costs at $7.53 million. Financing Costs The Project is proposed to be developed with Tax -Exempt Multifamily Bonds allocated by CDLAC. To comply with Internal Revenue Service (IRS) requirements, the Bonds must be equal to at least 50% of the land acquisition costs plus the eligible Tax Credit basis. In addition, the Bond funds must be sufficient to cover the development costs that do not have funding from other sources. In this case, the Project's estimated NOI can only support a $13.98 million Bond; this will be called the Series A Bond. To fulfill the 50%Test, and to provide bridge funding for costs that will be paid for by other sources upon the Project's completion, a Series B 3 $1.43 million, or 36% of the total Developer Fee will be contributed back to the Project by the Developer as equity. 2003012:SA:TRB 60 B-21 19090.017.022 Judson Brown, City of Santa Ana Westview House: Financial Gap Analysis March 19, 2020 Page 8 Bond totaling $13.16 million must be obtained. The sum of the Series A and Series B Bonds totals $27.14 million The financing costs for the Project are estimated as follows: 1. The Developer will obtain a short-term acquisition loan to acquire the property at the close of escrow. The acquisition loan interest is estimated at $254,000 based on the following: a. A 95% loan -to -value ratio; b. A 4% interest rate; and C. A 12-month term. 2. The construction period interest costs incurred on the Bonds are estimated at $1.10 million based on the following: a. A 3.25% interest rate; b. An 18-month construction period with a 50%average outstanding balance; and C. A 6-month absorption period with a 100% average outstanding balance. 3. The bond costs/financing fees are estimated at 1.75 points, or $475,000. 4. A $331,000 capitalized operating reserve is provided. This equates to three months of operating expenses and debt service payments. 5. A $250,000 capitalized transition reserve is provided, which is required by the NPLH Program. 6. The Tax Credit fees are estimated at $49,000 based on the following assumptions: a. A $2,000 application fee; b. A $410 per unit monitoring fee; and 2003012:SA:TRB 60 B 19090.017.022 Judson Brown, City of Santa Ana Westview House: Financial Gap Analysis March 19, 2020 Page 9 C. One percent (1%) of the gross Tax Credit proceeds for one year. KMA estimates the total financing costs at $2.59 million. Total Development Costs As shown in Table 1, KMA estimates the total development costs at $39.02 million, which equates to approximately $459,000 per unit. This is approximately equal to the Developer's development cost estimate Stabilized Net Operating Income The Project's outside funding sources include Bonds, Tax Credits, NPLH funds, and HOME funds. These programs all publish income limits for the households that are qualified to reside in the development. TCAC publishes rents standards for projects that receive Tax Credits. In addition, HUD publishes rent standards for projects that utilize HOME funds and HCD utilizes Tax Credit rent standards for projects that utilize NPLH funds. The Developer will be required to adhere to the strictest of the standards imposed by the funding sources contributed to the Project. Tenant -Paid Rents The rents used in this analysis are based on 2019 income and rent information published by TCAC, HCD and HUD. The maximum allowable rents, net of the appropriate utility allowance, is estimated as follows:° The Developer stated that the Project will pay the utility costs for the 26 NPLH units. The utility allowances for the remaining units are estimated by the Developer as follows: $61 for a three -bedroom unit and $75 for a four -bedroom unit. 2003012:SA:TRB 60 B-23 19090.017.022 Judson Brown, City of Santa Ana Westview House: Financial Gap Analysis March 19, 2020 Page 10 Rent Restriction 1-Bdrm 2-Bdrm 3-Bdrm 4-Bdrm TC @ 30%AMI / NPLH5 $667 $802 NA NA TC (n@ 30%AMI / NPLH/ Low HOME TCAC / NPLH $667 NA NA NA HOME $1,113 NA NA NA Applicable Rents $667 NA NA NA TC @ 30%AMI / NPLH/ High HOME TCAC / NPLH $667 $802 NA NA HOME 1428 1714 NA NA Applicable Rents $667 $802 NA NA TC @ 30%AMI NA NA $865 $957 TC @ 30%AMI / Low HOME TCAC NA NA $865 NA HOME NA NA $1,483 NA Applicable Rents NA NA $865 NA TC @ 60%AMI NA NA $1,791 $1,990 TC @ 60%AMI / High HOME TCAC NA NA $1,791 $1,990 HOME NA NA $1,912 $2,105 Applicable Rents NA NA $1,791 $1,990 s The No Place Like Home Program utilizes Tax Credit income and rent standards. Thus, the rents are the same. 2003012:SA:TRB 60 B-24 19090.017.022 Judson Brown, City of Santa Ana March 19, 2020 Westview House: Financial Gap Analysis Page 11 Operating Subsidy The Developer anticipates that the Project will be awarded an operating subsidy for 26 PBVs from the County of Orange. The PBV subsidy income is equal to the difference between the rent paid by the tenant and the OCHA payment standard rent. In addition, the Developer will request that the OCHA payment standard rent be increased to 110% of the fair market rent. As such, the Developer is applying the following payment standards to the Project: Unit Type Payment Standard One -Bedroom Units $1,964 Two -Bedroom Units $2,438 Effective Gross Income KMA estimates the Project's effective gross income at $1.44 million based on the following: 1. The gross tenant -paid rent income is estimated at $1.09 million. 2. The gross operating subsidy income is estimated at $416,900. 3. The laundry and miscellaneous income is estimated at $15 per unit per month, or $15,300 per year. 4. A 5%vacancy and collection allowance is applied to both the tenant -paid rent income and the operating subsidy income. The vacancy and collection allowance is estimated at $75,900. Estimated Operating Expenses The operating expenses are estimated at $6,200 per unit per year based on the following: 1. The general operating expenses are estimated at $5,200 per unit per year, which is above the minimum amount required byTCAC. 2003012:SA:TRB 60 B-25 19090.017.022 Judson Brown, City of Santa Ana March 19, 2020 Westview House: Financial Gap Analysis Page 12 2. KMA assumes that the Developer will apply for the property tax abatement that is accorded to non-profit housing organizations that own and operate units restricted to households earning less than 80% of the area median income. The Developer anticipates that the property will not be subject to any tax assessment override. 3. The social service expenses are estimated at $29,800 per year, which equates to $350 per unit per year. This budget is at the low end of the range seen for projects which include PSH units. However, the Developer contends that the budget is reasonable given that the NPLH program will provide case management and other social services to the PSH tenants. 4. HCD requires a mandatory annual debt service payment equal to 0.42% of the NPLH Loan. This equates to $29,900 per year. 5. The Developer provided an allowance for replacement reserve deposits at $300 per unit per year. Estimated Stabilized Net Operating Income The effective gross income of the Project is estimated at $1.44 million and the operating expenses are estimated at $528,400. This results in estimated NOI of $913,000. Financial Gap Calculation Available Outside Funding Sources Tax -Exempt Multifamily Bonds To estimate the maximum Bond amount that can be supported by the Project's NOI, KMA assumed that the Bonds would be underwritten based on the following requirements: 1. A 115% debt service coverage ratio; 2. A 4.50% interest rate; and 3. A 35-year amortization period. 2003012:SA:TRB 60 B-26 19090.017.022 Judson Brown, City of Santa Ana Westview House: Financial Gap Analysis March 19, 2020 Page 13 KMA estimates that the Project's stabilized NOI can support $13.98 million in Bonds. Tax Credit Proceeds KMA estimates the net Tax Credit proceeds at $11.61 million. This estimate is calculated based on the following assumptions: 1. The Project's eligible Tax Credit basis is equal to the lesser of the depreciable costs for the 85 Tax Credit units, or the threshold basis limits established by TCAC. In this case, the depreciable costs of $30.10 million are less than the threshold basis limits. 2. The Project is located in a designated "Difficult to Develop" census tract. This allows the requested eligible basis to be increased by 30%. 3. The Developer set the annual Tax Credit rate at 3.19%. This rate is applied over the 10-year Tax Credit period. 4. 100% of the Project's residential building area is included in the eligible basis is located in units that qualify for Tax Credits. 5. The net syndication value supported by the Tax Credit is ultimately determined based on competitive market conditions, and on the timing of disbursements. Based on currently available information, the Developer estimates the proceeds at $0.93 per gross Tax Credit dollar. NPLH Loan The Developer proposes to apply fora $7.11 million NPLH Loan from HCD in the next NPLH funding round anticipated to be in the Fall 2020. The $7.11 million amount is based on the maximum per unit loan limits in place at the time of this analysis. Rising Tide Loan The Developer received a commitment letter from Rising Tide, a non-profit affordable housing investment group, to provide a $1.0 million loan (Rising Tide Loan). 2003012:SA:TRB 60 B 7 19090.017.022 Judson Brown, City of Santa Ana March 19, 2020 Westview House: Financial Gap Analysis Page 14 Developer Equity TCAC regulations allow the Project to receive a $3.93 million Developer Fee, and the Developer Fee can be included in the Project's eligible Tax Credit basis. Thus, a portion of the Developer Fee is funded by Tax Credit equity. The City is requiring that any amount of the Developer Fee above $2.5 million to be contributed as Developer Equity. This amount is currently estimated at $1.43 million, or 36% of the total Developer Fee. The Developer Equity will be repaid through the Developer's share of residual receipts or upon the sale/transfer of the Project after the City Loans are repaid in full. The Developer Equity will not be secured by a promissory note. Total Available Outside Funding Sources As shown in Table 3, the outside funding sources available to the Project are estimated at $35.13 million, which is approximately equal to the Developer's estimate. Financial Gap Calculation Based on the preceding analysis, KMA estimates the Project's financial gap as follows: Total Development Costs $39,020,000 (Less) Total Available Funding Sources (35,125,000) Financial Gap $3,895,000 Per Unit $45,800 As shown in the preceding table, KMA estimates that the Project exhibits a $3,895,000 financial gap based on the information currently available. In contrast, the Developer is requesting $3,904,000 in financial assistance from the City This represents a $9,000 differential, which is a less than 1% difference. It is the KMA opinion that a difference of this magnitude can be considered insignificant. 2003012:SA:TRB 60 B Q 19090.017.022 Judson Brown, City of Santa Ana March 19, 2020 Westview House: Financial Gap Analysis Page 15 PRELIMINARY HOME COST ALLOCATION HOME regulations require projects that include HOME funds to conduct a subsidy layering analysis demonstrating that the HOME assistance is required to provide affordable housing. The subsidy layering review must be completed prior to formally committing HOME funds, which cannot occur until all of the other funding sources have been committed to the Project. Given that the remaining funding sources will not be committed in the near term, the City will conduct the subsidy layering review at a future date. However, the City requested that KMA conduct a preliminary assessment to quantify the number of HOME units that will likely be required by the HOME Program. Cost Allocation (§92.205(d)) and HOME Unit Designation (Table 5) HOME funds may only be used to pay eligible costs for HOME -assisted units. When fewer than 100% of the units are designated as HOME assisted, the participating jurisdiction must calculate the eligible costs that are allocable to the assisted units and may only pay the actual costs related to those HOME assisted units, capped by the maximum subsidy limits previously described. The financial gap analysis concludes that the Project needs $3.90 million in total financial assistance and the City will utilize $2.0 million in HOME funds as part of the assistance package. HOME Assistance Cost Allocation KMA used the Standard Method to determine the cost allocation. As detailed in Table 5, KMA estimated that eligible project costs equate to $497 per square foot of net residential area. As such, a total of nine (9) units are proposed to be designated as HOME -assisted units by the City. This consists of: three (3) one -bedroom units, one (1) two -bedroom unit, three (3) three -bedroom units, and two (2) four -bedroom units. Therefore, per the cost allocation test, these nine HOME -assisted units justify providing $3.67 million in HOME assistance. There is also a maximum HOME subsidy requirement that must be met. In order to commit $2.0 million to this Project, based on the 2019 maximum subsidy limits, three (3) one -bedroom units, one (1) two -bedroom unit, three (3) three -bedroom units, and two (2) four -bedroom units need to be restricted as HOME units. 2003012:SA:TRB 60 B-29 19090.017.022 Judson Brown, City of Santa Ana Westview House: Financial Gap Analysis March 19, 2020 Page 16 The following summarizes the maximum HOME subsidy that can made to the Project based on nine total HOME units: Maximum HOME Minimum HOME Assistance Designated Units Proposed HOME Assistance $2,003,705 N/A Cost Allocation Test $3,665,241 9 Units Maximum Subsidy Test $2,128,449 9 Units Maximum Allowable HOME Subsidy $2,003,705 9 Units CONCLUSIONS / RECOMMENDATIONS The following summarizes the conclusions and recommendations of the KMA analysis: 1. Based on the currently available information, it is KMA's conclusion that the Developer's request for $3.90 million in City assistance is supported by the Project economics. 2. $400,000 of the City's financial assistance will be set -aside as a City -controlled contingency allowance. The City must approve any disbursements from this contingency allowance. Any funds remaining in the contingency allowance at the end of construction may be utilized for project amenities and/or community benefits at the City's sole discretion. 3. The City is requiring that any amount of the Developer Fee above $2.5 million to be contributed as Developer Equity. This amount is currently estimated at $1.43 million, or 36%of the total Developer Fee. The Developer Equity should have the following terms: a. The Developer Equity will not be secured by a promissory note; b. The Developer Equity may only be repaid from the Developer's share of the Project's residual receipts; and C. Any portion of the Developer Equity that is not repaid from the Developer's share of the Project's residual receipts may only be repaid 2003012:SA:TRB 60 B-30 19090.017.022 Judson Brown, City of Santa Ana March 19, 2020 Westview House: Financial Gap Analysis Page 17 upon sale or transfer of the property after the City Loans are repaid in full. 4. Based on a preliminary HOME Cost Allocation Analysis (Table 5), the City must designate at least nine (9) units in the Project as HOME units based on the following unit mix: a. Three (3) one -bedroom units; b. One (1) two -bedroom unit; C. Three (3) three -bedroom units; and d. Two (2) two -bedroom units. 5. At least 20%of the HOME -designated units must be restricted as Low HOME units, which equates to two (2) units. 6. It is important to note that the City cannot commit HOME funds to the Project until after all of the other funding sources have received formal commitments. At that time, the City must prepare a HOME Subsidy Layering Review in order to formally commit HOME funds to the Project. 2003012:SA:TRB 60 B-31 19090.017.022 TABLE 1 ESTIMATED DEVELOPMENT COSTS WESTVIEW HOUSE SANTA ANA, CALIFORNIA I. Property Acquisition Costs II. Direct Costs Off -site Improvements On -site Improvements Building Shell Costs Prevailing Wage Furnishings, Fixtures & Equipment Contractor Fees / General Requirements General Liability Insurance / Contt Bonds Contingency Allowance Total Direct Costs III. Indirect Costs Architecture, Engineering & Consulting Public Permits & Fees Taxes, Insurance, Legal & Accounting Marketing & Leasing Developer Fee City -Controlled Project Contingency Total Indirect Costs IV. Financing Costs Acquisition Loan Interest Reserve Interest During Construction Series A Bond Series B Bond Financing Fees Series A Bond Series B Bond Capitalized Reserves Operating Reserve Transition Reserve TCAC Fees Total Financing Costs It 92,434 Sf Land $72 /Sf Land $6,675,000 3 $250,000 92,434 Sf Land $15 /Sf Land 1,387,000 95,370 Sf GBA $150 /Sf GBA 14,306,000 17% Construction Costs 2,710,000 213,000 12% Construction Costs 2,238,000 1% Construction Costs 187,000 5% Other Direct Costs 1,065,000 95,370 Sf GBA $234 /Sf GBA $22,356,000 5.5% Direct Costs $1,230,000 4 85 Units $17,426 /Unit 1,481,000 2.0% Direct Costs 447,000 85 Units $500 /Unit 43,000 5 15% Eligible Costs 3,926,000 1% Total Project Costs 400,000 $7,527,000 6 $6,341,000 Loan Amount 4.00% Interest $254,000 7 $13,980,000 Loan Amount 3.25% Interest 568,000 8 $13,160,000 Loan Amount 3.25% Interest 535,000 $13,980,000 Loan Amount 1.75 Points 245,000 $13,160,000 Loan Amount 1.75 Points 230,000 3 Months Op Expand Debt Svc Pmts 331,000 250,000 49,000 $2,462,000 Total Construction Costs 85 Units $380,500 /Unit $32,3450000 Total Development Costs 85 Units $459,100 /Unit $39,020,000 1 The purchase price is based on a Purchase and Sale Agreement provided by Developer. The Developer provided an appraisal prepared by James G. Palmer Appraisals, Inc. on January 3, 2020 that estimates the "As Is" market value of the property at $6,286,000. As such, the appraised value is $389,000, or 6% higher than the appraised value. z Estimates assume prevailing wage requirements will be imposed on the Project. 3 Based on Developer estimate. City staff should verify the scope and cost of the required off -site improvements. 4 Based on Developer estimate. The estimate should be verified by City staff. 5 The Developer Fee is the maximum amount allowed by TCAC. 6 The Developer intends to obtain a short-term acquisition loan at the close of escrow. The proposed terms are: a 95% Loan -to -Value, a 4% interest rate, and a 12-month term. 7 Includes debt on the 70% of the Tax Credit Equity that will not be funded during construction. Assumes an 18-month construction period with a 50% average outstanding balance and a 6-month absorption period with a 100%average outstanding balance. 8 Equal to the unfunded construction costs minus the Series A Bond amount; an 18-month construction period with a 50% average outstanding balance; and a 6-month absorption period with a 100%average outstanding balance. a Includes a $2,000 application fee;$410/unit monitoring fee; and 1% of the gross Tax Credit proceeds for one year. 60B_�2 Prepared by: Keyser Marston Associates, Inc. J File name: Westview House 3 19 20.xlsm; Pro Forma; trb TABLE 2 STABILIZED NET OPERATING INCOME WESTVIEW HOUSE SANTA ANA, CALIFORNIA Income Manager's Unit 1 Unit $0 /Unit/Month $0 Base Income Tax Credit Cn1 30% Median / NPLH 1-Bedroom Units @ (520-Sf) 20 Units $667 /Unit/Month 160,100 2-Bedroom Units @ (750-Sf) 2 Units $802 /Unit/Month 19,200 Tax Credit Cn1 30% Median / NPLH / Low HOME 1-Bedroom Units @ (520-Sf) 1 Unit $667 /Unit/Month 8,000 Tax Credit to 30% Median / NPLH / High HOME 1-Bedroom Units @ (520-Sf) 2 Units $667 /Unit/Month 16,000 2-Bedroom Units @ (750-Sf) 1 Unit $802 /Unit/Month 9,600 Tax Credit 0 30% Median 3-Bedroom Units @ (970-Sf) 20 Units $865 /Unit/Month 207,600 4-Bedroom Units @ (1,080-Sf) 16 Units $957 /Unit/Month 183,700 Tax Credit Cn1 30% Median / Low HOME 3-Bedroom Units @ (970-Sf) 1 Unit $865 /Unit/Month 10,400 Tax Credit C& 60% Median 3-Bedroom Units @ (970-Sf) 11 Units $1,791 /Unit/Month 236,400 4-Bedroom Units @ (1,080-Sf) 6 Units $1,990 /Unit/Month 143,300 Tax Credit P 60% Median / High HOME 3-Bedroom Units @ (970-Sf) 2 Units $1,791 /Unit/Month 43,000 4-Bedroom Units @ (1,080-Sf) 2 Units $1,990 /Unit/Month 47,800 Section 8 Subsidy Tax Credit (@ 30% Median / NPLH z 1-Bedroom Units @ (520-Sf) 23 Units $1,297 /Unit/Month 358,000 2-Bedroom Units @ (750-Sf) 3 Units $1,636 /Unit/Month 58,900 Laundry/Miscellaneous Income 85 Units $15 /Unit/Month 15,300 Gross Rent Income 85 Units $1,517,300 (Less) Vacancy & Collection Allowance 5.0% Gross Rent Income (75,900) Effective Gross Rent Income $1,441,40p II. Operating Expenses General Operating Expenses 85 Units $5,214 /Unit $443,200 Property Taxes z 85 Units $0 /Unit - Social Services 3 85 Units $350 /Unit 29,800 NPLH Annual Fee $7,111,000 NPLH Loan 0.42% NPLH Loan 29,900 Replacement Reserve 85 Units $300 /Unit 25,500 Total Operating Expenses 85 Units $6,216 /Unit $528,400 III. IStabilized Net Operating Income $913,000 Based on Orange County 2019 Incomes distributed by HUD. As pertinent, the rents are based on rents published in 2019 by TCAC/HOME. The NPLH tenants will not pay for utilities. The utility allowances for the remaning units are per the Developer: $60 for 3-bdrm units; and $75 for 4-bdrm units. The Developer will apply to Orange County for the PBVs. The Developer assumes the County will approve fair market rents based on 110% of the published FMRs. Based on Developer estimate. Assumes the Developer will apply for the property tax welfare exemption accorded to non-profit housing organizations that own and operate apartment units restricted to households earning no more than 80%AMI, and that the property will not be subject to any Per the Developer, the NPLH Program will coverall social service and case management services for the NPLH units. 60B—� �i Prepared by: Keyser Marston Associates, Inc. JJ File name: Westview, House 3 19 20.xlsm; Pro Forma; trb TABLE 3 FINANCIAL GAP CALCULATION WESTVIEW HOUSE SANTA ANA, CALIFORNIA I. Available Funding Sources Tax -Exempt Multifamily Bonds Stabilized Net Operating Income Income Available for Mortgage Interest Rate Tax -Exempt Multifamily Bonds Tax Credit Equity Gross Tax Credit Value Syndication Rate Net Tax Credit Equity NPLH Rising Tide Funds Developer Equity Total Available Funding Sources II. Financial Gap Calculation Total Development Costs (Less) Total Available Funding Sources $913,000 (See TABLE 2) 1.15 DSCR 4.50% Interest Rate $12,483,000 $0.93 /Tax Credit Dollar $793,917 Debt Service 5.68% Mortgage Constant $13,980,000 $11,608,000 3 $7,111,000 4 $1,000,000 4 36% Total Developer Fee $1,426,000 $39,020,000 (35,125,000) $35,125,000 III. I Financial Gap 85 Units $45,800 /Unit $3,895,000 1 Assumes a 35-year amortization term and a 20-year repayment term. z Assumes a $30.1 million eligible basis, plus a 130%difficult-to-develop premium, a 3.2%Tax Credit rate and an applicable fraction of 100%. 3 The Developer proposes to apply for the maximum amount of NPLH funds. 4 Based on Developer estimate. 60 B-� Prepared by: Keyser Marston Associates, Inc. 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E v i E m E m 3 m m v - a a U' m N Q m a n m e n = m y a` �-i N �O �O h V1 O O1 CO M m V1 ' CO O N O1 O N V1 N 10 01 10 01 10 01 O ' V1 N V I� M V I� O 10 N n m V1 m N rl CO O1 V1 N 01 01 01 �O M 01 N 10 g h O h O Vl r N N CO "I e'I e'I y I� 10 N M y O1 V1 N N Ol a m rO O O 01 O m m O O N 01 O M N N O r V1 h r N N N N h CO ' V1 O N O1 Oil N V5 N m 10 lg m 10 m 10 � a .i m e n � �O CO h W ei N O1 V1 01 W W W V1 M q h �O �O I� b r N N CO CO CO CO O V $ 10 01 N y CO a N O V1 I� N N N N M 10 N "I a •. m o .y O o� O w of m m m of m .i m n o N N O1 h N O M y N V1 a O1 �O O1 V1 O V1 I� N N N N N N CO m y M 10 01 01 y e'I N I� 10 q CO m �O N h b N N OI N N N O "I N N 01 O h a N 01 y 10 N N N N M 10 V� "I O O at CO O1 at m M N m vl O O CO O\ O M vl I� 01 N 01 N 01 N �O vl M N N N V O N W "I b a M rl O O1 V1 I� N N N N M y 10 O "I q CO O1 V1 M O1 b N N O N N N a CO N d 01 01 N CO m Ip N N N "I M 10 V� O h a 0 m O O CO N O N N m O O O d m O Oil N M M M N CO 01 10 V O1 CO m CO Ip N b O m Ol V1 O1 N VI q V1 M N d N N m CO N O N y a a m Vl m N I� m ei N N OM1 M M O N M V M M 10 CO N I� O y m y y rl O OI N 01 OI O O OI O CO M y N a m N N ti O Oil M CO CO CO N � N O N O N O1 O O1 V1 O V1 CO N N N N N N O N y O CO M CO N "I q m a O m h N N M 10 10 10 O N y N CO 10 V1 m N 10 N y "I e'I e'I e'I M 10 V� O a N y CO Vl O O M O O O O O O O I� N 10 O N CO b m M N m O a1 O Ip V11 y N m N m N m m a O O 01 CO V O N O O O �O CO �O CO h vl 01 vl I� O O O CO N O Oi N b N Ol m CO h a N N N M M M m O C M b N O O1 N O V1 O O O 10 N O N N b O O M y N y b O O h y CO m O Oil "I N N N O y N CO N � O1 N V1 �O O CO O O1 O Ol V1 OI OI OI OI h ei y O N O m y m N N M O N O O O C O O N IN O1 N O O M Ip O b b O N O N O "I h m a 'O M O O1 O m cIt Oil O V M ll M N M N h N O 01 O O O N N V1 O N m V1 O1 V1 V I� N N b M 01 M N q rO m N N N O m M N O N N N N r% N O N O O O O O O1 V1 V1 CO b m O O 01 01 O O O ul O a N O "I N � N W h a m m 01 M V1 ' O CO O1 O N V1 I� O N O N O N a ' b b N � m N N V1 m I� V1 O O1 V1 ei Ip Ip Ip V1 O N "I M O q CO O 10 a m N N M M M M m O N 01 CO O y N N M Ol I M O O O O m m "I �p O1 O O N 10 O b b h M N N h O O CO N N h CO O m a Oil `� VI N b I� b n b n O b N e'I O e'I 01 a CO O CO O � O �O O 10 O1 �O O1 N N V1 e'I 0. 0. 0 O m O O N N N q y O r N 10 O h CO N 10 O O O O N m N M CO N CO N CO m C a a 6 c a 3 a E o my V m E m v o E o =m N u° m n m e v2ai rv„ v a a s = w m Kn p K 9 .i a a « w E o a O v o z v uo = en v W u a Kn °- v `m `m `m @1 `m `m c v c = y m p u N c O o M m a LL z c ti 0 `� 0 m 0 '^ 0 m m opo .Z E z O u m G m m O = E a m E 3¢ Y a z m vi >= E Y¢ a o o o o o G v p o. LL a 0 u o S o 3 z m m m N u m n m m O z z z z a z O as o 0 o a c o J y v a a N m m N J a w > l'J t� J t� .� v O t� a` o a m z o z r J z .� z m p�B m /y o. 2 m w F W zhi r g ji _ _ _ SM > > > X T v � � 1 x m O oO ` C a � ¢ � v E a v i w o o w - c m I E m Z v - m i m o y m o N N m 0 py O ti omx c a n w v o v v a o m w m o w O -o ui n o i m v v o v i u < a 3 - m m m n m e o = m y a` �-i la m m m n m m m m y O O O M "I N y . O O O I� Oil 10 O a 10 a 10 a a O O N a M O 10 N M "I a n a O � M rl CO M M M V1 O1 VI N II O O O O1 q h a CO M a 0 N N N N N a O I� CO OI N y O Vl N M h OI M M M M M 10 V� "I C a a 6 3 O V c a m E a E m v v v = m rv„ o. v a a E s a w m a a `a v a Kn o. v v�i m m @l m m m E m yf z c_ v u v c c A�- O '� u N p ai N Q c 0 o D V p w m v x v z C O G N m v x ti m S N CdJ - v a F m q- m m m m m m C' Cl N i_ E Lp Y N Q v 0 a d O O d d pa 2 O O S O ~ O O O m m-m O Z O z z z a z 0 0 o J W a c a n O m J o a v a u J u N m w w J N m J a > a O �amZzr _ _ GB-4 X T v � � 1 x y O jO ` C a � � ¢ v E a v i o w — c v \ E — i m { u? y m o N N � 0 py O ti o R a o w v o v v a o m w m o w O o i n m E 3 v v v o N o ? E v i u E m 3 m m m v - m m U' m m Q m m n m e a� m y aLL TABLE 5 PRELIMINARY HOME COST ALLOCATION WESTVIEW HOUSE SANTA ANA, CALIFORNIA Step 1: Determine Comparability, Select Method of Cost Allocation Step 2: Proposed HOME Investment Step 3: Calculate Actual Cost of HOME Units Total Development Costs Ineligible Development Costs ' Unit -Specific Upgrades Relocation Costs Assign Relocation Exclusively to HOME Units? Net Residential SF 73,860 $2,003,705 $39,017,797 (2,335,584) 0 0 NA Base Project Cost $497 /Sf Gross Residential SF $36,682,213 Assign Units p of Bdrms Unit Size Cost Unit 1 1 520 $258,255 2 1 520 $258,255 3 1 520 $258,255 4 2 750 $372,494 5 3 970 $481,746 6 3 970 $481,746 7 3 970 $481,746 8 4 1,080 $536,377 9 4 1,080 $536,377 Subtotal HOME Unit Costs $3,665,241 Add: Relocation Costs Allocated Exclusively to HOME Units (if applicable) $0 Actual Cost of HOME Units $3,665,241 Step 4: Calculate Maximum Project Subsidy Unit Size ft of Units Max Subsidy/Unit Maximum Subsidy 1 Bedroom 3 $171,802 $515,406 2 Bedroom 1 $208,913 $208,913 3 Bedroom 3 $270,266 $810,798 4 Bedroom 2 $296,666 $593,332 Maximum Project Subsidy 9 $2,128,449 Step 5: Maximum HOME Investment, Lesser of Proposed Investment (Step 2) $2,003,705 Actual Cost of HOME Units (Step 3) $3,665,241 Maximum Project Subsidy (Step 4) $2,128,449 Maximum HOME Investment 9 HOME Units $2,003,705 ' The ineligibe costs include: off -site improvements, on -site improvements, capitalized reserves and furnishings. Prepared by: Keyser Marston Associates, Inc. 6U _� File name: Westview House 3 19 20.xlsm; HOME; trb M LA O zm LA O Ln fV E N N L U lf1 0 C O a-J D 00 CV ri 2 Ln d N a-J C E O O L N O 3 a-J M Il N a-J C I E O O N L O N N a-J .E I E O N L v M I Iz Ir- A a-J h OR O �O 0 O M V) U Ln O M CL N L N E _ 4- a ° OR o M a-J C N N O N O V) � Q � N � O E _ O u 0 . ^ V) 3 a-J O '^ E a� E E o _0°o L L N N O N N ° 3.0 }' _0 +, O N L N N C V) V) a� V) E O c � V)U N E V)O O o u c U 4- N U O •E V)L O L = u Q W 41 .E n L W L N s+ m c E O 2 O E O OL N m J H 0 � L L L � O LL- V N O L. CL am a 0 T m b a rfl` m` m W Clm�: Sydney 51 Wiley Sr Q o zm 11 N LA'S, N FairviewS] C7 vi `m t 5 O X ~ V] © C C7 a w ¢ 9 O } N m m � � � r N a i7 n N Huron Or m 49 60 B-46 h N rl� c O c .^ 4J E 00 u E 4� �� E 00 a 0�� 2 t2 J m " EE�E_U4-J ' ' J N L --sue 0 V V J V a a F- (n L7 (n QO8-4r% 0 A af .on N 0 o• l - • Yi f "All : VG>-•)w REQUEST FOR COUNCIL ACTION; CITY COUNCIL MEETING DATE: APRIL 7, 2020 TITLE: APPROVE A REALLOCATION OF FISCAL YEAR 2020 - 2021 COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM FUNDS OF $90,000 AND APPROVE $90,000 IN INCLUSIONARY HOUSING FUNDS TO FUND WISEPLACE /s/ Kristine Rida CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: _••e• R ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s' Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO �1��►1�1�1:Iq:7 1. Approve a reallocation of $90,000 Fiscal Year 2020 — 21 Community Development Block Grant funds from WISEPIace to Relampago Del Cielo ($30,000), Women's Journey Foundation ($30,000) and the Delhi Center ($30,000). 2. Direct the City Attorney to finalize and authorize the City Manager to execute agreements with Relampago Del Cielo, Women's Journey Foundation, and the Delhi Center for the revised amounts as part of the approved Community Development Block Grant Program for a two-year term beginning July 1, 2020 through June 30, 2022, subject to non -substantive changes approved by the City Manager and City Attorney. Funding for these three agreements for Fiscal Year 2020-2021 will be renewed by the City Manager at the same award amount for Fiscal Year 2021-2022 subject to review of the non-profit orgnaization's performance. Public Service Organizations 2020-2022 Award Relampago del Cielo — Folklorico Dance Instruction $114,650 Women's Journey Foundation — Next Generation, Emotional Intelligence Through the Arts $115,000 Delhi Center/Public Law Center - Family Economic Success Initiative Program $110,000 TOTAL $339,650 3. Direct the City Attorney to finalize and authorize the City Manager to execute an agreement with WISEPIace for a two-year term beginning July 1, 2020 through June 30, 2022 from Inclusionary Housing funds, subject to non -substantive changes approved by the City Manager and City Attorney. Funding for this agreement for FY 2020-2021 will be renewed at the same award amount for FY 2021-2022 subject to review of the non-profit orgnaization's performance. 60C-1 Reallocation of Fiscal Year 2020 — 2021 CDBG Program Funds April 7, 2020 Page 2 Public Service Organization 2020-2022 Award WISEPIace — Steps to Independence $90,000 DISCUSSION On March 3'd, 2020, City Council approved the FY 2020-21 CDBG Program budget as presented, and as part of the FY 2020-21 budget process, requested staff to review the General Fund to determine if funding is available for Relampago Del Cielo, Women's Journey Foundation and The Delhi Center (Exhibit 1). For context, as part of the FY 2020-21 CDBG Program budget that had been continued from the February 17 to March 3 City Council meeting, staff reduced funding by $30,000 each for Relampago Del Cielo and Women's Journey Foundation in order to provide $60,000 in funding for a Summer Night Lights program to be administered by Nati's House. On March 3'd, City Council approved the FY 2020-21 CDBG Program budget but also requested staff to identify a source of funds to return the $30,000 each to Relampago Del Cielo and Women's Journey Foundation. City Council also requested staff to determine if General Fund monies are available to support The Delhi Center. Staff determined that there is insufficient General Fund monies available to return the $30,000 each to Relampago Del Cielo and Women's Journey Foundation as well as to provide additional funds for The Delhi Center. However, to fulfill City Council's direction staff are recommending to use $90,000 in Inclusionary Housing Funds to fund WISEPIace and then reallocate the $90,000 in CDBG funds originally meant for WISEPIace to Relampago Del Cielo, Women's Journey Foundation and The Delhi Center. Staff have confirmed that WISEPIace is eligible for funding from the City's Inclusionary Housing Fund. Following approval of this item, staff will enter into a two-year agreement with Relampago Del Cielo for $114,650 in CDBG funds, Women's Journey Foundation for $115,000 in CDBG funds, The Delhi Center (Family Economic Success program) for $110,000 in CDBG funds. Staff will also enter into a two-year agreement with WISEPIace for $90,000 in Inclusionary Housing funds. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's effort to meet the following Goals, Objectives, and Strategies: Goal #2 - Youth, Education, Recreation, Objective #2 (Expand youth programing), Strategy A (Focus resources on quality youth engagement, civic awareness, enrichment and education programs (i.e. youth camping trips) and expand after -school programs during out -of -school hours at the library and community centers, and Strategy B (Expand the youth sports program so that youth recreational opportunities are established year-round); Objective #4 (Partner with groups and organizations to promote education, senior services, job training and development for all Santa Ana residents); Goal #5 - Community Health, Livability, Engagement & Sustainability, Objective #4 (Support 60C-2 Reallocation of Fiscal Year 2020 — 2021 CDBG Program Funds April 7, 2020 Page 3 neighborhood vitality and livability), Strategy D (Implement new Neighborhood Improvement Initiatives focusing on residential areas that have been adversely affected by disinvestment and decline. Program and services from a variety of resources will be utilized to achieve positive and sustainable improvements), and Objective #6 (Focus projects and programs on improving the health and wellness of all residents), Strategy C (Integrate a variety of health and wellness programs into existing programming at each of the city's community/recreation centers (e.g. Develop equitable health access points)). FISCAL IMPACT Funds will be budgeted and available in the Community Development Block Grant account (no. 13518783-69135) and the Inclusionary Housing Fund account (no. 41718820-69135) upon the execution of a grant agreement between the City and HUD and the adoption of the FY 2020-21 annual budget. It is anticipated that the funds will be expended as follows: Fiscal Year Grant Accounting Unit- Fund Accounting Unit, Amount Year Account # Description Account Description 2015- Community FY 2020-21 2018 13518783-69135 Development CDBG Programs $169,825 Block Grant FY 2020-21 N/A 41718820-69135 InclusionaryHousing Payment to Subagent $ 45,000 Total for FY 20-21 $214,825 If the City Council approves the two-year agreements with the non-profit organizations per Recommended Actions 2 and 3, upon execution of a grant agreement between the City and HUD and the adoption of the FY 2021-22 annual budget, funds will be available and expended as follows: Fiscal Year Grant Accounting Unit- Fund Accounting Unit, Amount Year Account # Description Account Description Community FY 2021-22 2021 13518783-69135 Development CDBG Programs $169,825 Block Grant FY 2021-22 N/A 41718820-69135 Inclusionary Payment to Subagent $ 45,000 Housing Total for FY 21-22 $214,825 Exhibit: 1. Staff Report from March 3'd City Council meeting 60C-3 EXHIBIT 1 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MARCH 3, 2020 TITLE: APPROVE THE FISCAL YEAR 2020-2022 COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM FOR A TOTAL AMOUNT OF $7,560,549 /s/Kristine Ridge CITY MANAGER CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on V Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For Lois] L1 I I ►111q.111W FILE NUMBER RECOMMENDED ACTION 1. Approve the proposed Fiscal Year 2020-2021 Community Development Block Grant Program in the estimated amount of $7,560,549, subject to adjustment upon notification of the Grant Year 2020 and 2021 award from the United States Department of Housing and Urban Development. The estimated amount of $7,560,549 includes $5,701,154 from the Grant Year 2020 allocation, re -allocation of prior year program funds in the amount of $1,004,222, and $855,173 from 2021 Grant Year allocation for public services from the United States Department of Housing and Urban Development. 2. Direct the City Attorney to finalize and authorize the City Manager to execute memorandums of understanding with various city departments awarded funds as part of the approved Community Development Block Grant Program for a term beginning July 1, 2020 through June 30, 2021, subject to non -substantive changes approved by the City Manager and City Attorney. 3. Direct the City Attorney to finalize and authorize the City Manager to execute agreements with non-profit organizations awarded funds as part of the approved Community Development Block Grant Program for a two-year term beginning July 1, 2020 through June 30, 2022, subject to non -substantive changes approved by the City Manager and City Attorney. Funding for Public Services approved for FY 2020-2021 will be renewed at the same award amount for 2021-2022 subject to review of the non-profit organization's performance. 60C-4 Fiscal Year 2020 — 2022 CDBG Program March 3, 2020 Page 2 City Department 2020-2021 Award Community Development Agency - AdministrationoftheCDBGProgram_ Proposed $1,080,230 funding amount calculated based on 20% administrative cap less Fair Housing amount. Orange County Fair Housing Council Inc. — Provides fair housing education, landlord tenant counseling and enforcement services to combat housing discrimination and city $60,000 administrative support for the residents of the City of Santa Ana. A commitment to further fair housing is a requirement of CDBG funding_ Code Enforcement — Community Preservation Services $800,000 Economic Development - Funds are used to make award grants of up to $5,000 to $72 926 eligible microenterprise businesses in the City_ Library Services - Library Renovation $700,000 Parks, Recreation, and Community Services Agency $1,400,000 Planning and Building Agency — Neighborhood Sponsored Improvements to address property maintenance and life safety violations, which contribute to the visual blight and general $50,000 decline of an area_ Housi ng — To address rehabilitation of single-family and multi -family housing as well as a $1,687,047 homebu er down payment assistance program TOTAL $5,850,203 Public Service Organizations 2020-2022 Award AIDS Services Foundation of OC dba Radiant Health Centers — HIV Care Services $60,000 America on Track — Brighter Futures for Children of Prisoners $60,000 Boys & Girls Club of Santa Ana — College Bound $75,000 Community Action Partnerships of OC — Economic Empowerment, Your Money Your Goals $60,000 Community Health Initiative Orange County - Provides outreach, education, enrollment, and case management services to vulnerable populations $60,000 Community Legal Aid SoCal - Provides free, holistic legal assistance to survivors of domestic violence $75,000 Community SeniorSery — Lunch Cafe $60,000 Community SeniorSery — Home Delivery Meals $60,000 Delhi Center/Public Law Center - Family Economic Success Initiative Program $80,000 Delhi Center - Teens Engaged in Learning and Leadership Program $75,000 Girl's Inc. of Orange County — Literacy Lab $77,500 Human Options — Assisting Domestic Violence Victims $60,000 Lutheran Social Services of So. Cal. — Victims intervention Program $60,000 Nati's House (dba Neutral Ground) - Gang Prevention $60,000 Nati's House (dba Neutral Ground)— Summer Night Lights $60,000 60C-5 Fiscal Year 2020 — 2022 CDBG Program March 3, 2020 Page 3 OC Children's Therapeutic Arts Center — CARR Neighborhood Crime Prevention and Intervention $60,000 OC Children's Therapeutic Arts Center — WILLARD Neighborhood Crime Prevention and Intervention $60,000 Public Law Center - Affordable Housing & Homelessness Prevention Program $80,000 Pure Game — STAR Sports $60,000 Relampago del Cielo — Folklorico Dance Instruction $84,650 Taller San Jose Hope Builders — Business Applications $60,000 The Cambodian Family — Plan Ahead Youth Program $68,196 WISEPIace — Steps to Independence $90,000 Women's Journey Foundation — Next Generation, Emotional Intelligence Through the Arts $85,000 Young Men's Christian Association of OC — Financial Assistance Program $80,000 TOTAL $1,710,346 Info Tho —Air, mn it nrnnnronhinnc nniJ hha nm fn — c Aiorh In rhnn ncn m_ Rornmmc d-d A,6n C nA-,— FEBRUARY 18, 2020 CITY COUNCIL MEETING UPDATE Following City Council direction, staff have reallocated our limited CDBG funds to maximize the arts and cultural programming in the city. Specifically, staff are now recommending to reduce funding for Relampago Del Cielo and Women's Journey Foundation by $30,000 each and reallocate those funds to Nati's House - Summer Night Lights for a total new award of $60,000. Staff communicated with both organizations and both understand that City Council wants to maximize the impact of these limited funds for arts and cultural programming in the city. In regards to the funding request for Second Chance Orange County, staff will be recommending to the Community Redevelopment and Housing Commission to fund their organization with $30,000 annually in Emergency Solutions Grant funds renewable for up to a five-year period. COMMUNITY REDEVELOPMENT AND HOUSING COMMISSION RECOMMENDATION At its Regular Meeting on January 22, 2020, the Community Redevelopment and Housing Commission (CRHC) recommended approval of the nonprofit public services for the Fiscal Year 2020-2022 Community Development Block Grant Program to the City Council by a vote of 5:0 (Garcia absent). DISCUSSION The City of Santa Ana receives an annual allocation of Community Development Block Grant (CDBG) Program funds from the United States Department of Housing and Urban Developmeni (HUD) to improve low to moderate -income neighborhoods, eliminate blight and create a more stable economic base. These funds may be used for a diverse range of programs, including affordable housing, street improvements, park and public facilities improvements, economic development, code enforcement, and public services. The City's CDBG expected allocation for Grant Year (GY) 2020, Fiscal Year (FY) 2020-2021, is $5,701,154. Fiscal Year 2020 — 2022 CDBG Program March 3, 2020 Page 4 The proposed FY 2020-2021 CDBG Program and Funding Plan consists of the (CRHC) funding recommendations for nonprofit public service programs and staff's funding recommendations for Administration and Planning, Code Enforcement, Economic Development, City Capital Improvements, and Housing. The CDBG Program and Funding Plan can be summarized in two general categories: 1) Capital Projects/CDBG Program Funding Plan; and 2) Public Services. A summary of the process and allocation for the FY 2020-2021 CDBG Program is provided below for both general categories. Capital Projects/CDBG Program Funding Plan The FY 2020-2021 CDBG Program Funding Plan includes the funding allocations for administration, fair housing, code enforcement in low- to moderate- income areas of the city to address health and safety violations, economic development to provide small business grants, nonprofit public services, city capital improvement projects and multi -family rehabilitation loans as described in the CDBG FY 2020-2021 Program Funding Plan (Exhibit 1). The CDBG allowable cap of 20 percent for administration and fair housing services is estimated to be $1,140,230 for FY 2020-2021. Administration is necessary for staffing, compliance, reporting, fiscal management, and monitoring of the entire program. Fair housing is necessary due to CDBG requirements that the City affirmatively further fair housing. Three new city capital improvement projects are recommended for funding, which include the following: 1) $1.4 million for Park and Library improvents in CDBG eligible areas. 2) $700,000 for renovation of the Santa Ana Main Library with new windows throughout the building. The project will involve the demolition of existing windows, and the purchase and installation of new windows and weatherproofing. 3) $50,000 for Neighborhood -Sponsored Improvements to assist residential areas most affected by gang graffiti and vandalism by installation of virtually maintenance free commercial grade artificial ivy. The proposed programs and projects have been determined to be of highest priority and need by the Executive Directors of the Parks, Recreation and Community Services Agency, Public Works Agency, Planning and Building Agency and Community Development Agency, following the City's internal application process and the competitive public service allocation process described below. Public Services A maximum of 15 percent of CDBG funding, plus anticipated program income not to exceed 15% for FY 2020-2022 ($1,710,346), may be used for public services. For FY 2020-2022, the City is providing the entire estimated public service allocation to nonprofit organizations for programs with an emphasis on crime prevention, intervention, and/or suppression for children, youth, and families, economic development, tenant services assistance and programs, health services, and senior services (Exhibit 2). Following approval by the City Council on October 15, 2019, the City solicited applications from nonprofit organizations from November 4, 2019 to December 16, 2019. Marketing of the CDBG application process and nonprofit outreach efforts included a press release, use of social media via the City's Facebook page, a -mails to a nonprofit organization distribution list, mailings to nonprofits, e-mails to the City's Constant Contact distribution list, and a dedicated CDBG webpage on the City's website. 60C-7 Fiscal Year 2020 — 2022 CDBG Program March 3, 2020 Page 5 A total of 32 applications were received from 27 nonprofit organizations (four non -profits submitted two applications and one nonprofit submitted three applications). The applications were submitted to the Community Redevelopment and Housing Commission (CRHC) Ad Hoc Committee for review and rating based on the following criteria: COMMUNITY NEEDS 1. Did organization identify nature of • Applicant identifies the nature of the program and the program and demonstrated demonstrated need for targeted group. = 10 Pts. community need for target • Applicant doesn't identify the nature of the program and did population group (i.e. youth, not demonstrated need for targeted group. = 5 Pts. seniors, disabled) Q.B, 12, 14, 15 • Applicant only identifies State or National data = 0 Pts. 10 Points 2. Did applicant meet a specific City • Applicant met a specific city strategic plan goal and strategic plan goal and strategy strategy and was correlation to proposed program was and stated correlation to clea r= 10 Pts. proposed program? Q. 10 • Applicant met a specific city strategic plan goal and 10 Points strategy but did not clearly state the correlation to proposed program = 5 Pts. • Applicant did not meet any plan goal or strategy = 0 Pts. CAPACITY TO PROVIDE PUBLIC SERVICES 3. Did the organization provide a Organization provided summary and staff listing of all admin summary and listing of the and program to fully execute proposed program = 20 Pts. admin and program Organization did not provide both summary and staff listing staff? Q. 20 and Staff Listing of all admin and program staff = 10 Pts. 20 Points Organization provided summary and staff listing of all admin and program staff but does not have the capacity to fully execute proposed program = 5 Pts. • Organization did not provide summary and staff listing of all Admin and program = 0 Pts. EXPERIENCE 4. Years of experience providing 5 or more years of experience providing proposed program = the proposed program? Q. 9 10 Pts. 10 Points 2-4 years of experience providing proposed program = 5 Pts. • 1 year of experience providing proposed program = 3 Pts. • 0 years of experience providing proposed program = 0 Pts. 5. Does the applicant have Applicant has experience administering CDBG and Federal experience administering Grant programs = 10 Pts. CDBG and/or any other Applicant only has experience administering CDBG Federal Grants? Q.19 programs = 5 Pts. 10 Points Applicant has no experience administering CDBG and/or Federal Grant programs = 0 Pts. Fiscal Year 2020 — 2022 CDBG Program March 3, 2020 Page 6 6. Did organization meet prior • Applicant met 90% annual goals and expended all grant year's performance and funds 3 of 3 years = 10 Pts. expenditure goals. (Staff • Applicant met 90% annual goals and/or expended all grant spreadsheet) funds for 2 of 3 years = 5Pts. 10 Points • Applicant met 90% annual goals and/or expended all grant funds for 1 of 3 years = 3 Pts. • Applicant did not meet annual goal and/or expended all grant funds for 3 years = 0 Pts. EFFECTIVE & EFFICIENT USE OF FUNDS 7. Are the majority of • 100% to 80% of program participants are City residents = 10 unduplicated participants from Pts. Santa Ana? Q.1 • 79.9% to 60% of program participants are City residents = 5 (Q1 a/Q 1=%) Pts. 10 Points • 59.9% to 30% of program participants are City residents = 0 Pts. 8. Did the organization describe the Measurable performance outcomes with qualitatively and measurable performance quantitatively tracking = 10 Pts. outcomes and how outcomes will Measurable performance outcomes but no qualitatively and be qualitatively and quantitatively quantitatively tracking = 5 Pts. tracked? Q.17, 18 No measurable performance outcomes and qualitatively and 10 Points quantitatively tracking = 0 Pts. 9. Does the organization have Organization partners and/or collaborates with 3 or more active partnerships and/or community organizations = 10 Pts. collaborations in order to Organization partners and/or collaborates with 2 community effectively and efficiently carry organizations = 5 Pts. out proposed program? Q.16 Organization partners and/or collaborates with 1 community 10 Points organization = 1 Pts. • Organization partners and/or collaborates with 0 community organization = 0 Pts. Representatives from each organization were invited to present their proposed public service programs for funding consideration at two CRHC public hearings, on January 7, 2020 and January 9, 2020, held from 3:00 PM to 7:00 PM on both days. The CRHC Ad Hoc Committee finalized the application review and recommendations on January 15, 2020, and the funding recommendations are summarized in Exhibit 2. The recommended funding amounts for the non-profit organizations for a two-year contract period equals $1,710,346 from July 1, 2020 to June 30, 2022, with the exclusion of the Orange County Fair Housing Council Inc., which is funded out of program administration, as in previous years, and is not subject to the 15% public service cap. A brief summary of all 32 applications are shown in Exhibit 3. The CRHC, acting with assistance from City staff, made substantial improvements to the CDBG review process this year for our non-profit allocation in order to strengthen the process. Specifically, the commission formed an Ad Hoc Committee to revise the nonprofit CDBG application and scoring criteria matrix. Then, the Ad Hoc Committee and full commission adopted the following three improvements: 60C-9 Fiscal Year 2020 — 2022 CDBG Program March 3, 2020 Page 7 1. Adoption of a two-year non-profit CDBG application cycle. This improvement creates more certainty for the City's non-profit partners in regards to their funding. 2. Approval to have an Ad Hoc Committee review and score the non-profit CDBG applications on behalf of the commission and make funding recommendations to the entire commission which will then be recommended by the commission to the City Council. 3. Directed staff to facilitate a study session of the City's funding priorities and strategic plan goals after the Five -Year Consolidated Plan is completed. Once the City receives the actual CDBG allocations for FY 2020-2021 and FY 2021-2022 from HUD, the approved CDBG public service allocation will be increased or decreased in proportion to the actual grant allocation. Should the increase in funding be enough to fund additional nonprofits at the minimum funding level, funds will be allocated to the next highest scoring organization(s). Any remainder will be distributed to already high performing organizations in proportion to their actual grant allocation. Next Steps: If the FY 2020-2021 CDBG Program Funding Plan is approved, staff will prepare and execute memorandums of understanding with various City departments (Exhibit 4) for the period of July 1, 2020 through June 30, 2021 and agreements with nonprofit organizations (Exhibit 5 and 6) for the period of July 1, 2020 through June 30, 2022. All of the projects and programs are eligible for CDBG funding and are in alignment with the City's Five -Year Consolidated Plan, Strategic Plan and Capital Improvement Program. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's effort to meet the following Goals, Objectives, and Strategies: Goal #1 - Community Safety, Objective #6 (enhance Public Safety integration, communications and community outreach), Strategy F (The Santa Ana Police Department will collaborate with the Orange County Probation Department, Orange County Healthcare Agency caseworkers, business community, and associated non-profit organizations to assist in re-entry of recently released offenders into the community); Goal #2 - Youth, Education, Recreation, Objective #2 (expand youth programing), Strategy A (focus resources on quality youth engagement, civic awareness, enrichment and education programs (i.e. youth camping trips) and expand after -school programs during out -of -school hours at the library and community centers, and Strategy B (expand the youth sports program so that youth recreational opportunities are established year-round); Objective #4 (partner with groups and organizations to promote education, senior services, job training and development for all Santa Ana residents), Strategy A (partner with The California Endowment, Santa Ana College, Chapman University, UCI, CSUF, and other institutions of higher education to design career pathway programs that support priority workforce industries (Retail, healthcare, manufacturing, renewable energies) that results in faster reemployment of Santa Ana's residents; 60C-10 Fiscal Year 2020 — 2022 CDBG Program March 3, 2020 Page 8 Goal #3 - Economic Development, Objective #5 (leverage private investment that results in tax base expansion and job creation citywide), Strategy C (develop a knowledge base to foster economic development by actively partnering with non-profit organizations); Goal #5 - Community Health, Livability, Engagement & Sustainability, Objective #4 (support neighborhood vitality and livability), Strategy D (implement new Neighborhood Improvement Initiatives focusing on residential areas that have been adversely affected by disinvestment and decline. Program and services from a variety of resources will be utilized to achieve positive and sustainable improvements), and Objective #6 (focus projects and programs on improving the health and wellness of all residents), Strategy C (integrate a variety of health and wellness programs into existing programming at each of the city's community/recreation centers (e.g. Develop equitable health access points)). FISCAL IMPACT Funds will be budgeted and available in the Community Development Block Grant account (nos. 13518780, 13518782, and 13518783) upon execution of a grant agreement between the City and HUD and adoption of the FY 2020-21 annual budget. It is anticipated that the CDBG allocation will be expended as follows: Fiscal Year Grant Accounting Unit- Fund Accounting Unit, Amount Year Account # Description Account Description Community FY 2020-21 2020 13518780-various Development CDBG Administration $1,140,230 Block Grant Community FY 2020-21 2020 13518782-various Development CDBG Housing 1,687,047 Block Grant Community FY 2020-21 2020 13518783-various Development CDBG Programs 2,873,877 Block Grant 2015- Community FY 2020-21 2018 13518783-various Development CDBG Programs 1,004,222 Block Grant Total for FY 20-21 $6,705,376 If the City Council approves the two-year agreements with the non-profit organizations per Recommended Action 3, upon the execution of a grant agreement between the City and HUD and the adoption of the FY 2021-22 annual budget, funds will be available and expended as follows: Fiscal Year Grant Accounting Fund Accounting Unit, Amount Year Unit -Account # Description Account Description Community FY 2021-22 2021 13518783-various Development CDBG Programs $ 855,173 Block Grant Total for FY 21-22 $ 855,173 Total for FY 20-22 1 $7,560,549 60C-11 Fiscal Year 2020 — 2022 CDBG Program March 3, 2020 Page 9 APPROVED AS TO FUNDS AND ACCOUNTS: Steven A. Mendoza Kathryn Downs, CPA Executive Director Executive Director Community Development Agency Finance and Management Services Agency Exhibits: 1. CDBG Program Funding Plan and Program Summaries 2. CRHC Nonprofit Funding Recommendations 3. Summary of Nonprofit Applications 4. City Agency Memorandum of Understanding Template 5. CDBG and Nonprofit Agreement Template 6. Santa Ana Work Center and Nonprofit Memorandum of Understanding Template 60C-12 EXHIBIT 1 PROGRAM APPROVED REQUESTED RECOMMENDED FY 19-20 FY 20-21 FY 20-21 ADMINISTRATION 8: PLANNING $ 1,140,230 $ 1,146.230 $ 1.140,230 Administration and Planning 1,080,230 1.080,230 1,D80,230 Fair Housing 6Q000 66.000 60,000 CODE ENFORCEMENT $ 790,664 $ 800,000 $ 800,000 Community Preservation Cade Enforcement 765,664 775.000 775,000 Community Preservation Legal Services 25,000 25,000 25,000 ECONOMIC DEVELOPMENT $ 72,926 $ 72,926 $ 72,926 Nev, Business Start -Up 72,926 72,926 72,926 NONPROFIT PUBLIC SERVICES'(FY 20-21421-22) $ 872.543 $ 1,926,886 "$ 1,710.346 AIDS Serves Fdn OC ohs Radiant Health Centers - 148,500 60,000 America on Track 45,000 75,000 60,000 Boys It Gids Club of Santa Ana 40,000 75,000 75,000 Charitable Ventures ofOC(Summer Night Lights) 30,000 - - Community Action PaMership of Orange County 30,000 37,500 60,000 Community Health Initiative Orange County 30.000 50.000 60,000 Community Legal Aid Wal(Domestic Violence Prevention Project) 38,D00 44,D36 75,000 Community SeniorSery Inc. (Lunch Cafe) - 48,000 80,000 Community SemorSery Inc. (Home Delivered Meals) - 48,000 60.000 Chun Appointed Special Advocates(GASA) 30,000 - - Delhi GenterlPLC (Family Economic Success Inidatire) 93,205 149,183 80.000 Delhi Genter(Team Engaged in Leamkg and Leadership) 68,461 73,085 75.000 Delhi CenterlALBI 61,557 62.537 - Heritage Museum of Orange County(Barowing Ram) 31.320 34.516 - Heritage Museum of Orange County (Museums Inspiring Change) - 30.000 - Call; Inc ofOrange County (Literacy Lab) - 60,000 7.500 Human Options - 38,299 60.000 Lutheran Serial Services of So. Cal. 30.000 75,000 60,000 Nab's House (doe Neutral Ground) SNL 60,000 60,000 60,D00 Nati's House (dos Neutral Ground) Gang Prevention - 75,000 60,000 OC Children's Therapeutic Ada Center(CARR) - 50,000 60,OD0 OC Children's Therapeutic Ads Center (Willard) 70.000 75.000 60,OD0 Orange County United Way - 66,000 - PublicLawCenter(Consumer) 30,000 - - PublicLawCenter(Housing) 30.000 50,000 80,000 Pure Game - 33.00D 60,000 Relampago del Cielo - 69.300 84,650 Santa Ana Xbeme - 33,000 - Second Chance Orange County 50.000 60,000 - Taller San Jose Hope Builders 30.000 75.000 60,000 The Cambodian Family, 45.000 75.000 68,196 WISEPlace - 45.000 90.000 Wamees Journey, Foundation - 74.430 85.000 Young Man's Christian Association of Orange County 30,000 37,500 80.000 CITY CAPITAL IMPROVEMENTS $ 3,635,323 $ 10,671,150 $ 2,150.000 Library(FY 20-21 Library Renovation) 1.435,000 5,226,500 700.000 Residential Sheet and l nfrastructural l mprovements 2.150.323 3,994,650 - Park Improvements 1,400,000 1.400,000 Neighborhood Sponsored Improvements 50,00) 50,000 50,000 HOUSING $ 635,000 $ 1,681,207 $ 1.687,047 Single Family Rehab -City 300,000 - Multi Family Rehab 175,000 1,681,207 1,887,G47 Homebuyer Down Payment Assistance 160,000 - TOTAL $ 7,146,686 $ 16,298,399 $ 7,560,549 CDBG ALLOCATION 2020-2021 $ 5,701.154 $ 5.701,154 $ 5,701,154 CDBG ANTICIPATED PROGRAM INCOME $ 275,039 $ - CDBG RE -ALLOCATION -AVAILABLE $ 1,170,493 $ 1,004.222 CDBG ALLOCATION 2021-2022 (15% Public Services) $ 1,170,493 $ 855,173 SURPLUSgDEFICIT) $ - $ (10.597.245) $ - ADMINISTRATION CAP 2D%OFALLOCATION $ 1,140.230 $ 1.140,230 $ 1,140,231 ADMINISTRATION PROPOSED $ 1.140.230 $ 1,146,230 $ 1,140,231 SURPLUS/(DEFICIT) $ (0) $ (6,000) $ (0) PUBLIC SERVICE CAP 15% OF ALLOCATION PLUS PROGRAM INCOME NOT TO EXCEED 15% $ 872,543 $ 855,173 $ 855.173 PUBLIC SERVICE PROPOSED $ 872.543 $ 855,173 $ 855,173 SURPLUS7(DEFICIT) $ - $ - $ - 60C-13 m m m N ._O EOadm o? 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G#E 0 a)\ \ )®%§§ E)$gb Bp2§2 IM / 049 24 - m.E E UJ a \k\(\ e33< \)2 \ �_a- � 1I81HX] §OC.18 EXHIBIT 2 CRHC Nonprofit Funding Recommendations CDBG FY 2020-21 and FY 2021-22 Organization Name Program Applicant Current t year funding Applicant requested 2-year funding CRHC Recommended 2- year Funding AIDS Services Foundation OC DBA Radiant Health Centers - $148,500.00 $60,000.00 America on Track - $45.000.00 $150,000.00 $60,000.00 Boys &Girls Club- Collme Bound $40.000.00 $150,000.00 $76,000.00 Community Acton Partnership of Orange County- $30,000.00 $75,000.00 $60,000.00 Community Health Initiative Orange County - $30.000.00 $100,000.00 $60,000.00 Community Legal Aid SoCal - Donumfle Violence $38,000.00 $88,072.00 $75,000.00 CommunitySeniorServ- I'mch Cafe $96,000.00 $60,000.00 Community Senior5erv- Hmp, Delivered Meals $96,000.00 $60,000.00 Delhi Center/Public Law Center- $93.205.00 $298,366.00 $80,000.00 Delhi Center- $68,461.00 $146,170.00 $75,000,00 Girl's Inc of Orange County - $120.000.00 $77.500.00 Human Options- $76,597.00 $60,000.00 Lutheran Social Services of Southern California - $30,000.00 $150,000.00 $60,000.00 Nati's House- $60,000.00 $60,000.00 $60,000.00 Natrs House- Neutral (Irmind (,'arm Prevent on $150,000.00 $60,000.00 Orange County Children's Therapeutic Arts Center- $100.000.00 $60,000.00 Orange CountyChildren'sTherapeuticArtsCenter- $70,000.00 $150,000.00 $60,000.00 Public Law Center- $30.000.00 $100,000.00 $80,000.00 Pure Game- STAR Sprnts $66,000.00 $60,000.00 Relampagodel Cielo- $138,600.00 $94,650.00 Taller San Jose Hope Builders - Bug ness Ann cat nng $30,000.00 $160,000.00 $60,000.00 TheCamtodianFamily- Plan Ahp.PA Youth Procram $45,000.00 $150,000.00 $68,196.00 WisePlace- $90,000.00 $90,000.00 Women's Joumey Foundation - $148,860.00 $85,000.00 YMCA of OC - $30,000.00 $75,000.00 $80,000.00 Delhi CenterlALBI- $61,557.00 $125,074.00 $0.00 Heritage Museum of Orange County- The Borrowing Bam $31,320.00 $69.032.00 $0.00 Heritage Museum of Orange County- Museums Inspiring Chance $60,000.00 $0.00 Orange County united Way- $132,000.00 $0,00 Santa Ana Xtreme- $66,000.00 $0.00 Second Chance Orange County- $50,000.00 $120,000.00 $0.00 Total CRHC 2-year Funding Recommendation $1,110,346.00 Orange County Fair Housing Council Inc. 1 $66,000.00 1 $60,000.00 1 $60.000.00 60C-19 EXHIBIT 3 Summary of Community Development Block Grant Nonprofit Applications FY 2020-2022 AIDS Services Foundation Orange County DBA Radiant Health Centers HIV Care Services Radiant Health Centers (RHC) will provide low-income residents living with HIV in the City of Santa Ana with wraparound HIV care services. Participants will receive the support and resources needed to remain in medical care, maintain their health, and achieve viral suppression. Proposed number to be served: 680 Currently Funded: N/A CRHC Recommendation: $60,000 Strategic Plan Alignment: 5 Funding Request: $148,500 America On Track Brighter Futures for Children of Prisoners Children of prisoners deserve the chance to discover a brighter future, which is why America On Track provides them with trained, caring mentors, STEM workshops, a "College is For Me Too!" camp, free books, and special outings, as well as nutrition seminars and wraparound services for the families. Proposed number to be served: 600 Currently Funded: $45,000 CRHC Recommendation: $60,000 Strategic Plan Alignment: 2, 2a Funding Request: $150,000 Boys & Girls Club of Santa Ana College Bound College Bound provides at -risk Santa Ana teens with academic instruction and mentors to help graduate high school on time, prepare for secondary education, technical school or military and set career goals; this also prevents teens from engaging in activities that could otherwise derail their path. Proposed number to be served: 200 Currently Funded: $40,000 CRHC Recommendation: $75,000 Strategic Plan Alignment: 2, 4a Funding Request: $150,000 Community Action Partnership of Orange County Economic Empowerment - Your Money, Your Goals Economic empowerment services for low-income adults and youth in and around Santa Ana; workshops include Your Money Your Goals curriculum, which covers banking, spending plans, and money management by providing tools for participants to develop habits to increase their financial wellbeing. Proposed number to be served: 200 Currently Funded: $30,000 CRHC Recommendation: $60,000 Strategic Plan Alignment: 3, 5c Funding Request: $75,000 60C-20 103:1111:31111111c3 Summary of Community Development Block Grant Nonprofit Applications FY 2020-2022 Community Health Initiative of Orange County Community Health Access Program CHIOC helps City of Santa Ana residents to access health and social service programs by providing outreach, education, enrollment, and case management services to vulnerable populations. We strive to ensure that clients acquire, retain, and utilize community resources effectively. Proposed number to be served:2891 Currently Funded: $30,000 CRHC Recommendation: $60,000 Strategic Plan Alignment: 5, 6d Funding Request: $100,000 Community Legal Aid SoCal Domestic Violence Prevention Project Community Legal Aid SoCal (CLA SoCal) will provide free, holistic legal assistance to Santa Ana survivors of domestic violence to help them escape abuse and break the cycle of violence. Priority is given to service in the areas of family law, immigration, and healthcare advocacy. Proposed number to be served: 72 Currently Funded: $38,000 CRHC Recommendation: $75,000 Strategic Plan Alignment: 1, 6f Funding Request: $88,072 Community SeniorSery dba Meals on Wheels Orange County Lunch Cafe The purpose of the Lunch Cafe Program is to provide nutritious lunch meals for seniors in Santa Ana who are isolated, low income, and frail. The CDBG funds will help offset the raw food costs for providing meals for senior participants living in Santa Ana. Proposed number to be served: 1,000 Currently Funded: N/A CRHC Recommendation: $60,000 Strategic Plan Alignment: 5, 6e Funding Request: $96 000 Community SeniorSery dba Meals on Wheels Orange County Home Delivered Meals Program The Home Delivered Meals Program provides nutritional meals on a donation -basis to seniors, who are frail, isolated, have limited mobility, and limited social support. The CDBG funds will help offset the raw food costs for providing meals to homebound seniors residing in Santa Ana. Proposed number to be served: 300 Currently Funded: N/A CRHC Recommendation: $60,000 Strategic Plan Alignment: 5, 6e Funding Request: $96,000 Delhi Center I Public Law Center (previously Delhi / CIELO) Family Economic Success Initiative (FES) A collaborative case management strategy to help low-income families fill vocational, educational, and financial service gaps, so they can make better decisions to earn more, keep more of what they earn, and move up the economic ladder. Proposed number to be served:250 Currently Funded: $93,205 CRHC Recommendation: $80,000 Strategic Plan Alignment: 2, 2a Funding Request: $298,366 60C-21 2 EXHIBIT 3 Summary of Community Development Block Grant Nonprofit Applications FY 2020-2022 Delhi Center Teens Engaged in Learning and Leadership (TELL) A leadership development program that trains teens to take an active role in designing and implementing educational and team building activities in their community that teach younger children about gang prevention, problem solving, conflict resolution, avoiding risk and making safe choices. Proposed number to be served:250 Currently Funded: $68,461 CRHC Recommendation: $75,000 Strategic Plan Alignment: 2, 2a Funding Request: $146,170 Girl's Inc of Orange County Literacy Lab Literacy Lab ensures that 120 elementary school girls per year in Santa Ana reach grade level reading by fourth grade. Small group reading with mentors and educators, engaging activities, a summer camp, and family literacy nights build a love of reading and a strong educational foundation. Proposed number to be served: 240 Currently Funded: N/A CRHC Recommendation: $77,500 Strategic Plan Alignment: 2, 2a Funding Request: $120,000 Human Options Assisting Domestic Violence Victims The project will provide intensive case management services to Santa Ana residents who self report domestic violence or who.are referred by the Domestic Violence Response Team. Case management services will include safety planning, assessment of needs and linkages to needed resources. Proposed number to be served: 80 Currently Funded: N/A CRHC Recommendation: $60,000 Strategic Plan Alignment: 1, 1d Funding Request: $76,597 Lutheran Social Services of Southern California (LSSSC) Victims Intervention Program (VIP) The Victims Intervention Project (VIP) will provide women who are victims of crime with evidence -based recovery services — direct mental health services, rental assistance, hotel/motel vouchers, intensive case management, transportation, life skills training and other supportive services. Proposed number to be served: 150 Currently Funded: $30,000 CRHC Recommendation: $60,000 Strategic Plan Alignment: 5, 4d Funding Request: $150,000 60C-22 EXHIBIT 3 Summary of Community Development Block Grant Nonprofit Applications FY 2020-2022 Nati's House Neutral Ground Gang Prevention Nati's House Neutral Ground provides after school programming and mentoring to youth: focusing on violence prevention, gang intervention, restorative practices, mentoring, and drug and alcohol prevention. Neutral Ground also provides street outreach and programming for parents and community. Proposed number to be served: 150 Currently Funded: N/A CRHC Recommendation: $60,000 Strategic Plan Alignment: 2, 2a Funding Request: $150,000 Nati's House Neutral Ground Summer Night Lights Nati's House Neutral Ground provides summer night lights for 40 nights during the summer. Parks and recreation centers will be open late so that families can enjoy safe spaces, meet neighbors, find new opportunities and resources, and create relationships with the City and County agencies that serve them.. Proposed number to be served: 160 Currently Funded: N/A CRHC Recommendation: $60,000 Strategic Plan Alignment: 2, 2a Funding Request: $150,000 Orange County Children's Therapeutic Arts Center OCCTAC/CARR Neighborhood Crime Prevention & Intervention Program Orange County Children's Therapeutic Arts Center (OCCTAC) proposes to start our Crime Prevention & Intervention Program at CARR Intermediate School and neighborhood to provide youth and their parents life -changing opportunities through: 1) Arts Enrichment, 2)Therapeutic Arts, 3)Family Counseling, 4)Parenting, & 5)Academic Support. Proposed number to be served: 200 Currently Funded: N/A CRHC Recommendation: $60,000 Strategic Plan Alignment: 2, 2a Funding Request: $100,000 Orange County Children's Therapeutic Arts Center OCCTAC/Willard Neighborhood Crime Prevention & Intervention Program Orange County Children's Therapeutic Arts Center (OCCTAC) proposes to continue our Willard Crime Prevention & Intervention Program to provide youth and their parents life - changing opportunities through: 1) Arts enrichment, 2)Therapeutic Arts, 3)Family Counseling, 4)Parenting, & 5)Academic Support. Proposed number to be served: 550 Currently Funded: $70,000 CRHC Recommendation: $60,000 Strategic Plan Alignment: 2, 2a Funding Request: $150,000 60C-23 EXHIBIT 3 Summary of Community Development Block Grant Nonprofit Applications FY 2020-2022 Public Law Center Santa Ana Community Development Housing Program PLC provides legal assistance and education to Santa Ana residents who are experiencing housing instability and reside in poorly operated and maintained mobile home parks and apartments. PLC supports neighborhood vitality and livability through advocacy for affordable and habitable dwellings.150 Proposed number to be served: 120 Currently Funded: $30,000 CRHC Recommendation: $80,000 Strategic Plan Alignment: 5, 4d Funding Request: $100,000 Pure Game STAR Sports We provide schools a sports -based youth development program. We focus on creating a safe, positive, inclusive environment allowing a higher number of kids to participate and experience our character education and leadership curriculum. Our curriculum helps children make better quality life choices. Proposed number to be served: 3,800 Currently Funded: N/A CRHC Recommendation: $60,000 Strategic Plan Alignment: 2, 2b Funding Request: $66,000 Relampago del Cielo Folklorico Dance Instruction The program provides folkloric instruction to children and youth in low -to -moderate -income families. They will learn various dances from Mexico, showcasing their learning at civic and community events. The program creates a place where children and youth are healthy, safe and ready to learn. Proposed number to be served: 236 Currently Funded: N/A CRHC Recommendation: $84,650 Strategic Plan Alignment: 2, 2a Funding Request: $138,600 Taller San Jose Hope Builders Equipping Disadvantaged Youth for Careers With CDBG funding, Hope Builders' job training program will create economic opportunities for 50 disadvantaged Santa Ana youth by providing them hard skills training in construction, healthcare, business applications, and information technology, and life skills needed for enduring success. Proposed number to be served: 50 Currently Funded: 75 CRHC Recommendation: $60,000 Strategic Plan Alignment: 2, 4a Funding Request: $150,000 5 60C-24 EXHIBIT 3 Summary of Community Development Block Grant Nonprofit Applications FY 2020-2022 The Cambodian Family Plan Ahead Youth Program PAYP will help Santa Ana's low-income youth and parents from immigrant families thrive in the areas of academics, leadership and parenting skills so that they are able to be engaged in more positive afterschool activities, stay off streets and avoid destructive or gang related activity. Proposed number to be served: 228 Currently Funded: $45,000 CRHC Recommendation: $68,196 Strategic Plan Alignment: 2, 2a Funding Request: $150,000 WISEPIace Steps of Independence WISEPIace transitional housing, trauma -informed care and wrap -around services provide the tools to move women from homeless to safe and affordable housing, reuniting them with their children and families. Proposed number to be served: 60 Currently Funded: N/A CRHC Recommendation: $90,000 Strategic Plan Alignment: 5, 4d Funding Request: $90,000 Women's Journey Foundation Next Generation: Emotional Intelligence Through the Arts The Next Generation: Emotional Intelligence Through the Arts Program is designed to expose K-12 grade participants to the development of emotional intelligence through the integration and direct engagement with the performing arts. The program culminates with a final performance for their community. Proposed number to be served: 520 Currently Funded: N/A CRHC Recommendation: $85,000 Strategic Plan Alignment: 2, 2a Funding Request: $148,860 Young Men's Christian Association of Orange County YMCA Financial Assistance Program - Santa Ana Programs We would like to request CDBG funding to provide Financial Assistance to low income, very low, and extremely low-income participants wishing to enroll in our Santa Ana Sports & Aquatics programs (soccer, swim, dodgeball, fitness programs) and Santa Ana After -School Programs. Proposed number to be served: 210 Currently Funded: $30,000 CRHC Recommendation: $80,000 Strategic Plan Alignment: 3, 5c Funding Request: $75,000 60C-25 EXHIBIT 3 Summary of Community Development Block Grant Nonprofit Applications FY 2020-2022 Orange County Fair Housing Council, Inc (dba Fair Housing Council of Orange County) Santa Ana Fair Housing Education, Counseling and Enforcement Serving both housing consumers and providers with fair housing education, counseling and enforcement services to combat housing discrimination, combined with landlord -tenant counseling. Fair housing activities assist Santa Ana in certifying to HUD that it is "affirmatively furthering fair housing". Proposed number to be served: 10,050 Currently Funded: 60,000 CRHC Recommendation: $120,000 Strategic Plan Alignment: 5, 4d Funding Request: $132,000 'Fair Housing project funding is from Administrative cap and does not impact Public Service funding. Delhi Center/ALIBI School Break Enrichment Program Enrichment Day Camps offered during three school -break periods for 125 children, providing instruction in performing arts, social emotional skill development activities that build resiliency, and parent workshops with take-home family assignments that increase family bonding. Proposed number to be served: 250 Currently Funded: $61,557 CRHC Recommendation: $0 Strategic Plan Alignment: 2, 2a Funding Request: $125,074 Heritage Museum of Orange County The Borrowing Barn The Borrowing Barn will serve as a tool library, time bank, seed library, and DIY educational/community center for the surrounding area. Proposed number to be served: 200 Currently Funded: $31,320 CRHC Recommendation: $0 Strategic Plan Alignment: 3, 5c Funding Request: $69,032 Heritage Museum of Orange County Museums Inspiring Change Through the MIC mentorship program, we seek to combat a broader, institutional lack of diversity in the field of museum careers. We will expose SAUSD youth to current industry leaders, potential career paths, and basic museum principles to build their knowledge of and access to relevant opportunities. Proposed number to be served: 140 Currently Funded: N/A CRHC Recommendation: $0 Strategic Plan Alignment: 2, 2a Funding Request: $60,000 60C-26 EXHIBIT 3 Summary of Community Development Block Grant Nonprofit Applications FY 2020-2022 Orange County United Way SparkPoint OC SparkPoint OC financial empowerment centers serve low-income, housing insecure or homeless individuals and families at five Orange County locations, including Santa Ana. Clients meet monthly with a financial coach to develop plans that increase income, reduce debt, improve credit, and build assets. Proposed number to be served: 120 Currently Funded: N/A CRHC Recommendation: $0 Strategic Plan Alignment: 3, 5c Funding Request: $132,000 Santa Ana Xtreme Santa Ana Xtreme Softball Develop female athletes as future civic leaders. Teach self-discipline, hard teamwork & important life lessons through softball. Providing a healthy activity & training in an atmosphere of community participtation. Help them with college recruitment/admission and financial scholarships. Proposed number to be served: 90 Currently Funded: N/A CRHC Recommendation: $0 Strategic Plan Alignment: 2, 2b Funding Request: $66,000 Second Chance Orange County More Second Chances SCOC provides individualized services to Santa Ana residents recovering from alcohol and substance abuse, often homeless, who seek stable, sustainable lives. Residents seeking an end to dependency will gain career training, mentoring, support in job placement and ongoing follow-up. Proposed number to be served: 120 Currently Funded: $50,000 CRHC Recommendation: $0 Strategic Plan Alignment: 1, 6f Funding Request: $120,000 60C-27 8 EXHIBIT 4 MEMORANDUM OF UNDERSTANDING BETWEEN THE CITY OF SANTA ANA AND CITY AGENCY FOR USE OF COMMUNITY DEVELOPMENT BLOCK GRANT FUNDS This Memorandum of Understanding is hereby made and entered into this I st day of July, 2020, by and between the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("CITY"), and CITY AGENCY of the City, ("SUBRECIPIENT"). RECITALS: A. The CITY, as an entitlement recipient and grantee of the United States Department of Housing and Urban Development ("HUD") Community Development Block Grant ("CDBG') Entitlement Program, Catalog of Federal Domestic Assistance (CFDA) Number 14.218, and Federal Award Identification Number (FAIN) B-20-MC-06-0508 , desires to enter this Agreement with the SUBRECIPIENT for the expenditure of CDBG finds in accordance with Title 24, Part 570 of Code of Federal Regulations 24 CFR 570.000, et seq. C-CDBG REGS'). B. CITY has applied for and received CDBG funds from HUD pursuant to Title I of the Housing and Community Development Act of 1974, Public Law 93-383, as amended ("ACT"). C. The SUBRECIPIENT has been selected by the CITY to receive CDBG funds and administer such financial assistance; and to provide the services described in Exhibit A, in accordance with the schedule of performance included therein, hereinafter referred to as "said program". SUBRECIPIENT represents that it is qualified and willing to operate said program and certifies that the activities carried out with funds provided under this Agreement will meet one or more of the CDBG program's National Objectives (24 CFR Part 570.208). D. SUBRECIPIENT agrees that it will adhere to the performance measurements and outcomes as indicated on Exhibit A (Schedule of Performance). Failure to follow the measurements and meet the stated outcomes may constitute breach of contract that could result in termination of this Agreement or serve as reason for the City to recapture the grant funds awarded to SUBRECIPIENT pursuant to this Agreement. WHEREFORE, it is agreed by and between the parties that the foregoing Recitals are a substantive part of this Agreement and the following terms and conditions are approved and together with all exhibits and attachments hereto, shall constitute the entire Agreement between the CITY and SUBRECIPIENT: I. SUBRECIPIENT'S OBLIGATIONS A. Representations and Warranties. (a) Authority. SUBRECIPIENT is in good standing and authorized to do business under the laws of the State of California. SUBRECIPIENT has full right, power and lawful authority to accept the funding hereunder and to undertake all obligations as provided herein and the execution, performance and delivery of this Agreement by SUBRECIPIENT has been fully authorized by all requisite actions on the part of SUBRECIPIENT. (b) Experience. SUBRECIPIENT is a qualified provider of the services to be provided hereunder. 60G-28 EXHIBIT 4 (c) Familiarity With Services Required. By executing this Agreement, SUBRECIPIENT warrants that (i) it has thomughly investigated and considered the services to be performed and provided hereunder, (ii) it has carefully considered how the services should be performed, and (iii) it fully understands the facilities, difficulties and restrictions attending performance of the services under this Agreement. (d) No Conflict. To the best of SUBRECIPIENT'S knowledge, SUBRECIPIENT'S execution, delivery and performance of its obligations under this Agreement will not constitute a default or a breach under any contract, agreement or order to which SUBRECIPIENT is a party or by which it is bound. (e) No Bankruptcy. SUBRECIPIENT is not the subject of any current or threatened bankruptcy proceeding. (t) No Pending Legal Proceedings. SUBRECIPIENT is not the subject of a current or threatened litigation that would or may materially affect SUBRECIPIENT'S performance under this Agreement. (g) Application Veracity. All provisions of and information provided in SUBRECIPIENT'S application for funding submitted to CITY including any exhibits are true and correct in all material respects. (h) No Pending Investigation. SUBRECIPIENT is not aware that it is the subject of any current or threatened criminal or civil action investigation by any public agency, including without limitation a police agency or prosecuting authority, that would relate to affect performance of the Agreement or provision of services hereunder. B. Amount of Grant/Term and Quarterly Disbursement. The amount granted to SUBRECIPIENT is $00,000 ("CDBG FUNDS', for the term of July 1, 2020 through June 30, 2021 for - ----------Name of Project-----. Such funds shall be expended by SUBRECIPIENT on or before June 30, 2022. The Term of this Agreement may be extended by a writing executed by the City Manager, or his or her designee, and the City Attorney. The CDBG FUNDS shall be disbursed by CITY to SUBRECIPIENT on a quarterly basis subject to and upon receipt and approval of a complete quarterly activity report from SUBRECIPIENT, with the final payment subject to the satisfaction of the condition precedent of submittal of complete reporting information due on or before July 15 of the applicable funding year, as hereinafter more fully set forth. SUBRECIPIENT shall be obligated to perform such duties as would normally extend beyond the term, including, but not limited to, obligations with respect to indemnification, audits, reporting, data retention/reporting, and accounting. Failure to provide any of the required documentation and reporting will cause CITY to withhold all or a portion of a request for reimbursement, or return the entire reimbursement package to SUBRECIPIENT, until such documentation and reporting has been received and approved by CITY. The CITY reserves the right to reduce the grant application if the CITY's fiscal monitoring indicates that SUBRECIPIENT's rate of expenditure will result in unspent funds at the end of the program year. Amendments in the grant allocation will be made after consultation with SUBRECIPIE'NT. C. Use of Funds. SUBRECIPIENT agrees to use all federal funds provided by CITY to SUBRECIPIENT pursuant to this Agreement to operate said program, as set forth in "Exhibit A," attached hereto and by this reference incorporated herein. SUBRECIPIENT'S failure to perform as required may, in addition to other remedies set forth in this Agreement, result in readjustment of the amount of funds CITY is otherwise obligated to pay to SUBRECIPIENT hereunder. 60C-29 EXHIBIT 4 D. Allowable Costs. SUBRECIPIENT agrees to complete said program on or before June 30, 2--, and to use said funds to pay for necessary and reasonable costs allowable under the federal law and regulations to operate said program. Said amounts shall include, but not be limited to, wages, administrative costs, and employee benefits comparable to other similarly situated employees, and indirect costs. Other allowable program costs are detailed in the budget, as set forth in "Exhibit B," attached hereto and by this reference incorporated herein. SUBRECIPIENT shall use all income received from said funds only for the same purposes for which said funds may be expended pursuant to the terms and conditions of this Agreement. SUBRECIPffiM has the ability to adjust line item amounts in the budget with the written approval of the CHY's Executive Director of the Community Development Agency, or designee, so long as the total budget amount does not increase. Pursuant to 2 CFR §200.33 1 (a)(4), the Indirect Cost Rate for the SUBRECIPIENT's award shall be an approved federally recognized indirect cost rate negotiated between the SUBRECIPIENT and the Federal government, or, if no such rate exists, the de mimmis indirect cost rate as defined in 2 CFR §200.414(b) Indirect (F&A) costs. For this agreement, the de minimis indirect cost rate of % will apply. E. Licensing. SUBRECIPIENT agrees to obtain and maintain all required licenses, registrations, accreditation and inspections from all agencies governing its operations. SUBRECIPIENT shall ensure that its staff shall also obtain and maintain all required licenses, registrations, accreditation and inspections from all agencies governing SUBRECIPIENT's operations hereunder. Such licensing requirements include obtaining a City business license, as applicable. F. Zoning. SUBRECIPIENT agrees that any facility/property used in furtherance of said program shall be specifically zoned and permitted for such use(s) and activity(ies). Should SUBRECIPIENT fail to have the required land entitlement and/or permits, thus violating any local, state or federal rules and regulations relating thereto, SUBRECIPIENT shall immediately make good faith efforts to gain compliance with local, state or federal rules and regulations following written notification of said violation(s) from the CITY or other authorized citing agency. SUBRECIPIENT shall notify CITY immediately of any pending violations. Failure to notify CITY of pending violations, or to remedy such known violation(s) shall result in termination of grant funding hereunder. SUBRECIPIENT must make all corrections required to bring the facility/property into compliance with the law within sixty (60) days of notification of the violation(s); failure to gain compliance within such time shall result in termination of grant funding hereunder. G. Separation of Accounts. All funds received by SUBRECIPIENT from CITY pursuant to this Agreement shall be maintained in an account in a federally insured banking or savings and loan institution with record keeping of such accounts maintained pursuant to applicable 2 CFR 200.302 requirements. SUBRECIPIENT is not required to maintain separate depository accounts for CDBG FUNDS; provided however, the SUBRECIPIENT must be able to account for receipt, obligation and expenditure of CDBG FUNDS pursuant to applicable 2 CFR 200.302 requirements. H. Audit Report Requirements. SUBRECIPIENT agrees that if SUBRECIPIENT expends Seven Hundred Fifty Thousand Dollars ($750,000) or more in federal funds, SUBRECIPMM shall have an annual audit conducted by a certified public accountant in accordance with the standards as set forth and published by the United States Office of Management and Budget. SUBRECIPIENT shall provide CITY with a copy of said audit by April 1 of the year following the program year in which this Agreement is executed. 60C-30 EXHIBIT 4 I. Record Keeping/Reporting. SUBRECIPIENT shall keep and maintain complete and adequate records and reports on program participants to determine their initial and continuing eligibility for the program services being provided to assist = in meeting and maintaining its record keeping responsibilities under the CDBG REGS, including the following: (1) Records a. Documentation evidencing program income requirements in conformity with 24 CFR 570.504(b((2)(i), (ii) and 24 CFR 570.503(b)(3) and 24 CFR 570.208(a)(2)(B) of the income level of persons and/or families participating in or benefiting by the SUBRECIPIENT program. b. Documentation of the number of persons and/or families participating in or benefiting by the SUBRECIPIENT program. c. Household information shall include number of persons, identification of head of household, race/ethnicity, and income verification of all household members ages 18 and over. d. Documentation of all CDBG FUNDS received from CITY. e. Documentation of expenses as identified in the Budget Proposal, including evidence of incurring the expense, invoices for goods or services, copies of any and all contracts or documentation pertaining to costs for subcontractors, plus all other invoices and proof of payment for which CDBG FUNDS were expended, and any payments therefor. f. Any such other related records as CITY shall reasonably require or as required to be maintained pursuant to the CDBG REGS. (2) Reports a. Payment Request. Concurrently with the submittal of each quarterly report, on or before the 15th day of October, January, April and July, SUBRECIPIENT shall submit both: an original invoicetrequest for reimbursement and true copies of invoices, receipts, canceled checks, bank statements, credit card statements, procurement documentation for goods or services, timesheets, payroll records, benefit statements, agreements, contracts or documentation pertaining to costs for subcontractors, and/or other documentation supporting and evidencing how the CDBG FUNDS have been expended during the applicable quarter. b. Quarterly Progress Report. SUBRECIPIENT agrees to keep records of all ethnic and racial statistics of persons and families benefited by SUBRECIPIENT in the performance of its obligations under this Agreement, including, but not limited to, the number of low and moderate income persons and households assisted in accordance with federal income limits, the number of female heads of households assisted, new program information and year-to-date program statistics on expenditures, caseload and activities. Failure to provide any of the required documentation and reporting will cause CITY to withhold all or a portion of a request for reimbursement, or return the entire reimbursement package to SUBRECIPIENT, until such documentation and reporting has been received and approved by CITY. J. Access to Records. CITY and the United States Government and their representatives or auditors shall have access for purposes of monitoring, auditing, and examining SUBRECIPIENT's activities and performance, to books, documents and papers, and the right to examine records of SUBRECIPIENT's subcontractors, bookkeepers and accountants, employees and participants in regard to 60C-31 EXHIBIT 4 said program. CTTY and the United States Government and their representatives or auditors shall also schedule on -site monitoring at their discretion. Monitoring activities may also include, but are not limited to, questioning employees and participants in said program and entering any premises or any site in which any of the services or activities funded hereunder is conducted or in which any of the records of SUBRECIPIENT are kept. Nothing herein shall be construed to require access to any privileged or confidential information as set forth in federal or state law. K. Location of Records/Rgquired Length of Record Keepine. All accounting records, reports, and evidence pertaining to all costs, expenses and the CDBG FUNDS of SUBRECIPIENT and all documents related to this Agreement shall be maintained and kept available at SUBRECIPIENT'S office or place of business for the duration of the Agreement and thereafter for five (5) years from the date of final payment under this Agreement. Records which relate to (a) complaints, claims, administrative proceedings or litigation arising out of the performance of this Agreement, or (b) costs and expenses of this Agreement to which CITY or any other governmental agency takes exception, shall be retained beyond the five (5) years until complete resolution or disposition of such appeals, litigation claims, or exceptions. In the event SUBRECIPIENT does not make the above -referenced documents available within the city of Santa Ana, California, SUBRECIPIENT agrees to pay all necessary and reasonable expenses incurred by CTI'Y in conducting any audit at the location where said records and books of account are maintained. L. Compliance with Law/Program Income. SUBRECIPIENT acknowledges that the funds being provided by CITY for said program are received by CITY pursuant to the ACT as amended and that expenditures of these funds shall be in accordance with the ACT and all pertinent regulations issued by agencies of the federal government, including, but not limited to, all regulations found at Title 24 of the Code of Federal Regulations. Program income received by SUBRECIPIENT shall be returned to CITY unless otherwise provided for in this Agreement. SUBRECIPIENT agrees to comply fully with all federal, state and local laws and court orders applicable to its operation whether or not referred to in this Agreement. M. Debarment. To protect the public interest and ensure the integrity of Federal programs, CITY may only conduct business with responsible persons and may not make any award or permit any award to any party which is debarred or suspended or is otherwise excluded from or ineligible for participation in Federal assistance programs under Executive Order 12549, "Debarment and Suspension". See also 24 CFR 570.609. SUBRECIPIENT must review and sign Exhibit C "Debarment", which is attached hereto and incorporated herein by this reference. SUBRECIPIENT shall be in good standing, without suspension by the California Secretary of State, Franchise Tax Board and Internal Revenue Service. Any change in the corporate status or suspension of SUBRECIPIENT shall be reported immediately to CITY. N. Confidentiality. Without prejudice to any other provisions of this Agreement, SUBRECIPIENT shall, where applicable, maintain the confidential nature of information provided to it concerning participants in accordance with the requirements of federal and state law. However, SUBRECIPIENT shall submit to CITY and or HUD or its representatives, all records requested, including audit, examinations, monitoring and verifications of reports submitted by SUBRECIPIENT, costs incurred and services rendered hereunder. O. Indeoendent Contractor. SUBRECIPIENT agrees that the performance of obligations hereunder is rendered in its capacity as an independent contractor and that it is in no way an agency of CITY. P. Violation of Terms and Conditions. SUBRECIPIENT agrees that if SUBRECIPIENT violates any of the terms and conditions of this Agreement or any prior Agreement whereby CDBG funds were received by SUBRECIPIENT, or if SUBRECIPIENT reports inaccurately, or if on audit there is a 60C-32 EXHIBIT 4 disallowance of certain expenditures, SUBRECIPIENT agrees to remedy the acts or omissions causing the disallowance and repay CffY all amounts spent in violation thereof. If SUBRECIPIENT engaged in fraudulent activity to obtain and/or justify expenditure of the CDBG funds granted hereunder, SUBRECIPIENT shall be required to reimburse the CITY of all such funds that were obtained and/or spent under fraudulent circumstances. Q. Equipment. SUBRECIPIENT agrees to maintain a record for each item of non -expendable personal property acquired under the terms of this Agreement. Said record shall be made available to CITY upon request. The term "non -expendable personal property" shall include leased and purchased equipment. R. Prohibited Use. SUBRECIPIENT hereby certifies and agrees that it will not use funds provided through this Agreement to pay for entertainment, meals or gifts, or other prohibited uses. S. Lobbvine. SUBRECIPIENT certifies that it will comply with federal law (31 U.S.C. 1352) and regulations found at 24 CFR Part 87, which provide that no appropriated funds may be expended by the recipient of a federal contract, grant, loan or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, Member of Congress, or an officer or employee of a Member of Congress in connection with awarding of any federal contract, the making of any federal grant or loan, entering into any cooperative agreement and the extension, renewal, amendment or modification of any federal contract, grant, loan or cooperative agreement. SUBRECIPIENT shall sign a certification to that effect in a form as set forth in 'Exhibit D," attached hereto and by this reference incorporated herein. SUBRECIPIENT shall submit said signed certification to CITY prior to performing any of its obligations under this Agreement and prior to any obligation arising on the part of CITY to pay any sums to SUBRECIPIENT under the terms and conditions of this Agreement. 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 a "Disclosure Form to Report Lobbying," in accordance with its instructions (Exhibit D). SUBRECIPIENT shall require that the language of this certification be included in the award documents for all sub awards at all tiers (including subcontractors, sub -grants, and contracts under grants, loans, and cooperative agreements), and agrees to take all actions necessary to ensure that all subrecipients shall similarly certify and disclose accordingly. T. Financial Interest. SUBRECIPIENT agrees that except for the use of CDBG funds to pay salaries and other related administrative or personnel costs, no persons who exercise or have exercised any function with respect to CDBG activities assisted under the terms of this Agreement, or who are in a position to participate in a decision -making process or gain inside information with regard to such activities, may obtain a financial interest or benefit from a CDBG-assisted activity of SUBRECIPIENT, either for themselves or those with whom they have family or business ties, during their tenure or for one year thereafter. This prohibition applies to any person who is an employee, agent, consultant, officer, or elected or appointed official of CTPY, or of any designated public agency, or the SUBRECIPIENT. U. Labor Standards. The SUBRECIPIENT agrees to comply with the requirements of the Secretary of Labor in accordance with the Davis -Bacon Act as amended, the provisions of Contract Work Hours and Safety Standards Act (40 U.S.C. 327 et seq.) and all other applicable Federal, state and local laws and regulations pertaining to labor standards insofar as those acts apply to the performance of this Agreement. The SUBRECIPIENT agrees to comply with the Copeland Anti -Kick Back Act (18 U.S.C. 874 et seq.) and its implementing regulations of the U.S. Department of Labor at 29 CFR Part 5. The 60C-33 EXHIBIT 4 SUBRECIPIENT shall maintain documentation that demonstrates compliance with hour and wage requirements of this part. Such documentation shall be made available to the CITY for review upon request. SUBRECIPIENT agrees that, except with respect to the rehabilitation or construction of residential property containing less than eight (8) units, all contractors engaged under contracts in excess of $2,000.00 for construction, renovation or repair work financed in whole or in part with assistance provided under this contract, shall comply with Federal requirements adopted by the CITY pertaining to such contracts and with the applicable requirements of the regulations of the Department of Labor, under 29 CFR Parts 1, 3, 5 and 7 governing the payment of wages and ratio of apprentices and trainees to journey workers; provided that, if wage rates higher than those required under the regulations are imposed by state or local law, nothing hereunder is intended to relieve the SUBRECIPIENT of its obligation, if any, to require payment of the higher wage. The SUBRECIPIENT shall cause or require to be inserted in full, in all such contracts subject to such regulations, provisions meeting the requirements of this paragraph. V. Section 3 of the Housing and Urban Development Act of 1968. SUBRECIPIENT will make every effort to provide training opportunities for low -and moderate -income persons residing within the community where the construction project is located and contracts awarded to local businesses therein to the greatest extent feasible as required under the provisions of Section 3 of the Housing and Urban Development Act of 1968, the regulations set forth in 24 CFR 135, and all applicable rules and orders issued hereunder prior to the execution of this Agreement. Compliance with the foregoing requirements shall be a condition of the federal financial assistance provided under this Agreement and binding on the SUBRECIPIENT. Failure to fulfill these requirements shall subject the SUBRECIPIENT, its successors and designees, to those sanctions specified by the Agreement through which federal assistance is provided. The SUBRECIPIENT certifies and agrees that no contractual or other disability exists which would prevent compliance with these requirements. SUBRECIPIENT shall make every effort to ensure that all projects funded wholly or in part by CDBG funds shall provide equal employment opportunities for minorities and women. W. Drug Free Workplace. SUBRECIPIENT agrees to provide a drug -free work place and to execute a certification as set forth in "Exhibit E" attached hereto and incorporated herein by this reference. X. Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards. The following requirements and standards must be complied with: 2 CFR Part 200 et al. SUBRECIPIENT shall procure all materials, property, or services in accordance with the requirements of 2 CFR 200,318-326. Y. Subpart K of 24 CFR 570. SUBRECIPIENT will carry out its activities in compliance with the requirements of Subpart K of 24 CFR 570, however SUBRECIPIENT does not assume the CITY's environmental responsibilities or the responsibility for initiating the environmental review process under 24 CFR Part 52. Z. Women- and Minority -Owned Businesses (W/MBE) SUBRECIPIENT will use its best efforts to afford small businesses, minority business enterprises, and women's business enterprises the maximum practicable opportunity to participate in the performance of this Agreement in accordance with the requirements of 2 CFR 200.321 "Contracting with small and minority businesses, women's business enterprises, and labor surplus area firms". As used in this Agreement, the term "small business" means a business that meets the criteria set forth in section 3(a) of the Small Business Act, as amended (15 U.S.C. 632), and "minority and women's business enterprise" means a business at least fifty-one percent (51%) owned and controlled by minority group members or women. For the purpose of this definition, "minority group members" are African -Americans, Spanish-speaking, Spanish surnamed or Spanish- 60C-34 EXHIBIT 4 heritage Americans, Asian -Americans, and American Indians. SUBRECIPIENT may rely on written representations by businesses regarding their status as minority and female business enterprises in lieu of an independent investigation. H. CITY'S OBLIGATIONS A. Payment of Funds. On July 1, 2020, the CITY expects to be allocated $5,701,154 for fiscal year 2020-2021 from the United States Department of Housing and Urban Development ("HUD") Community Development Block Grant ("CDBG") Entitlement Program. CITY agrees to pay to SUBRECIPIENT when, if and to the extent federal funds are received a sum not to exceed _ Dollars ($00,000) for SUBRECIPIENT'S performance in accordance with the Budget attached hereto as "Exhibit B" during the period of this Agreement. Payments shall be made to SUBRECIPIENT through the submission of invoices/reimbursement requests. CITY shall pay such invoices/reimbursement requests within thirty (30) days after receipt thereof provided CITY is satisfied that such expenses have been incurred and documented within the scope and provisions of this Agreement and that SUBRECIPIENT is in compliance with the terms and conditions of this Agreement. Failure to provide any of the required documentation and reporting will cause CITY to withhold all or a portion of a request for reimbursement, or return the entire reimbursement package to SUBRECIPIENT, until such documentation and reporting has been received and approved by CITY. Documentation may include, but is not limited to true copies of invoices, receipts, canceled checks, bank statements, credit card statements, procurement documentation for goods or services, timesheets, payroll records, benefit statements, agreements, contracts or documentation pertaining to costs for subcontractors, and/or other documentation supporting and evidencing how the CDBG FUNDS have been expended during the applicable quarter. B. Audit of Account. CITY shall include an audit of the account maintained by SUBRECIPIENT in CITY's annual audit of all CDBG FUNDS in accordance with Title 24 of the Code of Federal Regulations and other applicable federal laws and regulations. C. Common Rule: Pursuant to 2 CFR 200.328(a), the CITY manages the day -today operations of each grant and subgrant supported activities. CITY staff has detailed knowledge of the grant program requirements and monitors grant and subgrant supported activities to assure compliance with Federal requirements. Such monitoring covers each program, function and activity and performance goals are reviewed periodically. D. Environmental Review: In accordance with 24 CFR 58, the CITY is responsible for undertaking environmental review and maintaining environmental review records for each applicable proj ect. E. Performance Monitorine: CITY shall monitor the performance of SUBRECIPIENT against goals and performance standards required herein. The SUBRECIPIENT shall be responsible to accomplish the levels of performance as set forth in Exhibit A and report such measures quarterly to the CITY. If the SUBRECIPIENT estimates such goals will not be met, the SUBRECIPIENT is to contact the CITY, at which time the CITY will determine if any adjustments to the grant award is appropriate. Substandard performance as determined by the CITY will constitute non-compliance with this Agreement. Should the CITY determine that the SUBRECIPIENT has not performed its obligations as stated in this contract in a satisfactory manner, or if the CITY determines that insufficient supporting information has been submitted, the CITY shall notify the SUBRECIPIENT in writing of its determination specifying in full detail the objections which it has to the SUBRECIPIENT's performance. If action to correct such substandard performance is not taken by the SUBRECIPIENT after being 60C-35 EXHIBIT 4 notified by the CITY, within a reasonable period of time as stipulated in the written notification, contract suspension or termination procedures will be initiated. A. SUBRECIPIENT agrees to comply with Executive Order 11246 which requires that during the performance of this Agreement, SUBRECIPIENT agrees not to discriminate against any employee or applicant for employment because of race, religion, sex, color or national origin. Such action shall include, but not be limited to the following: employment, upgrading, demotion, or transfer, rates of pay or other forms of compensation, and selection for training, including apprenticeship. SUBRECIPIENT agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided by the SUBRECIPIENT setting forth the provisions of this nondiscrimination clause. B. SUBRECIPIENT agrees to comply with Title VI of the Civil Rights Act of 1964 which indicates that no person shall, on the ground of race, color or national origin, be excluded from participation in, be denied the benefits of, or be subject to discrimination under any program of activity receiving federal financial assistance. C. No person shall, on the grounds of race, sex, creed, color, religion, marital status, national origin, age, sexual orientation, or physical or mental handicap be excluded from participation in, be refused the benefits of, or otherwise be subject to discrimination in any activities, programs or employment supported by this Agreement. SUBRECIPIENT is prohibited from discrimination on the basis of age or with respect to an otherwise qualified handicapped person as provided for under Section 109 of the Housing and Community Development Act of 1974, as amended. D. SUBRECIPIENT agrees to comply with the Age Discrimination Act of 1975 which requires that during the performance of this Agreement, SUBRECIPIENT agrees not to discriminate against any employee or applicant for employment because of age. Such action shall include, but not be limited to the following: employment upgrading, demotion, or transfer, rates of pay or other forms of compensation, and selection for training, including apprenticeship. SUBRECIPIENT agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided by the SUBRECIPIENT setting forth the provisions of this age discrimination clause. E. SUBRECIPIENT agrees to comply with Section 504 of the Rehabilitation Act of 1973 which requires that no otherwise qualified individual with a disability in the United States, shall, solely by reason of his or her disability, be excluded from the participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving federal financial assistance or under any program or activity conducted by any executive agency or by the United States Postal Service. IV. CONFLICT OF INTEREST Pursuant to the conflict of interest requirements set forth in 24 CFR 570.611 and 2 CFR 200.112, SUBRECIPIENT certifies that no member, officer, employee, agent or assignee of CITY having direct or indirect control of any CDBG monies granted to the CITY, inclusive of the subject CDBG FUNDS, shall serve as an officer of SUBRECIPIENT. Further, any conflict or potential conflict of interest of any officer of SUBRECIPIENT shall be fully disclosed in writing prior to the execution of this Agreement and said writing shall be attached and deemed fully incorporated as a part hereof. Notice shall be sent by SUBRECIPIENT to CITY regarding any changes or modifications to its board of directors and list of officers. 60C-36 EXHIBIT 4 V. SPECIAL CERTIFICATION FOR RELIGIOUS ENTITIES If SUBRECIPIENT is a religious entity, SUBRECIP ENT hereby agrees that in connection with the provision of the services SUBRECIPIENT shall provide with CDBG funds, in accordance with 24 CFR 570.2000): A. SUBRECIPIENT shall not discriminate against any employee or applicant for employment on the basis of religion and shall not limit employment or give preference in employment to persons on the basis of religion. B. SUBRECIPIENT shall not discriminate against any person applying for the services SUBRECIPIENT agrees to provide under the terms of this Agreement on the basis of religion and shall not limit such services or give preference to applicants for such services on the basis of religion. C. SUBRECIPIENT shall NOT provide religious instruction or counseling, conduct any religious worship or services, or engage in any religious proselytizing, or exert any religious influence in the provision of the services in said program. The parties agree that this covenant is intended to and shall be construed for the limited purpose of assuring compliance with respect to the use of CITY funds by SUBRECIPIENT with applicable constitutional limitations respecting the establishment of religion as set forth in the establishment clause under the First Amendment of the United States Constitution and Article I, Section 4 of the California Constitution, and is not in any manner intended to restrict other activities of SUBRECIPIENT. D. The portion of a facility used to provide public services assisted in whole or in part under this Agreement shall contain no sectarian or religious symbols. E. Where the services to be provided under said program are rendered on property owned by the primarily religious entity SUBRECIPI>:'NT, CDBG funds may also be used for minor repairs to such property which are directly related to the cost of rendering the services under said program, where the cost constitutes in dollar terms only an incidental portion of the CDBG expenditure for rendering the services under said program. VI. PROHIBITION OF NEPOTISM SUBRECIPIENT agrees not to hire or permit the hiring of any person to fill a position funded through this Agreement if a member of that person's immediate family is employed in an administrative capacity by SUBRECIPMNT. For the purposes of this section, the term "immediate family" means spouse, child, mother, father, brother, sister, brother-in-law, sister-in-law, father-in-law, mother-in-law, son-in-law, daughter-in-law, aunt, uncle, niece, nephew, stepparent and stepchild. The term "administrative capacity" means having selection, hiring, supervisor or management responsibilities. VII. NOTICES Notices to the parties shall, unless otherwise requested in writing, be sent by U.S. Mail, postage prepaid, and addressed as follows: TO CITY: City of Santa Ana Community Development Agency (M-25) 20 Civic Center Plaza P.O. Box 1988 Santa Ana, California 92702-1988 600--37 EXHIBIT 4 TO SUBRECIPIENT: Agency Contact Contact Title CITY AGENCY Department 20 Civic Center Plaza, M-25 Santa Ana, CA 92702 VIH. ASSIGNABILITY None of the duties of, or work to be performed by, SUBRECIPIENT under this Agreement shall be subcontracted or assigned to any agency, consultant, or person without the prior written consent of CITY. SUBRECIPIENT must submit all subcontracts and other agreements that relate to this Agreement to CITY. No subcontract or assignment shall terminate or alter the legal obligations of SUBRECIPIENT pursuant to this Agreement. IX. HOLD HARMLESS SUBRECIPIENT shall indemnify, defend and save harmless CITY, its officers, employees, agents, representatives and volunteers from and against any and all damages to or for loss of use of property and for injuries to or death of any person or persons, including property and employees or agents of CITY, and shall defend, indemnify and save harmless CITY, its officers, employees, agents, representatives and volunteers from and against any and all claims, demands, suits, actions or proceedings of any kind or nature, including, but not by way of limitation, workers compensation claims and including attorney fees and reasonable expenses for litigation or settlement, resulting from or arising out of the negligent or wrongful acts, errors or omissions of SUBRECIPIENT, its officers, directors, employees, agents, subcontractors and suppliers arising out of SUBRECIPIENT's performance of this Agreement. X. INSURANCE 1. Commercial General Liability. SUBRECIPIENT agrees to obtain and keep in force during the term of this Agreement a policy of comprehensive commercial public liability insurance insuring the CITY, and SUBRECIPIENT against any liability for accident, injury or death arising out of or in consequence of this Agreement. Such insurance shall be in an amount not less than One Million Dollars ($1,000,000.00) for any injury to or death of any person or persons in any single accident or occurrence. Said policy of comprehensive liability insurance shall be endorsed to provide to CITY at least thirty (30) days written notice prior to cancellation; name CITY, its officers, agents, employees, and volunteers, additional insured; and state that such coverage is primary to any other coverage or self- insurance and CITY. Governmental entities may provide proof of self-insurance. (a) Such insurance shall: (1) name the City of Santa Ana, its officers, agents, representatives, employees and volunteers as additional insured's; (2) be primary with respect to insurance or self-insurance programs maintained by the CITY; (3) contain standard separation of insured's provisions; and (4) give to CITY prompt and timely notice of claim made or suit instituted arising out of SUBRECIPIENT's operations hereunder. (b) SUBRECIPIENT shall: (1) prior to exercising any right under this Agreement, fiunish properly executed certificates of insurance and additional insured endorsement to the CITY which shall clearly evidence all coverages required above; (2) provide that such insurance shall not be materially changed or terminated except on 30 days prior written notice to the CITY; (3) maintain such insurance for the period covered by this Agreement; and (4) replace such certificates for policies expiring prior to the expiration of this Agreement 60Gi-38 EXHIBIT 4 2. Automobile Liability Coverage. SUBRECIPIENT shall also obtain and maintain, during the effective period of this Agreement, broad form automobile liability coverage with a $1,000,000 limit unless reduced by CITY, which applies to both owned/leased and non -owned automobiles used by SUBRECIPIENT employees or participants in performance of this Agreement, or, in the event that SUBRECIPIENT will not utilize such owned/leased automobiles but intends to require employees, participants or other agents to utilize their own automobiles in the performance of this Agreement, SUBRECIPIENT shall secure and maintain on file from all such employees, participants, or agents as self -certification of automobile insurance coverage. Governmental entities may provide proof of self- insurance. 3. Workers' Compensation. If SUBRECIPIENT is an "employer", as set forth in California Labor Code Section 3300 et seq., or utilizes participants as "employees," as set forth in California Labor Code Section 3350 et seq., SUBRECIPIENT shall obtain and keep in force during the term of this Agreement full Workers' Compensation insurance coverage for injuries suffered by participants. Said insurance policy shall guarantee CITY at least thirty (30) days written notice of cancellation or modification. 4. Equipment Coverage. SUBRECIPIENT shall purchase a policy or policies of insurance covering loss or damage to any and all Equipment provided to or purchased by SUBRECIPIENT in accordance with this Agreement. Said insurance shall be in the amount of the full replacement value thereof, providing protection against the classification of fire, extended coverage, vandalism, malicious mischief, theft, and special extended perils. Governmental entities may substitute a certificate of self- insurance. 5. Proof of Insurance. Certificates and endorsements must be submitted and approved by CITY prior to any work under this Agreement. SUBRECIPIENT understands that CITY will make no payments under this Agreement until the required certificates and endorsements have been approved by CITY. M. REVERSION OF ASSETS A. Upon the expiration of this Agreement, SUBRECIPIENT shall transfer to CITY any CDBG funds on hand at the time of the expiration of this Agreement as well as any accounts receivable attributable to the use of CDBG funds. [24 CFR 570.503(b)(7)] B. Any real property under SUBRECIPIENT's control that was acquired or improved in whole or in part with CDBG funds in excess of $25,000.00 must either be: 1. Used, where CITY has given written approval, to meet one of the national objectives stated in 24 CFR 570.208 until five (5) years after expiration of this Agreement, or for such longer period of time as determined to be appropriate by CITY; or 2. If not used in accordance with subparagraph 1 above, SUBRECIPIENT shall pay to CITY an amount equal to the current fair market value of the property less any portion of the value attributable to the expenditure of non-CDBG funds for acquisition of, or improvement to, the property. Such payment is program income to CITY. C. Subject to the obligations set forth herein, title to equipment acquired under the terms of this Agreement will vest upon acquisition in SUBRECIPIENT. When said equipment which has been acquired in accordance with this Agreement and all applicable regulations is no longer needed for said program, disposition of said equipment will be made as follows: 60G=39 EXHIBIT 4 1. Items of equipment with a current per unit fair market value of less than $5,000.00 may be retained, sold or otherwise disposed of with no further obligation to MY 2. Items of equipment with a current fair market per unit value of $5,000.00 or more may be retained or sold and CITY shall have the right to an amount calculated by multiplying the current market value or proceeds from the sale by CrlY's share of federal funds used to acquire the equipment, in accordance with 2 CFR 200.313(e)(2). D. SUBRECIPIENT hereby agrees, upon the demand of CITY, to execute, acknowledge and deliver, or cause any person or entity who may have any claim to rights hereunder or under any document, instrument or agreement executed in furtherance of the services and activities to be performed hereunder, to execute, acknowledge and deliver, to CITY assignment(s), quit claim deed(s) or such other and further instruments, documents and agreements as may be necessary, in the sole and absolute discretion of CITY, to vest in CITY all of SUBRECIPIENT's right, title and interest (if any it may have) in and to MY, CDBG or other federal, state and/or local accounts or program funds or allocation of funds to which CITY is or may be entitled, either for its own account or as fiduciary or trustee for others, which were obtained for the purpose of the performance of this Agreement or any previous agreements relating to the same subject matter or activities as this Agreement, together with any instruments, loans, grants or advances by SUBRECIPIENT on behalf of CITY, in furtherance of the activities hereunder or thereof. SUBRECIPIENT's obligations and responsibilities set forth in this paragraph "XI. REVERSION OF ASSETS." and in paragraph "XII. TERMINATION" and other requirements pertaining to program income shall not be affected by the termination of this Agreement and shall survive the date of termination of this Agreement for such period of time as CITY and/or HUD deems necessary for the responsibilities, duties and obligations to be performed and completed to the satisfaction of CITY and HUD. ?III. TERMINATION A. This Agreement maybe terminated on thirty (30) days' written notice by either party. In the event of such termination, SUBRECIPIENT shall only be entitled to reimbursement for approved expenses incurred to the effective date of termination. B. This Agreement may be suspended or terminated by CITY upon five (5) days' written notice for violation by SUBRECIPIENT of Federal Laws goveming the use of Community Development Block Grant Funds. In the event of such suspension or termination, SUBRECIPIENT shall only be entitled to reimbursement for approved expenses incurred up to the effective date of suspension or termination. C. Pursuant to 2 CFR 200.340, in the event SUBRECIPIENT defaults by failing to fulfill all or any of its obligations hereunder, CITY may declare a default and termination of this Agreement by written notice to SUBRECIP ENT, which default and termination shall be effective on a date stated in the notice which is to be not less than ten (10) days after certified mailing or personal service of such notice, unless such default is cured before the effective date of termination stated in such notice. If terminated for cause, CITY shall be relieved of fiuther liability or responsibility under this Agreement, or as a result of the termination thereof including the payment of money, except for payment for approved expenses incurred for services satisfactorily and timely performed prior to the mailing or service of the notice of termination, and except for reimbursement of (1) any payments made for services not subsequently performed in a timely and satisfactory manner, and (2) costs incurred by CITY in obtaining substitute performance. D. The grant of funds under this Agreement may be terminated for convenience by either the CTTY or SUBRECIPIENT, in whole or in part, by setting forth the reasons for such termination, the effective date, and, in the case of portion termination, their portion to b terminated, however, if in the case of a partial 60C-40 EXHIBIT 4 termination, the CITY determines that the remaining portion of the award will not accomplish the purpose for with the award was made, the CITY may terminate the award in its entirety. E. The grant of funds under this Agreement may be terminated due to the non-performance of SUBRECIPIENT and/or failure of SUBRECIPENT to perform the work described in Exhibits A and B or failure to meet the performance standards and program goals set forth therein. F. In the event this Agreement is terminated as set forth in subparagraphs XII.A. through XII.E, inclusive, SUBRECIPIENT agrees to immediately return to CITY upon CITY's demand and prior to any adjudication of SUBRECIPIENT's rights, any and all funds not used, and to comply with paragraph "XI. REVERSION OF ASSETS" of this Agreement. The United States of America, through HUD, may in the future place programmatic or fiscal limitations on the use of CDBG funds which limitations are not presently anticipated. Accordingly, CITY reserves the right to revise this Agreement in order to take account of actions affecting HUD program funding. In the event of funding reduction, CITY may, in its sole and absolute discretion, reduce the budget of this Agreement as a whole or as to costs category, may limit the rate of SUBRECIPIENT's authority to commit and spend funds, or may restrict SUBRECIPII?NT's use of both its uncommitted and its unspent funds. Where HUD has directed or requested CITY to implement a reduction in funding, in whole or as to a cost category, with respect to funding for this Agreement, CrfY's City Manager or delegate is authorized to act for CITY in implementing and effecting such a reduction and in revising, modifying, or amending the Agreement for such purposes. If such a reduction in funding occurs, SUBRECIPIENT shall be permitted to de -scope accordingly. Where CITY has reasonable grounds to question SUBRECIPIENT's fiscal accountability, financial soundness, or compliance with this Agreement, CITY may suspend the operation of this Agreement for up to sixty (60) days upon five (5) days written notice to SUBRECIPIENT of its intention to so act, pending an audit or other resolution of such questions. In no event, however, shall any revisions made by CITY affect expenditures and legally bindingcommitmentsmade by SUBRECIPIENT before it received notice of such revision, provided that such amounts have been committed in good faith and are otherwise allowable and that such commitments are consistent with HUD cash withdrawal guidelines. r4\f�WCN11-I&ILIIIY'L\0117_\051plot 17UI Wit 1113WT!]'t*K 1K 1 This Agreement supersedes any and all other agreements, either oral or in writing, between the parties hereto with respect to the use of CITY s CDBG funds by SUBRECIPIENT and contains all the covenants and agreements between the parties with respect to such employment in any manner whatsoever. 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, and that no other agreement or amendment hereto shall be effective unless executed in writing and signed by both CITY and SUBRECIPIENT. XV. LAWS GOVERNING THIS AGREEMENT This Agreement shall be governed by and construed in accordance with the laws of the State of California, and all applicable federal laws and regulations. XVI. CLOSE-OUT The SUBRECIPIENT agrees to comply with the closeout procedures detailed in 2 CFR §200.343, including the following: 60C"-41 1. SUBRECIPIENT must submit, no later than ninety (90) calendar days after the end date of the period of performance, all financial, performance, and other reports as required by the terms and conditions of the Federal award; 2. Unless the CITY authorizes an extension, SUBRECIPIENT must liquidate all obligations incurred under the Federal award not later than ninety (90) calendar days after the end date of the period of performance as specified in the terms and conditions of the Federal award; 3. SUBRECIPIENT must promptly refund any balances of unobligated cash that the CITY paid in advance or paid and that is not authorized to be retained by SUBRECIPIENT for use in other projects (See OMB Circular A-129 and 2 CFR §200.345); 4. SUBRECIPIENT must account for any real and personal property acquired with Federal funds or received from the Federal government in accordance with 2 CFR §§200.310- 200.316 and 200.329; and, 5. The CITY should complete all closeout actions for the Federal award no later than one year after receipt and acceptance of all required final reports. XVII VALIDITY AND SEVERABILITY The invalidity in whole or in part of any provision of this Agreement shall not void or affect the validity of any other provision of this Agreement. Whenever possible, each provision of this AGREEMENT shall be interpreted in such manner as to be effective and valid under applicable law, but if any provision of this AGREEMENT is held to be prohibited by or invalid under applicable law, such provision shall be ineffective only to the extent of such prohibition or invalidity, without invalidating the remainder of such provisions of this AGREEMENT. XVM. WAIVER No delay or omission by either party hereto to exercise any right or power accruing upon any noncompliance or default by the other party with respect to any of the terms of this Agreement shall impair any such right or power or be construed to be a waiver thereof. A waiver by either of the parties hereto of any of the covenants, conditions, or agreements to be performed by the other shall not be construed to be a waiver of any succeeding breach thereof or of any other covenant, condition or agreement herein contained. XIX. 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 attomey'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 and Attachments referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. (Signatures on following page) 60C-42 EXHIBIT 4 IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the last date and year written below. ATTEST: DAISY GOMEZ Acting Clerk of the Council APPROVED AS TO FORM: FOR APPROVAL: STEVEN MENDOZA Executive Director Community Development Agency CITY OF SANTA ANA KRISTINE RIDGE City Manager SUBRECIPIENT: NAME Title Tax ID: 00-0000000 DUNS#: 000000000 10 60C-43 EXHIBIT 5 AGREEMENT BETWEEN THE CITY OF SANTA ANA AND NONPROFIT ORGANIZATION NAME FOR USE OF COMMUNITY DEVELOPMENT BLOCK GRANT FUNDS This Agreement is hereby made and entered into this 1 st day of July, 2020, by and between the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("CITY"), and Nonprofit Organization Name, a California nonprofit corporation ("SUBRECIPIENT"). RECITALS: A. The CITY, as an entitlement recipient and grantee of the United States Department of Housing and Urban Development ("HUD") Community Development Block Grant ("CDBG") Entitlement Program, Catalog of Federal Domestic Assistance (CFDA) Number 14.218, and Federal Award Identification Number (FAIN) B-20-MC-06-0508, desires to enter into this Agreement with the SUBRECIPIENT for the expenditure of CDBG funds in accordance with Title 24, Part 570 of Code of Federal Regulations 24 CFR 570.000, et seq. ("CDBG REGS"). B. CITY has applied for and received CDBG funds from HUD pursuant to Title I of the Housing and Community Development Act of 1974, Public Law 93-383, as amended ("ACT"). C. The SUBRECIPIENT is a private nonprofit corporation that has been selected by the CITY to receive CDBG funds and administer such financial assistance; and to provide the services described in Exhibit A, in accordance with the Schedule of Performance included therein, hereinafter referred to as "said program". SUBRECIPIENT represents that it is qualified and willing to operate said program and certifies that the activities carried out with funds provided under this Agreement will meet one or more of the CDBG program's National Objectives (24 CFR Part 570.208). D. SUBRECIPIENT agrees that it will adhere to the performance measurements and outcomes as indicated on Exhibit A (Schedule of Performance). Failure to follow the measurements and meet the stated outcomes may constitute breach of contract that could result in termination of this Agreement or serve as reason for the City to recapture the grant funds awarded to SUBRECIPIENT pursuant to this Agreement. WHEREFORE, it is agreed by and between the parties that the foregoing Recitals are a substantive part of this Agreement and the following terms and conditions are approved and together with all exhibits and attachments hereto, shall constitute the entire Agreement between the CITY and SUBRECIPIENT: I. SUBRECIPIENT'S OBLIGATIONS A. Nonprofit Status - Representations and Warranties. (a) Authority. SUBRECIPIENT is a duly organized and existing nonprofit corporation in good standing and authorized to do business under the laws of the State of California. SUBRECIPIENT has full right, power and lawful authority to accept the funding hereunder and to undertake all obligations as provided herein and the execution, performance and delivery of this Agreement by SUBRECIPIENT has been fully authorized by all requisite actions on the part of SUBRECIPIENT. (b) Experience. SUBRECIPIENT is a qualified provider of the services to be provided hereunder. l 60C-44 EXHIBIT 5 (c) Familiarity With Services Required. By executing this Agreement, SUBRECIPIENT warrants that (i) it has thoroughly investigated and considered the services to be performed and provided hereunder, (ii) it has carefully considered how the services should be performed, and (iii) it fully understands the facilities, difficulties and restrictions attending performance of the services under this Agreement. (d) No Conflict. To the best of SUBRECIPIENT'S knowledge, SUBRECIPIENT'S execution, delivery and performance of its obligations under this Agreement will not constitute a default or a breach under any contract, agreement or order to which SUBRECIPIENT is a party or by which it is bound. (e) No Bankruptcy. SUBRECIPIENT is not the subject of any current or threatened bankruptcy proceeding. (f) No Pending Legal Proceedings. SUBRECIPIENT is not the subject of a current or threatened litigation that would or may materially affect SUBRECIPIENT'S performance under this Agreement. (g) Application Veracity. All provisions of and information provided in SUBRECIPIENT'S application for funding submitted to CITY, including any exhibits, are true and correct in all material respects. (h) No Pending Investigation. SUBRECIPIENT has no knowledge that it is the subject of any current or threatened criminal or civil action investigation by any public agency, including without limitation a police agency or prosecuting authority, that would relate to or affect performance of the Agreement or provision of services hereunder. B. Amount of Grant/Term and Quarterly Disbursement. The amount granted to SUBRECIPIENT is $00,000 ("CDBG FUNDS"), for the two-year term from July 1, 2020 through June 30, 2022 for the program named: XXXX. Such funds shall be expended by SUBRECIPIENT on or before June 30, 2022. The Term of this Agreement may be extended by a writing executed by the City Manager, or his or her designee, and the City Attorney. The CDBG FUNDS shall be disbursed by CITY to SUBRECIPIENT on a quarterly basis subject to and upon receipt and approval of a complete quarterly activity report from SUBRECIPIENT, with the final payment subject to the satisfaction of the condition precedent of submittal of complete reporting information due on or before July 15 of the applicable funding year, as hereinafter more fully set forth. SUBRECIPIENT shall be obligated to perform such duties as would normally extend beyond the term, including, but not limited to, obligations with respect to indemnification, audits, reporting, data retention/reporting, and accounting. Failure to provide any of the required documentation and reporting will cause CITY to withhold all or a portion of a request for reimbursement, or return the entire reimbursement package to SUBRECIPIENT, until such documentation and reporting has been received and approved by CITY. Funding for the second year of the term is subject to and contingent on the CITY receiving sufficient CDBG FUNDS from HUD for the 2021-2022 CDBG program year. The CITY reserves the right to reduce the amount of CDBG FUNDS to SUBRECIPIENT, or to completely terminate this Agreement, in the CITY's sole discretion, if there is a reduction in CDBG FUNDS provided to the CITY for program year 2021-2022. The CITY reserves the right to reduce the grant application if the CITY's fiscal monitoring indicates that SUBRECIPIENT's rate of expenditure will result in unspent funds at the end of the program years. Amendments in the grant allocation will be made after consultation with SUBRECIPIENT. 1) 60C-45 EXHIBIT 5 C. Use of Funds. SUBRECIPIENT agrees to use all federal funds provided by CITY to SUBRECIPIENT pursuant to this Agreement to operate said program, as set forth in "Exhibit A," attached hereto and by this reference incorporated herein. SUBRECIPIENT'S failure to perform as required may, in addition to other remedies set forth in this Agreement, result in readjustment of the amount of funds CITY is otherwise obligated to pay to SUBRECIPIENT hereunder. D. Allowable Costs. SUBRECIPIENT agrees to complete said program on or before June 30, 2022, and to use said funds to pay for necessary and reasonable costs allowable under the federal law and regulations to operate said program. Said amounts shall include, but not be limited to, wages, administrative costs, and employee benefits comparable to other similarly situated employees, and indirect costs. Other allowable program costs are detailed in the budget, as set forth in "Exhibit B," attached hereto and by this reference incorporated herein. SUBRECIPIENT shall use all income received from said funds only for the same purposes for which said funds may be expended pursuant to the terms and conditions of this Agreement. SUBRECIPIENT has the ability to adjust line item amounts in the budget with the written approval of the CITY's Executive Director of the Community Development Agency, or designee, so long as the total budget amount does not increase. Pursuant to 2 CFR §200.331(a)(4), the Indirect Cost Rate for the SUBRECIPIENT's award shall be an approved federally recognized indirect cost rate negotiated between the SUBRECIPIENT and the Federal government, or, if no such rate exists, the de minimis indirect cost rate as defined in 2 CFR §200.414(b) Indirect (F&A) costs. For this agreement, the de minimis indirect cost rate of 10% will apply. E. Licensing. SUBRECIPIENT agrees to obtain and maintain all required licenses, registrations, accreditation and inspections from all agencies governing its operations. SUBRECIPIENT shall ensure that its staff shall also obtain and maintain all required licenses, registrations, accreditation and inspections from all agencies governing SUBRECIPIENT's operations hereunder. Such licensing requirements include obtaining a City business license, as applicable. F. Zoning. SUBRECIPIENT agrees that any facility/property used in fintherance of said program shall be specifically zoned and permitted for such use(s) and activity(ies). Should SUBRECIPIENT fail to have the required land entitlement and/or permits, thus violating any local, state or federal rules and regulations relating thereto, SUBRECIPIENT shall immediately make good faith efforts to gain compliance with local, state or federal rules and regulations following written notification of said violation(s) from the CITY or other authorized citing agency. SUBRECIPIENT shall notify CITY immediately of any pending violations. Failure to notify CITY of pending violations, or to remedy such known violation(s) shall result in termination of grant funding hereunder. SUBRECIPIENT must make all corrections required to bring the facility/property into compliance with the law within sixty (60) days of notification of the violation(s); failure to gain compliance within such time shall result in termination of grant funding hereunder. G. Separation of Accounts. All funds received by SUBRECIPIENT from CITY pursuant to this Agreement shall be maintained in an account in a federally insured banking or savings and loan institution with record keeping of such accounts maintained pursuant to applicable 2 CFR 200.302 requirements. SUBRECIPMNT is not required to maintain separate depository accounts for CDBG FUNDS; provided however, the SUBRECIPIENT must be able to account for receipt, obligation and expenditure of CDBG FUNDS pursuant to applicable 2 CFR 200.302 requirements. H. Audit Report Requirements. SUBRECIPIENT agrees that if SUBRECIPIENT expends Seven Hundred Fifty Thousand Dollars ($750,000) or more in federal funds, SUBRECIPIENT shall have an annual audit conducted by a certified public accountant in accordance with the standards as set forth and I 60C-46 EXHIBIT 5 published by the United States Office of Management and Budget. SUBRECIPIENT shall provide CITY with a copy of said audit by April 1 of the year following the program year in which this Agreement is executed. I. Record Keeping/Reporting. SUBRECIPIENT shall keep and maintain complete and adequate records and reports on program participants to determine their initial and continuing eligibility for the program services being provided to assist CITY in meeting and maintaining its record keeping responsibilities under the CDBG REGS, including the following: (1) Records a. Documentation evidencing program income requirements in conformity with 24 CFR 570.504(b((2)(i), (ii) and 24 CFR 570.503(b)(3) and 24 CFR 570.208(a)(2)(B) of the income level of persons and/or families participating in or benefiting by the SUBRECIPIENT program. b. Documentation of the number of persons and/or families participating in or benefiting by the SUBRECIPIENT program. c. Household information shall include number of persons, identification of head of household, race/ethnicity, and income verification of all household members ages 18 and over. d. Documentation of all CDBG FUNDS received from CITY. e. Documentation of expenses as identified in the Budget Proposal, including evidence of incurring the expense, invoices for goods or services, copies of any and all contracts or documentation pertaining to costs for subcontractors, plus all other invoices and proof of payment for which CDBG FUNDS were expended, and any payments therefor. f. Any such other related records as CITY shall reasonably require or as required to be maintained pursuant to the CDBG REGS. (2) Reports a. Payment Request. Concurrently with the submittal of each quarterly report, on or before the 15th day of October, January, April and July, SUBRECIPIENT shall submit both: an original invoice/request for reimbursement and true copies of invoices, receipts, canceled checks, bank statements, credit card statements, procurement documentation for goods or services, timesheets, payroll records, benefit statements, agreements, contracts or documentation pertaining to costs for subcontractors, and/or other documentation supporting and evidencing how the CDBG FUNDS have been expended during the applicable quarter. b. Quarterly Progress Report. SUBRECIPIENT agrees to keep records of all ethnic and racial statistics of persons and families benefited by SUBRECIPIENT in the performance of its obligations under this Agreement, including, but not limited to, the number of low and moderate income persons and households assisted in accordance with federal income limits, the number of female heads of households assisted, new program information and year-to-date program statistics on expenditures, caseload and activities. Failure to provide any of the required documentation and reporting will cause CITY to withhold all or a portion of a request for reimbursement, or return the entire reimbursement package to SUBRECIPIENT, until such documentation and reporting has been received and approved by CPTY. 4 60C-47 EXHIBIT 5 J. Access to Records. CITY and the United States Government and their representatives or auditors shall have access for purposes of monitoring, auditing, and examining SUBRECIPIENT's activities and performance, to books, documents and papers, and the right to examine records of SUBRECIPIENT's subcontractors, bookkeepers and accountants, employees and participants in regard to said program. CITY and the United States Government and their representatives or auditors shall also schedule on -site monitoring at their discretion. Monitoring activities may also include, but are not limited to, questioning employees and participants in said program and entering any premises or any site in which any of the services or activities funded hereunder is conducted or in which any of the records of SUBRECIPIENT are kept. Nothing herein shall be construed to require access to any privileged or confidential information as set forth in federal or state law. K. Location of Records/Required Length of Record Keeping. All accounting records, reports, and evidence pertaining to all costs, expenses and the CDBG FUNDS of SUBRECIPIENT and all documents related to this Agreement shall be maintained and kept available at SUBRECIPIENT'S office or place of business for the duration of the Agreement and thereafter for five (5) years from the date of final payment under this Agreement. Records which relate to (a) complaints, claims, administrative proceedings or litigation arising out of the performance of this Agreement, or (b) costs and expenses of this Agreement to which CITY or any other governmental agency takes exception, shall be retained beyond the five (5) years until complete resolution or disposition of such appeals, litigation claims, or exceptions. In the event SUBRECIPIENT does not make the above -referenced documents available within the city of Santa Ana, California, SUBRECIPIENT agrees to pay all necessary and reasonable expenses incurred by CITY in conducting any audit at the location where said records and books of account are maintained. L. Compliance with Law/Program Income. SUBRECIPIENT acknowledges that the funds being provided by CITY for said program are received by CITY pursuant to the ACT as amended and that expenditures of these funds shall be in accordance with the ACT and all pertinent regulations issued by agencies of the federal government, including, but not limited to, all regulations found at Title 24 of the Code of Federal Regulations. Program income received by SUBRECIPIENT shall be returned to CITY unless otherwise provided for in this Agreement. SUBRECIPIENT agrees to comply fully with all federal, state and local laws and court orders applicable to its operation whether or not referred to in this Agreement. M. Debarment. To protect the public interest and ensure the integrity of Federal programs, CITY may only conduct business with responsible persons and may not make any award or permit any award to any party which is debarred or suspended or is otherwise excluded from or ineligible for participation in Federal assistance programs under Executive Order 12549, "Debarment and Suspension". See also 24 CFR 570.609. SUBRECIPIENT must review and sign Exhibit C "Debarment", which is attached hereto and incorporated herein by this reference. SUBRECIPIENT shall be in good standing, without suspension by the California Secretary of State, Franchise Tax Board and Internal Revenue Service. Any change in the corporate status or suspension of SUBRECIPIENT shall be reported immediately to CITY. N. Confidentiality. Without prejudice to any other provisions of this Agreement, SUBRECIPIENT shall, where applicable, maintain the confidential nature of information provided to it concerning participants in accordance with the requirements of federal and state law. However, SUBRECIPIENT shall submit to CITY and or HUD or its representatives, all records requested, including audit, examinations, monitoring and verifications of reports submitted by SUBRECIPIENT, costs incurred and services rendered hereunder. O. Independent Contractor. SUBRECIPIENT agrees that the performance of obligations hereunder is rendered in its capacity as an independent contractor and that it is in no way an agency of CITY. 5 60C-48 EXHIBIT 5 P. Violation of Terms and Conditions. SUBRECIPIENT agrees that if SUBRECIPIENT violates any of the terms and conditions of this Agreement or any prior Agreement whereby CDBG funds were received by SUBRECIPIENT, or if SUBRECIPIENT reports inaccurately, or if on audit there is a disallowance of certain expenditures, SUBRECIPIENT agrees to remedy the acts or omissions causing the disallowance and repay CITY all amounts spent in violation thereof If SUBRECIPIENT engaged in fraudulent activity to obtain and/or justify expenditure of the CDBG funds granted hereunder, SUBRECIPIENT shall be required to reimburse the CITY of all such funds that were obtained and/or spent under fraudulent circumstances. Q. Equipment. SUBRECIPIENT agrees to maintain a record for each item of non -expendable personal property acquired under the terms of this Agreement. Said record shall be made available to CITY upon request. The term "non -expendable personal property" shall include leased and purchased equipment. R. Prohibited Use. SUBRECIPIENT hereby certifies and agrees that it will not use funds provided through this Agreement to pay for entertainment, meals or gifts, or other prohibited uses. S. Lobbvin¢. SUBRECIPIENT certifies that it will comply with federal law (31 U.S.C. 1352) and regulations found at 24 CFR Part 97, which provide that no appropriated funds may be expended by the recipient of a federal contract, grant, loan or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, Member of Congress, or an officer or employee of a Member of Congress in connection with awarding of any federal contract, the making of any federal grant or loan, entering into any cooperative agreement and the extension, renewal, amendment or modification of any federal contract, grant, loan or cooperative agreement. SUBRECIPIENT shall sign a certification to that effect in a form as set forth in "Exhibit D," attached hereto and by this reference incorporated herein. SUBRECIPIENT shall submit said signed certification to CITY prior to performing any of its obligations under this Agreement and prior to any obligation arising on the part of CITY to pay any sums to SUBRECIPIENT under the terms and conditions of this Agreement. 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 a "Disclosure Form to Report Lobbying," in accordance with its instructions (Exhibit D). SUBRECIPIENT shall require that the language of this certification be included in the award documents for all sub -awards at all tiers (including subcontractors, sub -grants, and contracts under grants, loans, and cooperative agreements), and agrees to take all actions necessary to ensure that all subrecipients shall similarly certify and disclose accordingly. T. Financial Interest. SUBRECIPIENT agrees that except for the use of CDBG funds to pay salaries and other related administrative or personnel costs, no persons who exercise or have exercised any function with respect to CDBG activities assisted under the terms of this Agreement, or who are in a position to participate in a decision -making process or gain inside information with regard to such activities, may obtain a financial interest or benefit from a CDBG-assisted activity of SUBRECIPIENT, either for themselves or those with whom they have family or business ties, during their tenure or for one year thereafter. This prohibition applies to any person who is an employee, agent, consultant, officer, or elected or appointed official of CITY, or of any designated public agency, or the SUBRECIPIENT. U. Labor Standards. The SUBRECIPIENT agrees to comply with the requirements of the Secretary of Labor in accordance with the Davis -Bacon Act as amended, the provisions of Contract Work 6 60C-49 EXHIBIT 5 Hours and Safety Standards Act (40 U.S.C. 327 et seq.) and all other applicable Federal, state and local laws and regulations pertaining to labor standards insofar as those acts apply to the performance of this Agreement. The SUBRECIPIENT agrees to comply with the Copeland Anti -Kick Back Act (18 U.S.C. 874 et seq.) and its implementing regulations of the U.S. Department of Labor at 29 CFR Part 5. The SUBRECIPIENT shall maintain documentation that demonstrates compliance with hour and wage requirements of this part. Such documentation shall be made available to the CITY for review upon request. SUBRECIPIENT agrees that, except with respect to the rehabilitation or construction of residential property containing less than eight (8) units, all contractors engaged under contracts in excess of $2,000.00 for construction, renovation or repair work financed in whole or in part with assistance provided under this contract, shall comply with Federal requirements adopted by the CITY pertaining to such contracts and with the applicable requirements of the regulations of the Department of Labor, under 29 CFR Parts 1, 3, 5 and 7 governing the payment of wages and ratio of apprentices and trainees to journey workers; provided that, if wage rates higher than those required under the regulations are imposed by state or local law, nothing hereunder is intended to relieve the SUBRECIPIENT of its obligation, if any, to require payment of the higher wage. The SUBRECIPIENT shall cause or require to be inserted in full, in all such contracts subject to such regulations, provisions meeting the requirements of this paragraph. V. Section 3 of the Housing and Urban Development Act of 1968. SUBRECIPIENT will make every effort to provide training opportunities for low -and moderate -income persons residing within the community where the construction project is located and contracts awarded to local businesses therein to the greatest extent feasible as required under the provisions of Section 3 of the Housing and Urban Development Act of 1968, the regulations set forth in 24 CFR 135, and all applicable rules and orders issued hereunder prior to the execution of this Agreement. Compliance with the foregoing requirements shall be a condition of the federal financial assistance provided under this Agreement and binding on the SUBRECIPIENT. Failure to fulfill these requirements shall subject the SUBRECIPIENT, its successors and designees, to those sanctions specified by the Agreement through which federal assistance is provided. The SUBRECIPIENT certifies and agrees that no contractual or other disability exists which would prevent compliance with these requirements. SUBRECIPIENT shall make every effort to ensure that all projects funded wholly or in part by CDBG funds shall provide equal employment opportunities for minorities and women. W. Drug Free Workplace. SUBRECIPIENT agrees to provide a drug -free work place and to execute a certification as set forth in "Exhibit E" attached hereto and incorporated herein by this reference. X. Uniform Administrative Requirements, Cost Principles. and Audit Requirements for Federal Awards. The following requirements and standards must be complied with: 2 CFR Part 200 et al. SUBRECIPIENT shall procure all materials, property, or services in accordance with the requirements of 2 CFR 200.318-326. Y. Subpart K of 24 CFR 570. SUBRECIPIENT will carry out its activities in compliance with the requirements of Subpart K of 24 CFR 570. However, SUBRECIPIENT does not assume the CTTY's environmental responsibilities or the responsibility for initiating the environmental review process under 24 CFR Part 52. Z. Women- and Minority -Owned Businesses (W/MBE). SUBRECIPIENT will use its best efforts to afford small businesses, minority business enterprises, and women's business enterprises the maximum practicable opportunity to participate in the performance of this Agreement in accordance with the requirements of 2 CFR 200.321 "Contracting with small and minority businesses, women's business enterprises, and labor surplus area firms". As used in this Agreement, the term "small business" means a 7 60C-50 EXHIBIT 5 business that meets the criteria set forth in section 3(a) of the Small Business Act, as amended (15 U.S.C. 632), and "minority and women's business enterprise" means a business at least fifty-one percent (51%) owned and controlled by minority group members or women. For the purpose of this definition, "minority group members" are African -Americans, Spanish-speaking, Spanish surnamed or Spanish - heritage Americans, Asian -Americans, and American Indians. SUBRECIPIENT may rely on written representations by businesses regarding their status as minority and female business enterprises in lieu of an independent investigation. II. CITY'S OBLIGATIONS A. Payment of Funds. On July 1, 2020, the CITY was allocated $5,701,154for fiscal year 2020- 2021 from the United States Department of Housing and Urban Development ("HUD") Community Development Block Grant ("CDBG") Entitlement Program. Subject to the terms of this Agreement, and contingent on CITY receiving at least the same amount of CDBG funds from HUD for the 2021-2022 program year, CITY agrees to pay to SUBRECIPIENT when, if and to the extent federal funds are received a sum not to exceed Dollars ($00,000) for SUBRECIPIENf'S performance in accordance with the Budget attached hereto as "Exhibit B" during the two-year period of this Agreement. Payments shall be made to SUBRECIPIENT through the submission of invoices/reimbursement requests. CITY shall pay such invoices/reimbursement requests within thirty (30) days after receipt thereof provided CITY is satisfied that such expenses have been incurred and documented within the scope and provisions of this Agreement and that SUBRECIPIENT is in compliance with the terms and conditions of this Agreement. Failure to provide any of the required documentation and reporting will cause CITY to withhold all or a portion of a request for reimbursement, or return the entire reimbursement package to SUBRECIPIENT, until such documentation and reporting has been received and approved by CITY. Documentation may include, but is not limited to, true copies of invoices, receipts, canceled checks, bank statements, credit card statements, procurement documentation for goods or services, timesheets, payroll records, benefit statements, agreements, contracts or documentation pertaining to costs for subcontractors, and/or other documentation supporting and evidencing how the CDBG FUNDS have been expended during the applicable quarter. B. Audit of Account. CITY shall include an audit of the account maintained by SUBRECIPIENT in CITY's annual audit of all CDBG FUNDS in accordance with Title 24 of the Code of Federal Regulations and other applicable federal laws and regulations. C. Common Rule: Pursuant to 2 CFR 200.328(a), the CITY manages the day-to-day operations of each grant and subgrant supported activities. CITY staff has detailed knowledge of the grant program requirements and monitors grant and subgrant supported activities to assure compliance with Federal requirements. Such monitoring covers each program, function and activity and performance goals are reviewed periodically. D. Environmental Review: In accordance with 24 CFR 58, the CITY is responsible for undertaking environmental review and maintaining environmental review records for each applicable proj ect. E. Performance Monitoring: CITY shall monitor the performance of SUBRECIPMM against goals and performance standards required herein. The SUBRECIPIENT shall be responsible to accomplish the levels of performance as set forth in Exhibit A and report such measures quarterly to the CITY. If the SUBRECIPIENT estimates such goals will not be met, the SUBRECIPIENT is to contact the CITY, at which time the CITY will determine if any adjustments to the grant award is appropriate. Substandard performance as determined by the CITY will constitute non-compliance with this 8 60C-51 EXHIBIT 5 Agreement. Should the CITY determine that the SUBRECIPIENT has not performed its obligations as stated in this contract in a satisfactory manner, or if the CITY determines that insufficient supporting information has been submitted, the CITY shall notify the SUBRECIPIENT in writing of its determination specifying in full detail the objections which it has to the SUBRECIPIENT's performance. If action to correct such substandard performance is not taken by the SUBRECIPIENT after being notified by the CITY, within a reasonable period of time as stipulated in the written notification, contract suspension or termination procedures will be initiated. A. SUBRECIPIENT agrees to comply with Executive Order 11246 which requires that during the performance of this Agreement, SUBRECIPIENT agrees not to discriminate against any employee or applicant for employment because of race, religion, sex, color or national origin. Such action shall include, but not be limited to the following: employment, upgrading, demotion, or transfer, rates of pay or other forams of compensation, and selection for training, including apprenticeship. SU13RECIPMNT agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided by the SUBRECIPIENT setting forth the provisions of this nondiscrimination clause. B. SUBRECIPIENT agrees to comply with Title VI of the Civil Rights Act of 1964 which indicates that no person shall, on the ground of race, color or national origin, be excluded from participation in, be denied the benefits of, or be subject to discrimination under any program of activity receiving federal financial assistance. C. No person shall, on the grounds of race, sex, creed, color, religion, marital status, national origin, age, sexual orientation, or physical or mental handicap be excluded from participation in, be refused the benefits of, or otherwise be subject to discrimination in any activities, programs or employment supported by this Agreement. SUBRECIPIENT is prohibited from discrimination on the basis of age or with respect to an otherwise qualified handicapped person as provided for under Section 109 of the Housing and Community Development Act of 1974, as amended. D. SUBRECIPIENT agrees to comply with the Age Discrimination Act of 1975 which requires that during the performance of this Agreement, SUBRECIPIENT agrees not to discriminate against any employee or applicant for employment because of age. Such action shall include, but not be limited to the following: employment upgrading, demotion, or transfer, rates of pay or other forms of compensation, and selection for training, including apprenticeship. SUBRECIPIENT agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided by the SUBRECIPIENT setting forth the provisions of this age discrimination clause. E. SUBRECIPIENT agrees to comply with Section 504 of the Rehabilitation Act of 1973 which requires that no otherwise qualified individual with a disability in the United States, shall, solely by reason of his or her disability, be excluded from the participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving federal financial assistance or under any program or activity conducted by any executive agency or by the United States Postal Service. f►l� $IQZI 01 M-CiTi 1�i12 WiLIMAl Pursuant to the conflict of interest requirements set forth in 24 CFR 570.611 and 2 CFR 200.112, SUBRECIPIENT certifies that no member, officer, employee, agent or assignee of CITY having direct or indirect control of any CDBG monies granted to the CITY, inclusive of the subject CDBG FUNDS, shall serve as an officer of SUBRECIPIENT. Further, any conflict or potential conflict of interest of any officer of SUBRECIPIENT shall be fully disclosed in writing prior to the execution of this Agreement and said writing 9 60C-52 EXHIBIT 5 shall be attached and deemed fully incorporated as a part hereof. Notice shall be sent by SUBRECIPIENT to CITY regarding any changes or modifications to its board of directors and list of officers. V. SPECIAL CERTIFICATION FOR RELIGIOUS ENTITIES If SUBRECIPMM is a religious entity, SUBRECIPIENT hereby agrees that in connection with the provision of the services SUBRECIPIENT shall provide with CDBG funds, in accordance with 24 CFR 570.2000): A. SUBRECIPIENT shall not discriminate against any employee or applicant for employment on the basis of religion and shall not limit employment or give preference in employment to persons on the basis of religion. B. SUBRECIPIENT shall not discriminate against any person applying for the services SUBRECIPIENT agrees to provide under the terms of this Agreement on the basis of religion and shall not limit such services or give preference to applicants for such services on the basis of religion. C. SUBRECIPMNT shall NOT provide religious instruction or counseling, conduct any religious worship or services, or engage in any religious proselytizing, or exert any religious influence in the provision of the services in said program. The parties agree that this covenant is intended to and shall be construed for the limited purpose of assuring compliance with respect to the use of CITY funds by SUBRECIPIENT with applicable constitutional limitations respecting the establishment of religion as set forth in the establishment clause under the First Amendment of the United States Constitution and Article I, Section 4 of the California Constitution, and is not in any manner intended to restrict other activities of SUBRECIPIENT. D. The portion of a facility used to provide public services assisted in whole or in part under this Agreement shall contain no sectarian or religious symbols. E. Where the services to be provided under said program are rendered on property owned by the primarily religious entity SUBRECIPIENT, CDBG funds may also be used for minor repairs to such property which are directly related to the cost of rendering the services under said program where the cost constitutes in dollar terms only an incidental portion of the CDBG expenditure for rendering the services under said program. VI. PROHIBITION OF NEPOTISM SUBRECIPIENT agrees not to hire or permit the hiring of any person to fill a position funded through this Agreement if a member of that person's immediate family is employed in an administrative capacity by SUBRECIPIENT. For the purposes of this section, the term "immediate family" means spouse, child, mother, father, brother, sister, brother-in-law, sister-in-law, father-in-law, mother-in-law, son-in-law, daughter-in-law, aunt, uncle, niece, nephew, stepparent and stepchild The term "administrative capacity" means having selection, hiring, supervisor or management responsibilities. VH. NOTICES Notices to the parties shall, unless otherwise requested in writing, be sent by U.S. Mail, postage prepaid, and addressed as follows: TO CITY: City of Santa Ana Community Development Agency (M-25) 20 Civic Center Plaza 10 60C-53 EXHIBIT 5 P.O. sox 1988 Santa Ana, California 92702-1988 TO SUBRECIPIENT: Organization Contact Address Line 1 Address Line 2 Address Line 3 0 11 1 .%*M CME.". INN M None of the duties of, or work to be performed by, SUBRECIPIENT under this Agreement shall be subcontracted or assigned to any agency, consultant, or person without the prior written consent of CTTY. SUBRECIPIENT must submit all subcontracts and other agreements that relate to this Agreement to CITY. No subcontract or assignment shall terminate or alter the legal obligations of SUBRECIPIENT pursuant to this Agreement. IX. HOLD HARMLESS SUBRECIPIENT shall indemnify, defend and save harmless CITY, its officers, employees, agents, representatives and volunteers from and against any and all damages to or for loss of use of property and for injuries to or death of any person or persons, including property and employees or agents of CITY, and shall defend, indemnify and save harmless CITY, its officers, employees, agents, representatives and volunteers from and against any and all claims, demands, suits, actions or proceedings of any kind or nature, including, but not by way of limitation, workers compensation claims and including attorney fees and reasonable expenses for litigation or settlement, resulting from or arising out of the negligent or wrongful acts, errors or omissions of SUBRECIPIENT, its officers, directors, employees, agents, subcontractors and suppliers arising out of SUBRECIPIENT's performance of this Agreement. X. INSURANCE 1. Commercial General Liability. SUBRECIPIENT agrees to obtain and keep in force during the term of this Agreement a policy of comprehensive commercial public liability insurance insuring the CITY, and SUBRECIPIENT against any liability for accident, injury or death arising out of or in consequence of this Agreement. Such insurance shall be in an amount not less than One Million Dollars ($1,000,000.00) for any injury to or death of any person or persons in any single accident or occurrence. Said policy of comprehensive liability insurance shall be endorsed to provide to CITY at least thirty (30) days written notice prior to cancellation; name CITY, its officers, agents, employees, and volunteers, additional insured; and state that such coverage is primary to any other coverage or self- insurance and CITY. Governmental entities may provide proof of self-insurance. (a) Such insurance shall: (1) name the City of Santa Ana, its officers, agents, representatives, employees and volunteers as additional insured's; (2) be primary with respect to insurance or self-insurance programs maintained by the CITY; (3) contain standard separation of insured's provisions; and (4) give to CITY prompt and timely notice of claim made or suit instituted arising out of SUBRECIPBaiT's operations hereunder. (b) SUBRECIPIENT shall: (1) prior to exercising any right under this Agreement, furnish properly executed certificates of insurance and additional insured endorsement to the CITY which shall clearly evidence all coverages required above; (2) provide that such insurance shall not be materially changed or temunated except on 30 days prior written notice to the CITY; (3) maintain such insurance for the period covered by this Agreement; and (4) replace such certificates for policies expiring II 60C-54 EXHIBIT 5 prior to the expiration of this Agreement 2. Automobile Liability Coverage. SUBRECIPIENT shall also obtain and maintain, during the effective period of this Agreement, broad form automobile liability coverage with a $1,000,000 limit unless reduced by CITY, which applies to both owned/leased and non -owned automobiles used by SUBRECIPIENT employees or participants in performance of this Agreement, or, in the event that SUBRECIPIENT will not utilize such owned/leased automobiles but intends to require employees, participants or other agents to utilize their own automobiles in the performance of this Agreement, SUBRECIPIENT shall secure and maintain on file from all such employees, participants, or agents as self -certification of automobile insurance coverage. Governmental entities may provide proof of self- insurance. 3. Workers' Compensation. If SUBRECIPIENT is an "employer", as set forth in California Labor Code Section 3300 et seq., or utilizes participants as "employees," as set forth in California Labor Code Section 3350 et seq., SUBRECIPIENT shall obtain and keep in force during the term of this Agreement full Workers' Compensation insurance coverage for injuries suffered by participants. Said insurance policy shall guarantee CITY at least thirty (30) days written notice of cancellation or modification. 4. Equipment Coverage. SUBRECIPIENT shall purchase a policy or policies of insurance covering loss or damage to any and all Equipment provided to or purchased by SUBRECIPIENT in accordance with this Agreement. Said insurance shall be in the amount of the full replacement value thereof, providing protection against the classification of fire, extended coverage, vandalism, malicious mischief, theft, and special extended perils. Governmental entities may substitute a certificate of self- insurance. 5. Proof of Insurance. Certificates and endorsements must be submitted and approved by CITY prior to any work under this Agreement. SUBRECIPIEN'1' understands that CITY will make no payments under this Agreement until the required certificates and endorsements have been approved by CITY. M. REVERSION OF ASSETS A. Upon the expiration of this Agreement, SUBRECIPIENT shall transfer to CITY any CDBG funds on hand at the time of the expiration of this Agreement as well as any accounts receivable attributable to the use of CDBG funds. [24 CFR 570.503(b)(7)] B. Any real property under SUBRECIPIENT's control that was acquired or improved in whole or in part with CDBG funds in excess of $25,000.00 must either be: 1. Used, where CITY has given written approval, to meet one of the national objectives stated in 24 CFR 570.208 until five (5) years after expiration of this Agreement, or for such longer period of time as determined to be appropriate by CITY; or 2. If not used in accordance with subparagraph 1 above, SUBRECIPIENT shall pay to CITY an amount equal to the current fair market value of the property less any portion of the value attributable to the expenditure of non-CDBG funds for acquisition of, or improvement to, the property. Such payment is program income to CITY. C. Subject to the obligations set forth herein, title to equipment acquired under the terms of this Agreement will vest upon acquisition in SUBRECIPIENT. When said equipment which has been acquired 13 60C-55 EXHIBIT 5 in accordance with this Agreement and all applicable regulations is no longer needed for said program, disposition of said equipment will be made as follows: 1. Items of equipment with a current per unit fair market value of less than $5,000.00 may be retained, sold or otherwise disposed of with no further obligation to CITY. 2. Items of equipment with a current fair market per unit value of $5,000.00 or more may be retained or sold and CITY shall have the right to an amount calculated by multiplying the current market value or proceeds from the sale by CITY's share of federal funds used to acquire the equipment, in accordance with 2 CFR 200.313(e)(2). D. SUBRECIPMNT hereby agrees, upon the demand of CITY, to execute, acknowledge and deliver, or cause any person or entity who may have any claim to rights hereunder or under any document, instrument or agreement executed in furtherance of the services and activities to be performed hereunder, to execute, acknowledge and deliver, to CITY assignment(s), quit claim deed(s) or such other and further instruments, documents and agreements as may be necessary, in the sole and absolute discretion of CITY, to vest in CITY all of SUBRECIPIENT's right, title and interest (if any it may have) in and to CITY, CDBG or other federal, state and/or local accounts or program funds or allocation of funds to which CITY is or may be entitled, either for its own account or as fiduciary or trustee for others, which were obtained for the purpose of the performance of this Agreement or any previous agreements relating to the same subject matter or activities as this Agreement, together with any instruments, loans, grants or advances by SUBRECIPIENT on behalf of CITY, in furtherance of the activities hereunder or thereof. SUBRECIPIENT's obligations and responsibilities set forth in this paragraph "XI. REVERSION OF ASSETS." and in paragraph "XII. TERMINATION" and other requirements pertaining to program income shall not be affected by the termination of this Agreement and shall survive the date of termination of this Agreement for such period of time as CITY and/or HUD deems necessary for the responsibilities, duties and obligations to be performed and completed to the satisfaction of CITY and HUD. XI1. TERMINATION A. This Agreement maybe terminated on thirty (30) days' written notice by either party. In the event of such termination, SUBRECIPIENT shall only be entitled to reimbursement for approved expenses incurred to the effective date of termination. B. This Agreement may be suspended or terminated by CITY upon five (5) days' written notice for violation by SUBRECIPIENT of Federal Laws governing the use of Community Development Block Grant Funds. In the event of such suspension or temrination, SUBRECIPIENT shall only be entitled to reimbursement for approved expenses incurred up to the effective date of suspension or termination. C. Pursuant to 2 CFR 200.340, in the event SUBRECIPIENT defaults by failing to fulfill all or any of its obligations hereunder, CITY may declare a default and termination of this Agreement by written notice to SUBRECIPIENT, which default and termination shall be effective on a date stated in the notice which is to be not less than ten (10) days after certified mailing or personal service of such notice, unless such default is cured before the effective date of termination stated in such notice. If terminated for cause, CITY shall be relieved of further liability or responsibility under this Agreement, or as a result of the termination thereof, including the payment of money, except for payment for approved expenses incurred for services satisfactorily and timely performed prior to the mailing or service of the notice of termination, and except for reimbursement of (1) any payments made for services not subsequently performed in a timely and satisfactory manner, and (2) costs incurred by CITY in obtaining substitute performance. 13 60C-56 EXHIBIT 5 D. The grant of funds under this Agreement may be terminated for convenience by either the CITY or SUBRECIPIENT, in whole or in part, by setting forth the reasons for such termination, the effective date, and, in the case of portion termination, their portion to be terminated. However, if in the case of a partial termination, the CITY determines that the remaining portion of the award will not accomplish the purpose for with the award was made, the CITY may terminate the award in its entirety. E. The grant of funds under this Agreement may be terminated due to the non-performance of SUBRECIPIENT and/or failure of SUBRECIPENT to perform the work described in Exhibits A and B or failure to meet the performance standards and program goals set forth therein. F. The grant of funds under this Agreement may be terminated due to the failure of the CITY to receive sufficient or anticipated funding from HUD for the CDBG program for any year term subject to this Agreement. G. In the event this Agreement is terminated as set forth in subparagraphs XII.A. through XII.F., inclusive, SUBRECIPIENT agrees to immediately return to CITY upon CITY's demand and prior to any adjudication of SUBRECIPIENT's rights, any and all funds not used, and to comply with paragraph "XI. REVERSION OF ASSETS" of this Agreement. XM. LIMITATION OF FUNDS The United States of America, through HUD, may in the future place programmatic or fiscal limitations on the use of CDBG funds which limitations are not presently anticipated. Accordingly, CITY reserves the right to revise this Agreement in order to take account of actions affecting HUD program funding. In the event of funding reduction, CITY may, in its sole and absolute discretion, reduce the budget of this Agreement as a whole or as to costs category, may limit the rate of SUBRECIPIENT's authority to commit and spend funds, or may restrict SUBRECIPIENT's use of both its uncommitted and its unspent funds. Where HUD has directed or requested CITY to implement a reduction in funding, in whole or as to a cost category, with respect to funding for this Agreement, Cfl Y's City Manager or delegate is authorized to act for CITY in implementing and effecting such a reduction and in revising, modifying, or amending the Agreement for such purposes. If such a reduction in funding occurs, SUBRECIPIENT shall be permitted to de -scope accordingly. Where CITY has reasonable grounds to question SUBRECIPIENT's fiscal accountability, financial soundness, or compliance with this Agreement, CITY may suspend the operation of this Agreement for up to sixty (60) days upon five (5) days written notice to SUBRECIPIENT of its intention to so act, pending an audit or other resolution of such questions. In no event, however, shall any revisions made by CITY affect expenditures and legally binding commitments made by SUBRECIPIENT before it received notice of such revision, provided that such amounts have been committed in good faith and are otherwise allowable and that such commitments are consistent with HUD cash withdrawal guidelines. XIV. EXCLUSIVITY AND AMENDMENT OF AGREEMENT This Agreement supersedes any and all other agreements, either oral or in writing, between the parties hereto with respect to the use of CITY's CDBG funds by SUBRECIPIENT and contains all the covenants and agreements between the parties with respect to such employment in any manner whatsoever. 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, and that no other agreement or amendment hereto shall be effective unless executed in writing and signed by both CITY and SUBRECIPIENT. 14 60C-57 EXHIBIT 5 XV. LAWS GOVERNING TINS AGREEMENT This Agreement shall be governed by and construed in accordance with the laws of the State of California, and all applicable federal laws and regulations. XVI. CLOSE-OUT The SUBRECIPIENT agrees to comply with the closeout procedures detailed in 2 CFR §200.343, including the following: 1. SUBRECIPIENT must submit, no later than ninety (90) calendar days after the end date of the period of performance, all financial, performance, and other reports as required by the terms and conditions of the Federal award; 2. Unless the CITY authorizes an extension, SUBRECIPIENT must liquidate all obligations incurred under the Federal award not later than ninety (90) calendar days after the end date of the period of performance as specified in the terms and conditions of the Federal award; 3. SUBRECIPIENT must promptly refund any balances of unobligated cash that the CITY paid in advance or paid and that is not authorized to be retained by SUBRECIPIENT for use in other projects (See OMB Circular A-129 and 2 CFR §200.345); 4. SUBRECIPIENT must account for any real and personal property acquired with Federal funds or received from the Federal government in accordance with 2 CFR §§200.310- 200.316 and 200.329; and, 5. The CITY should complete all closeout actions for the Federal award no later than one year after receipt and acceptance of all required final reports. XVII. VALIDITY AND SEVERABILTTY The invalidity in whole or in part of any provision of this Agreement shall not void or affect the validity of any other provision of this Agreement. Whenever possible, each provision of this AGREEMENT shall be interpreted in such manner as to be effective and valid under applicable law, but if any provision of this AGREEMENT is held to be prohibited by or invalid under applicable law, such provision shall be ineffective only to the extent of such prohibition or invalidity, without invalidating the remainder of such provisions of this AGREEMENT. XVEII. WAIVER No delay or omission by either party hereto to exercise any right or power accruing upon any noncompliance or default by the other party with respect to any of the terms of this Agreement shall impair any such right or power or be construed to be a waiver thereof. A waiver by either of the parties hereto of any of the covenants, conditions, or agreements to be performed by the other shall not be construed to be a waiver of any succeeding breach thereof or of any other covenant, condition or agreement herein contained. I 60C-58 EXHIBIT 5 XIX. 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 and Attachments referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. (Signatures on followingpage) IG 60C-59 EXHIBIT 5 IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the last date and year written below. ATTEST: CITY OF SANTA ANA DAISY GOMEZ KRISTINE RIDGE Clerk of the Council City Manager APPROVED AS TO FORM: SONIA F, CARVALHO City 0 n City RECOMMENDED FOR APPROVAL: SUBRECIPIENT: STEVEN MENDOZA Executive Director Community Development Agency NAME Title Tax ID: 00-0000000 DUNS #: 000000000 17 60C-60 EXHIBIT 6 Memorandum of Understanding (MOU) between SUBRECIPIENT and The City of Santa Ana W/O/R/K Center 1. PARTIES: The parties to this Memorandum of Understanding (MOU) are Subrecipient name ("Subrecipient") and the City of Santa Ana W/O/R/K Center ("Work Center"). 2. PURPOSE: The Work Center, in conjunction with Subrecipient, endeavors to establish a cooperative working relationship between the parties in order to provide program beneficiaries with information about Work Center opportunities to find better jobs and careers. The MOU serves to establish the framework for providing services to employees, job seekers and others needing workforce services. The goal is to ensure that all program beneficiaries have been provided an opportunity to connect with the Work Center and be assisted with the tools and knowledge necessary to enter the workforce or obtain a higher - paying job. 3. RESPONSIBILITIES: A) The Work Center shall perform the following: 1) Accept referrals to the Work Center. B) Subrecipient shall perform the following: 1) Provide Work Center information to participants and their families; and, 2) Refer participants in need of employment, training, or career counseling to the Work Center utilizing the referral form attached hereto as Attachment 1 and incorporated herein by reference. 4. DURATION: This MOU shall commence on July 1, 2020, and shall remain in effect through June 30, 2022. 5. AMENDMENTS: Either party may propose amendments to this MOU at any time by providing written notice to the other party. Amendments to this MOU shall require the approval of the City Manager, or her/his designee ("City Manager"), on behalf of the Work Center. 6. CONFIDENTIALITY: If Subrecipient receives information, which due to the nature of such information is reasonably understood to be confidential and/or proprietary, such information shall not be used or disclosed except in the performance of this MOU, and Subrecipient 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 non-public information. Confidential information includes not only written 60C-61 EXHIBIT 6 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 MOU. 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 Subrecipient disclosed in a publicly available source; (c) is in rightful possession of Subrecipient without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by Subrecipient without reference to information disclosed by the City of Santa Ana. 7. ACCESSABILITY: Subrecipient will assure that its services and premises are accessible to persons with disabilities pursuant to the requirements of the Americans with Disabilities Act. 8. HOLD HARMLESS CLAUSE: Each party to this MOU agrees to indemnify and hold harmless the other parties, their officers, agents, employees, and volunteers from and against any and all loss or damage, and from any and all suits, actions and claims filed or brought by any person or persons arising out of acts or omissions of the party or its officers, agents, employees or volunteers in the performance of this MOU. 9. DISPUTES: The parties shall first attempt to resolve all disputes informally. Any party may call a meeting of all parties to discuss and resolve disputes. Should informal resolution efforts fail, the dispute shall be referred to the City Manager to act as mediator, to attempt to resolve the dispute by holding an informal hearing with presentations by both parties. If the City Manager's resolution efforts fail, any party may file a grievance with the City Manager for review and hearing. The parties agree to be bound by the final determination resulting from that procedure. Each party to bear its own costs associated with any grievance procedures. 10. DISCRIMINATION: Subrecipient 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. Subrecipient affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 11. SEVERABILITY: If any part of this MOU is found to be null and void, or is otherwise stricken, the rest of this MOU shall remain in force. 12. JURISDICTION: Jurisdiction over any disputes arising under this MOU shall reside in Orange County, California. 13. AUTHORITY AND SIGNATURES: The individuals signing this MOU or its attachments have the authority to commit the party they represent to the terms of this MOU, and do so commit by signing. 60C-62 EXHIBIT 6 IN WITNESS WHEREOF, the parties hereto have executed this Memorandum of Understanding the date and year first above written. ATTEST: DAISY GOMEZ Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO Cityngy it 0 City RECOMMENDED FOR APPROVAL: STEVEN MENDOZA Executive Director Community Development Agency CITY OF SANTA ANA a municipal corporation of the State of California KRISTINE RIDGE City Manager Subrecipient Name XCXX Executive Director CARLOS DE LA RNA Center Director Santa Ana WORK Center 60C-63 EXHIBIT 6 SANTA ANA W(ORK CENTER Referral Form My Next Move Whether you are looking for A JOB or to LEARN A NEW SKILL, the WORK Center can help! • Find a Job • Upgrade Skills • Get Career Counseling • Access to Community Services Attend the My Next Move Workshop and connect with us! Workshops take place on Tuesdays at 9:30AM to 10:30AM (English) and 2:0013M to 3:0013M (Spanish). Name: Referring Organization: Workshop Date: Time: Santa Ana WORK Center ♦ 801 West Civic Center, Santa Ana, CA 92701 714-565-2600 ATTACHMENT 60C-64 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 7, 2020 TITLE: RECEIVE AND FILE HISTORIC RESOURCES COMMISSION MEMORANDUM ON RECOMMENDATIONS TO THE CITY COUNCIL REGARDING HISTORIC RESOURCES POLICIES AND REGULATIONS AND PROVIDE DIRECTION TO COMMISSION AND STAFF CLERK OF COUNCIL USE ONLY: _••e• W ❑ 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 Receive and file the Historic Resources Commission memorandum outlining recommendations to the City Council and provide directions to Commission and staff. DISCUSSION At a special Historic Resources Commission meeting on February 6, 2020, the Historic Resources Commission by a vote of 6:0 (Murashie and Schaefer absent) directed staff to submit a memorandum to the City Council for review and consideration (Exhibit 1). The Historic Resources Commission (HRC) conducted workshops with Planning and Building Agency staff in July and October of 2019 and discussed issues the HRC desires to advise and make recommendations to the City Council, to enhance historic resource preservation within the City. The recommendations by the HRC address the following topics: Historic Resources Commission powers and duties; historic application fees; historically sensitive neighborhoods; historic resources protection and enforcement; and preservation of historic trees. Some of the issues discussed are procedural and administrative in nature and can be addressed by the Commission and staff. However, the policy topics outlined in Exhibit 1 require direction and feedback from the City Council. FISCAL IMPACT There is no fiscal impact associated with this action. Exhibit: 1.. Historic Resources Commission Memorandum 60D-1 MEMORANDUM (D www.santa-ana. ore To: Honorable Mayor and City Council Date: April 7, 2020 From: Historic Resources Commission RECOMMENDATIONS TO THE CITY COUNCIL REGARDING HISTORIC Subject: RESOURCES POLICIES AND REGULATIONS The Historic Resources Commission (HRC) conducted workshops with PBA staff in July and October of 2019 and discussed issues the HRC desires to advise and make recommendations to the City Council, to enhance historic resource preservation within the City. The recommendations by the HRC address the following topics: • Historic Resources Commission powers and duties; • Historic application fees; • Historically sensitive neighborhoods; • Historic resources protection and enforcement; and • Preservation of historic trees. Some of the issues discussed are procedural and administrative in nature and can be addressed by the Commission and staff. However, the policy topics below require direction and feedback from the City Council. COMMISSION POWERS AND DUTIES Section 2-374 of the Santa Ana Municipal Code (SAMC) outlines the powers and duties of the HRC. These duties include, but are not limited to, advising and making recommendations to the Planning Commission, City Council and other city boards and commissions regarding historical projects and property; and recommending to the City Council policies and regulations regarding the protection, reuse and rehabilitation of historical properties. Issue 1: The HRC has expressed concerns that many buildings, structures, and properties potentially eligible or eligible for historic preservation that should be preserved are not protected because they have not been listed or identified as a historical resource and can potentially be remodeled or demolished. The Commission's current authority limits their preservation efforts to those structures/properties on the local historic register. The Commission also expressed preservation interest in protecting the historical fabric and integrity of all neighborhoods throughout the city, many of which have properties that may be eligible for historic preservation. Moreover, there's been concerns regarding infill development, new 1 60D-2 additions, exterior alterations, and related new construction alterations that have altered potentially historic materials, features, and/or spatial relationships that characterize the individual properties and neighborhoods as a whole. The following recommendations would extend the purview and review authority of the HRC to preserve neighborhoods, and to retain the existing historic character of individual properties. For example, under the HRC's recommendation a property over 50 years of age undergoing proposed exterior alterations, regardless of designation and/or eligibility, would be required to be reviewed and approved by the HRC. HRC Recommendation(s): Amend the powers and duties outlined in Section 2-374 of the SAMC to allow the following: a. Extend the HRC's purview to include eligible or potentially eligible historic structures; b. Extend the HRC's purview to include review and approval of proposed demolitions, alterations and or/modifications to any structure over 50 years of age, regardless of designation and/or eligibility; and c. Grant the HRC the ability to impose conditions of approval on historic applications, including Certificates of Appropriateness (i.e., Historic Exterior Modification Application), Historical Property Registration Applications, and Applications for Historic Property Preservation Agreement (Mills Act Agreements). Required Tasks, Approvals, and Resources: Amending the powers and duties outlined in Section 2-374 of the SAMC would require City Council review and approval of a municipal code amendment. In addition, an impact analysis would be required to analyze the benefits and implications of the recommended policies and regulatory changes. Issue 2: Currently, the HRC meets quarterly. The frequency of the meetings would not allow the Commission to effectively discuss items that could be considered urgent or time sensitive. Recent examples of this constraint includes the HRC's desire to place items on the agenda that were scheduled for discretionary action by either the Planning Commission and/or City Council. The recommendation outlined below would provide clarification on how matters can be put on future agendas and provide a more streamlined approach. HRC Recommendation(s): Amend the Historic Resources Commission Bylaws to allow a more streamlined process of placing discussion items on the HRC agenda for review and consideration and clearly outline that process. Required Tasks, Approvals, and Resources: Amending the commission bylaws would require a Historic Resources Commission meeting and majority vote from the commissioners. Issue 3: The HRC consists of nine members, two of which are representatives from the planning commission and the community redevelopment and housing commission. The intention of this structure was to allow each representative to advise and make recommendations to their corresponding commissions regarding potentially historical projects and properties. However, the HRC has been concerned that in recent months the Planning 2 Commission has reviewed and acted on projects with the potential for historic significance, without adequate conversations and consideration. The recommendations outlined below would allow the HRC to lend a voice to the Planning Commission regarding historically or potentially historically related items as "non -full voting" members. HRC Recommendation(s): Amend Section 2-350 of the SAMC to require that representative(s) from the Historic Resources Commission be appointed to the Planning Commission as non -full voting members (i.e., only voting on historically related items). Required Tasks, Approvals, and Resources: Amending the powers and duties outlined in Section 2-350 of the SAMC would require City Council review and approval of a municipal code amendment. In addition, staff resources would be required to analyze the full implications of amending the code section to include HRC representatives on the Planning Commission. HISTORIC APPLICATION FEES Issue 4: The FY 19-20 fee for each of the historic applications (i.e., Mills Act application and the Historic Register application) is $3,589.14. Although this is a significant reduction in application costs from the recent years (as high as $5,814.41 for historic registration and $4,422.59 for mills act) the HRC has expressed concern that the high cost has been a financial burden and discourages property owners from applying to place their properties on the historic register, contributing to reduced preservation efforts Citywide. An informal survey conducted both by staff and HRC members of regional cities with historic programs, highlighted that the City of Santa Ana has the highest application costs for both historic register and mills act applications. The cities surveyed include Orange, Tustin, Anaheim, San Clemente, Newport Beach, San Juan Capistrano, Pasadena, and Los Angeles. The implementation of these application costs dates back to 2009, when the City Council adopted an ordinance establishing a fee for nominations of properties to the local historic register. This decision was based on the determination that the most significant properties had received historic status and further listings of nominated properties were primarily for the purpose of receiving the mills act tax reduction. At the time, the fee was developed based on a full cost recovery. In September 2014, the City Council adopted a resolution to temporarily reduce fees for mills act applications by 50%, and waive the $5,015.05 fee for nominations of properties to the historic register. The proposed fee waiver was in effect for one year with an option for the City Council to renew for an additional two years. In August 2015, the City Council adopted a second resolution authorizing the extension of the previously approved waiver and the reduction of fees for two additional years. The waiver and fee reduction expired in August 4, 2017. During the time that the reduced fee waiver was in effect (2014-2017) the City saw a noticeable increase in historic applications received, as can be seen in the Attachment 1. The line graph provided highlights the steep decrease in applications received once the waiver and fee reduced expired. Therefore, the HRC is making the recommendations to facilitate and encourage property owners to place their properties on the local register, thereby spurring historic preservation efforts. 3 60D-4 HRC Recommendation(s): Reduce the historic application fees for (1) placing properties on the register of historical properties (i.e., self -nomination); and (2) processing historic property preservation agreements (i.e., mills act). The HRC recommends that the fees should be from $2004500 for self -nominations to the historic register and no more than $2,000 for a Mills Act application. In addition, the HRC discussed the following alternatives be implemented to determining appropriate fees: a. Establishing historic fees that are less for self -nomination than for mills act; and b. Introducing a sliding scale for historic application fees (e.g., location of structures within the City). Required Tasks, Approvals, and Resources: The proposed recommendations to permanently reduce the historic application fees for the mills act and historic registration would require review and approval by the City Council of a resolution amending the City's miscellaneous fee schedule. A process would have to be established in order to determine the metrics to be used for the recommended sliding scale. In addition, an impact analysis would be needed to determine the short- and long-term effects of the reducing the fees. Additional analysis may provide insight as to the impact on revenue to the City. For example, while the exact savings is dependent on a number of factors, many property owners realize as much as a 50% savings on their property tax bill through the mills act application. As a result, the City sees a loss of property tax dollars annually. The analysis may take into account local economic growth through invigorated historic preservation efforts, and cultural and aesthetic benefits that may have a positive impact on property values, both in residential and commercial. HISTORICALLY SENSITIVE AREAS AND HISTORIC RESOURCES PROTECTION AND ENFORCEMENT Issue 5: The HRC has expressed the concern for demolition or alteration of structures that have not been designated historic or surveyed, but that are located within neighborhoods of potential historical significance. These neighborhoods have been informally referred to as Historically Sensitive Areas (HSA) and include Pacific Park, Floral Park, West Floral Park, Jack Fisher Park, Wilshire Square, Park Santiago, Morrison Park, Washington Square and Heninger Park. Historically, there's been an increased sensitivity regarding additions and exterior alterations to properties within these neighborhoods due to their potential significance. The process of reviewing projects (e.g., new additions, exterior alterations, construction alterations, etc.) for historic appropriateness and context within these areas has been largely informal in nature as none of the areas have been formally designated as historic districts either at the local, state or federal level, nor has a policy been adopted by the City Council to officially recognize the term Historically Sensitive Area. Therefore, the HRC is making the recommendations outlined below in an effort to establish a Historically Sensitive Area program that protects structures within certain neighborhoods by retaining and preserving the historic character, regardless of designation and/or eligibility. 4 HRC Recommendation(s): 1. Direct planning staff to explore the designation of "Historically Sensitive Areas (HSA)" through the implementation of general plan policies within the new Historical Cultural Element considered as part of general plan update; and/or 2. Direct planning staff to engage in efforts to establish an HSA program that includes the following: a. Establish criteria for selecting critical neighborhoods within the City with a high concentration of historic resources; b. Identify critical neighborhoods to be designated an HSA and establish boundaries; c. Develop guidelines and standards for the newly created HSA that establish the following: i. Set criteria for review of non -designated structures within HSA that includes a heightened level of review for modifications and alterations; ii. Set design standards for new infill-development projects or additions within the HSA that are consistent with the Secretary of Interior's Standards for Historic Preservation and the City of Santa Ana Design Guidelines, and which are mindful of community context and architectural sensitivity. Required Tasks, Approvals, and Resources: In order to establish historically sensitive areas, the City Council would be required to direct staff to analyze the implementation of one of the two above -mentioned options. In addition, the City Council would be required to direct staff to make a recommendation as to what option would be most feasible and cost-effective. Establishing an HSA program would require staff time and resources in order to establish the necessary criteria for selecting neighborhoods with high concentration of historic resources for inclusion into the HSA. In addition, impact analysis would be required to analyze the short- term and long-term implications of establishing HSAs in order to preserve properties not currently designated as historic. Lastly, property owners located within HSAs would be required to be notified of potential property improvement limitations. PRESERVATION OF HISTORIC TREES Issue 6: The HRC has expressed concerns that there is no current ordinance in place for the protection and preservation of private property trees such as oaks, sycamores and/or mature trees. They've expressed that such trees could be significant aesthetic and ecological resources that would help enhance the aesthetic and scenic beauty of the neighborhoods, protect property values, and protect heritage tree resources. The recommendations outlined below are intended to establish a process for the preservation and enhancement of property values through conserving and enhancing the distinctive and unique aesthetic character that specific trees species provide in many areas in the City. S �. 1 HRC Recommendation(s): Recommend that the City Council or Environmental & Transportation Advisory Committee (ETAC) develop a Tree Preservation/Protection Ordinance that establishes the following: a. Identifies all tree species to be protected/preserved on private and public properties (e.g., Oak trees, Southern California Black Walnut, Western Sycamores, California Bay, etc.) and trees species not subject to tree preservation requirements (i.e., unprotected trees); b. Sets criteria to be used to define a protected tree including, but not limited to the following: species, age, trunk diameter, historic significance, ecological value, aesthetics, location, or other unique characteristics. Required Tasks, Approvals, and Resources: Adopting a Tree Preservation/Protection Ordinance would require staff time and resources to develop the required language, definitions, and standards as part of the ordinance. Additional staff resources may involve research into successful tree preservation/protection ordinances from adjacent cities and an impact analysis on the short-term and long-term implications of establishing a tree preservation/protection program. If implemented, additional staff resources would be required to implement and enforce required protective measures (i.e., code enforcement). RECOMMENDATION The HRC is requesting the City Council to consider and provide directions to staff to proceed with initiating the process to implement above recommendations. Alberta Christy, Chairperson 6 60D-7 Attachment l: 70 . 50 z O d 40 20 Io 0 6o 50 ZO 40 F d 0 30 w d w O zo u 10 0 Mills Act Applications and Cost 200'7-2019 J� Oa le Y �ry 'J IN 15 b tit 3 .111 M10 YO ^O ry0 nV `+O `LC eY0 'Y0 rvO `YO rv0 O `YO Y FISCALYEAR �Mi➢s Act Fee �Mi➢s Act Historic Listing Applications and Cost 200'7-2019 YC3 ^`�l .`O 'J'Y1 `YO11 ti Y $5,000.00 $4,500.00 $4,000.On $3,500.00 F $3,000.00 00 z 0 $2,500.00 E, d O $2,000.00 w d $1,500.00 $r,0oo.00 $500.00 $0.00 $6,000.00 $5,000.00 — $4,0oo.oa o O z 0 $3,000.00 F d 0�yy $2,000.00 w d $1,000.00 $0.00 O'0 YQ,ry i h0~� ry� ry�Y� rvoti,. .0~^ ✓ Yovg'la ✓ FISCALYEAR Historic Register Fee Historic Listing Applications Received "I: REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 7, 2020 TITLE: PUBLIC HEARING — ZONING ORDINANCE AMENDMENT NO. 2020-01 TO AMEND SEVERAL SECTIONS OF CHAPTER 41 (ZONING) OF THE SANTA ANA MUNICIPAL CODE CLERK OF COUNCIL USE ONLY: FWA NN1.10DI0W ❑ 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 Adopt an ordinance approving Zoning Ordinance Amendment (ZOA) No. 2020-01 to amend several sections of Chapter 41 (Zoning) of the Santa Ana Municipal Code (SAMC) relating to development process streamlining and the updating of development standards. PLANNING COMMISSION ACTION At its regular meeting on February 24, 2020, the Planning Commission voted 7:0 to recommend that the City Council approve Zoning Ordinance Amendment (ZOA) No. 2020-01 to amend several sections of Chapter 41 (Zoning) of the Santa Ana Municipal Code (SAMC) relating to development process streamlining and the updating of development standards. PROJECT DESCRIPTION AND ANALYSIS In 2017, the City began a series of zoning code revisions intended to streamline the development process and update outdated development standards. The proposed amendments included in Zoning Ordinance Amendment (ZOA) No. 2020-01 are a continuation of that effort. The proposed amendments are intended to correct typos, clarify ambiguity in the zoning code, and update uses permitted in the Professional (P) zoning district to address current development and economic trends. All of the proposed amendments, apart from the proposed change to the Professional (P) zoning district, are non -substantive and are intended to correct minor provisions related to the above subjects. The proposed amendment to the Professional (P) zoning district to allow parking lots and parking structures subject to a conditional use permit (CUP) is intended to provide additional land use options and facilitate competitive professional and administrative office employment centers with convenient access to parking. Moreover, any potential negative impacts of such a use will be mitigated through development standards, which are also part of the proposed amendments, and through CUP conditions of approval on a site -by -site basis. 75A-1 Zoning Ordinance Amendment No. 2020-01 April 7, 2020 Page 2 At its February 24, 2020 meeting, the Planning Commission voted to recommend that the City Council approve the proposed amendments relating to development process streamlining and updating development standards, but determined that proposed amendments to Specific Development No. 19 (SD-19) and Specific Development No. 40 (SD-40) zoning districts should be furthered studied and analyzed before recommending approval of the two particular amendments. As such, the proposed amendments to Chapter 41 of the SAMC detailed below do not include amendments to SD-19 or SD-40. The proposed amendments to Chapter 41 (Zoning) of the SAMC are described and analyzed in Table 1: Summary of Amendments, below. Table 1: Summary of Amendments Code Section(s) Subject issues and Resolutions 41-196 Establishments Selling Issue: In 2013, new standards were approved for Alcoholic Beverages: alcohol sales and a typo was erroneously adopted, Amends the Public incorrectly citing exemptions to separation Convenience or requirements for off -sale establishments of less than Necessity (PCN) process 10,000 square feet in size, and ambiguous and distance exemptions language was included leaving uncertainty in the for proposed off -sale application of operational standards for off -sale alcohol licenses. establishments. Amendment Resolution: Correctly cites the two conditions of approval for a PCN that may not be waived, which are: 1) 1,000 linear foot distance from other establishments with an off -sale alcohol licenses; and 2) 1,000 linear foot distance to properties used for schools attended by minors, religious institutions, or for park purposes. Clarifies operational standards for off -sale alcohol licenses to include terms such as "shall' to ensure compliance with said standards. 41-766 Interpretation of Issue: The zoning code currently has a section Regulation: Authorizes addressing interpretation of ambiguous language the Executive Director of but is vague and does not authorize any the Planning and Building government body to interpret the ambiguity. Agency to have the ability to interpret any ambiguity Amendment Resolution: Authorizes and gives the within Chapter 41. Executive Director of the Planning and Building Agency the ability to interpret ambiguous language within Chapter 41 or defer the matter to the Planning Commission. 41-1341 Drive -Through Issue: Current code standards do not explicitly state Standards: Amends the points from which to measure the stacking lanes stacking and queuing nor do they account for current trends in drive- 75A-2 Zoning Ordinance Amendment No. 2020-01 April 7, 2020 Page 3 language. through design (i.e., having a pay window and pick- up window). Amendment Resolution: Clarifies the exact point from which to measure the stacking and queuing length requirements for drive -through establishments and makes language consistent with the citywide design guidelines. 41-313.5(o) Parking Lots and Issue: Uses permitted in the Professional (P) Parking Structures: zoning district have high peak hours parking Amends the Professional demand. Limited parking options could stifle (P) zoning district to allow development or repurposing and re -tenanting of parking lots and parking existing buildings. structures subject to a conditional use permit. Amendment Resolution: Provides additional land use options for property owners and convenient parking for employees in jobs rich areas. ENVIRONMENTAL IMPACT As part of the City's permitting process, the proposed project is required to undergo an environmental review in accordance with the California Environmental Quality Act (CEQA). In accordance with the CEQA, the 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. Where it can be seen with certainty that there is no possibility that the activity in question may have a significant effect on the environment, the activity is not subject to CEQA (ER No. 2020-09). STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal No. 3 - Economic Development, Objective No. 2 (create new opportunities for business/job growth and encourage private development through new General Plan and Zoning Ordinance policies) and Goal No. 5 - Community Health, Livability, Engagement & Sustainability, Objective No. 3 (facilitate diverse housing opportunities and support efforts to preserve and improve the livability of Santa Ana neighborhoods). FISCAL IMPACT There is no fiscal impact associated with this item. Exhibits: 1. Draft Zoning Ordinance Amendments - ZOA No. 2020-01 2. February 24, 2020 Planning Commission Staff Report 75A-3 EXHIBIT 1 LS 4.7.20 ORDINANCE NO. NS-XXXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING VARIOUS SECTIONS OF CHAPTER 41 (ZONING) OF THE SANTA ANA MUNICIPAL CODE INCLUDING SECTIONS: 41-196 (ESTABLISHMENTS SELLING ALCOHOLIC BEVERAGES), 41-313.5 (PARKING LOTS AND PARKING STRUCTURES), 41-324 (PARKING LOTS AND PARKING STRUCTURES), 41-766 (INTERPRETATION OF CHAPTER REGULATIONS), AND 41-1341 (DRIVE -THROUGH STANDARDS) OF THE SANTA ANA MUNICIPAL CODE THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. Various sections of Chapter 41 (Zoning) of the Santa Ana Municipal Code (SAMC) have been revised periodically over the last several years to respond to changes in development, to adopt new permitting procedures, and to comply with changes to State and Federal laws. In a continuing effort to establish high -quality development standards and to create a user-friendly environment for residents and the business community within the City, the Planning Division is proposing revisions to various sections of Chapter 41 of the SAMC. B. After a thorough analysis of the current code requirements in the City, staff identified several sections of the code for amendments necessary to ensure clear, uniform, and legally consistent regulations. The proposed amendments will enable the City to implement a regulatory framework that protects the health, safety and welfare of the City and limits undue strain on homeowners, business operators and developers. C. On February 24, 2020, the Planning Commission held a duly noticed public hearing and voted to recommend that the City Council adopt Zoning Ordinance Amendment No. 2020-01. D. The City Council, on April 7, 2020, held a duly noticed public hearing on this ordinance and has considered all testimony presented thereto. E. All provisions of the Santa Ana Municipal Code which are repeated herein are repeated solely in order to comply with the provisions of Section 418 of the Ordinance No. NS-XXXX Page 1 of 13 75A-4 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. The proposed ordinance has been reviewed with respect to applicability of the California Environmental Quality Act ("CEQA") and the State CEQA Guidelines (California Code of Regulations, Title 14, Section 15000 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 will be filed upon adoption of this ordinance. Section 3. Section 41-196 (Establishments Selling Alcoholic Beverages) of Chapter 41 of the SAMC is hereby amended to read as follows: Sec. 41-196. — Establishments Selling Alcoholic Beverages. (a) Conditional use permit required. Except as provided in subsection (b), no establishment may sell alcoholic beverages for either on -site or off -site consumption unless a conditional use permit has been approved for such establishment pursuant to Article V of this Chapter. Prior to the public hearing for the approval of said conditional use permit, the establishment must be in compliance with all provisions of Chapter 41. (b) Land use certificates for incidental alcohol sales. A land use certificate may be issued pursuant to the requirements of Section 41-675 for an establishment which serves alcoholic beverages for either on -site or off - site consumption only if the establishment falls within one (1) of the following categories: (1) Club or lodge establishments where admittance is limited to members and guests invited by members and where the sale of alcoholic beverages is clearly incidental to other activities conducted on the premises. (2) Florists shops offering the sale of a bottle of an alcoholic beverage together with a floral arrangement. (c) Alcohol storage and display area for off -sale establishments. No off -sale establishment under ten thousand (10,000) square feet shall have a combined alcohol storage and display area that exceeds five (5) per cent of the gross floor area of the store area. (d) Separation requirement for off -sale establishments under ten thousand (10,000) square feet. No off -sale establishment may be granted a conditional use permit for the sale of alcoholic beverages if any of the following conditions apply: Ordinance No. NS-XXXX Page 2 of 13 75A-5 (1) The proposed establishment is within one thousand (1,000) linear feet of an existing off -sale alcohol license as measured from the primary entrance of one (1) establishment to the primary entrance of the other establishment. (2) The proposed establishment is within one thousand (1,000) linear feet of any property used as a school primarily attended by minors, for a skurrh religious institution or for park purposes as measured from the door of one (1) establishment to the door of the other use(s). (3) The proposed establishment is determined to be over concentrated by the State Department of Alcohol Beverage Control as defined in Business and Professions Code Section 23958.4. (e) Finding of public convenience or necessity for off -sale establishments under ten thousand (10,000) square feet located within an area of undue concentration. If the proposed off -sale establishment is located within an area deemed to have an undue concentration of off -sale alcohol licenses pursuant to the State Department of Alcoholic Beverage Control, the City may, at its discretion, prepare a letter of public convenience or necessity to allow the alcohol license pursuant to the process contained in Section 41-645.5. However, the conditions fn--subsections (2) (1) and (3) 2 of Section 41-196(d) may not be waived. (f) Operational standards for off -sale establishments. The following operational standards shall be included in the conditions of approval for the conditional use permit required pursuant to Section 41-196: (1) No alcoholic beverages shall be consumed on any property adjacent to the licensed premises under the control of the licensee. (2) The applicant shall be responsible for maintaining free of litter the area adjacent to the premises over which he or she has control. (3) There shall be no exterior advertising of any kind or type, including window signs or other signs visible from outside, promoting or indicating the availability of alcoholic beverages on the premises. (4) There shall be no coin -operated games maintained on the premises at any time. (5) All public telephones shall be located on the interior of the premises. Ordinance No. NS-XXXX Page 3 of 13 75A-6 (6) Any graffiti painted or marked upon the premises or on any adjacent area under the control of the applicant shall be removed or painted over within twenty-four (24) hours of being applied. (7) The applicant shall post a placard prohibiting loitering, pursuant to California Penal Code ("CPC") Section 602, on the exterior of the premises. (8) It shall be the applicant's responsibility to ensure that CPC Section 602 is complied with at all times that the premises are in operation. (9) The applicant shall at all times utilize an age verification device for all purchases of alcoholic beverages. (10) The owner or manager of the licensed premises shall maintain on the premises a written security policy and procedures manual, that has been approved by the Police Department, addressing at a minimum the following items; handling obviously intoxicated persons; establishing a reasonable ratio of employees to patrons, based upon activity level, in order to monitor beverage sales and patron behavior; handling patrons involved in fighting, arguing or loitering about the building and in the immediate adjacent area that is owned, leased, rented or used under agreement by the licensee(s); verifying age/checking identification of patrons; calling the police regarding observed or reported criminal activity. (11) If there is a marked or noticeable increase in the number of police - related incidents on or near the premises, as such increase may be determined by the Chief of Police, the applicant may be required to provide state -licensed, uniformed security guards at a number determined by the Chief of Police. (12) All managers and employees selling alcoholic beverages shall undergo and successfully complete a certified training program in responsible methods and skills for selling alcoholic beverages. The California Department of Alcoholic Beverage Control must approve said training program. Records of each employee's successful completion of the certified training program required by this section shall be maintained on the premises of the alcoholic beverage outlet and shall be presented upon request by a representative of the City of Santa Ana. (13) Alcoholic beverages in containers of less than sixteen (16) ounces cannot be sold by single containers, but must be sold in pre- packaged multi -unit quantities. (14) The sales of alcoholic beverages shall be permitted only between the hours of 7:00 a.m. and 12:00/midnight each day of the week Ordinance No. NS-XXXX Page 4 of 13 75A-7 unless otherwise modified by the granting of an after-hours conditional use permit. (15) Existing building and required parking must conform to the provisions of Chapter 8, Article II, Division 3 of the Santa Ana Municipal Code (building security ordinance). These code conditions will require that the existing project lighting, door/window locking devices and addressing be upgraded to current code standards. Lighting standards cannot be located in required landscape planters. (16) Cash register must be visible from the street at all times and shall not be obstructed at any time by temporary or permanent signage. (17) Window displays must be kept to a minimum for maximum visibility and shall not exceed twenty-five (25) per cent of window coverage. (18) Window displays and racks must be kept to a maximum height of three (3) feet including merchandise. (19) A timed -access cash controller or drop safe must be installed. (20) A silent armed robbery alarm must be installed and operable at all times. (21) Clearly distinguishable height markers shall be installed on the inside doorjamb of all doors used by the public to access the store. Horizontal marks, one (1) inch wide by three (3) inch long, in different colors, and in a contrasting color to the background, shall be placed every six (6) inches beginning at five (5) feet and ending at six (6) feet six (6) inches. (22) No person under the age of twenty-one (21) shall sell or deliver alcoholic beverages. (23) A Provicip a closed-circuit television system shall be provided and approved by the Police Department and shall be capable of viewing and recording events inside and outside the premises including the parking areas with a resolution which will clearly identify individuals for later identification as follows: (a) A minimum of one (1) color camera at each cash register that views the front of a customer, from the waist to the top of the head. (b) A minimum of one (1) color camera that views the full length side of a customer at the cash register area. Ordinance No. NS-XXXX Page 5 of 13 75A-8 (c) A color camera recorder capable of recording events on all cameras simultaneously. (d) A tape or disc storage library of recorded cameras kept for a minimum of sixty (60) days. (e) If video tape is used, tapes cannot be taped over more than six (6) times. (f) An audio recording component that will record sounds occurring at the customer counter. (g) An internet protocol (IP)-based system is required. (24) It shall be the operator's responsibility to submit a shopping cart containment plan pursuant to SAMC Section 33.210. (25) The operator shall be responsible for obtaining all necessary permits for building tenant and freestanding signs. This shall include any window signs and temporary banners. (g) Operational standards for on -sale establishments. The following operational standards shall be included in the conditions of approval for the conditional use permit required pursuant to Section 41-196(a). (1) The premises shall at all times be maintained as a bona -fide eating establishment as defined in Section 23038 of the California Business and Professions Code and shall provide a menu containing an assortment of foods normally offered. The premises must have suitable kitchen facilities and supply an assortment of foods commonly ordered at various hours of the day. Full and complete meals must be served whenever the privileges of the on - sale license are being exercised. (2) There shall be no fixed bar or lounge area upon the premises maintained for the sole purpose of sales, service or consumption of alcoholic beverages directly to patrons. A fixed bar or lounge may be permitted if patrons may order food being offered to the general patrons of the eating establishment. (3) The sales, service, and consumption of alcoholic beverages shall be permitted only between the hours of 7:00 a.m. and 12:00 a.m. unless otherwise amended by the granting of a conditional use permit for after-hours operations pursuant to Santa Ana Municipal Code Chapter 41. (4) It shall be the applicant's responsibility to ensure that no alcoholic beverages are consumed on any property adjacent to the licensed Ordinance No. NS-XXXX Page 6 of 13 75A-9 premises under the control of the applicant, with the exception of any enclosed patio areas. (5) The applicant or an employee of the licensee must be present to monitor all areas of the establishment, including outdoor patios, during all times that alcoholic beverages are being served or consumed. (6) All employees serving alcoholic beverages must complete responsible beverage service training, or an equivalent approved by the State Department of Alcoholic Beverage Control, prior to being able to serve alcoholic beverages to patrons. Evidence of the completion of such training must be maintained on the premises and available for inspection upon request by the city. (7) During those times when patrons are restricted to twenty-one (21) years of age or older, the applicant shall at all times utilize an age verification means or device for all purchases of alcoholic beverages. Such verification of age is not intended to discriminate against patrons based on race, ethnicity or legal status, but only to comply with state law restricting the sale of alcohol to those twenty- one (21) and older. (8) Queuing lines shall be managed in an orderly manner and all disruptive and/or intoxicated patrons shall be denied entry. The business owner, or his designee, shall be responsible for monitoring the queuing lines at all times. (9) The outdoor queuing line shall not block public walkways or obstruct the entry or exit doors of adjacent businesses. Stanchions or barriers must be used to maintain order at all times the queue exceeds twenty-five (25) patrons. All stanchions or barriers located on public property must be approved by the public works agency. (10) Employees and contract security personnel shall not consume any alcoholic beverages during their work shift, except for product sampling for purposes of employee education about new products. Under no circumstances may contract security personnel consume alcoholic beverages during their work shift. (11) There shall be no exterior advertising of any kind or type, including window signs or other signs visible from outside, that promote or indicate the availability of alcoholic beverages on the premises. Interior displays of alcoholic beverages or signs, which are clearly visible to the exterior, shall constitute a violation of this condition. Permissible window displays must be kept to a minimum for maximum visibility and shall not exceed twenty-five (25) per cent of Ordinance No. NS-XXXX Page 7 of 13 75A-10 window coverage. Floor displays shall not exceed three (3) feet in height. (12) There shall be no promotions encouraging intoxication or drinking contests or advertisements indicating "buy one (1) drink, get one (1) free", "two (2) for the price of one (1)", or "all you can drink for..." or similar language. (13) Any pool tables, amusement machines or video games maintained on the premises at any time must be reviewed and approved in a security plan submitted to the Chief of Police. (14) Live entertainment, including but not limited to, amplified music, karaoke, performers and dancing, shall be subject to the issuance of an Entertainment Permit pursuant to Santa Ana Municipal Code ("SAMC") Chapter 11 — Entertainment, and shall comply with all of the standards contained therein. Notwithstanding this requirement, music/noise shall not be audible beyond twenty (20) feet from the exterior of the premises in any direction. (15) Neither the applicant, nor any person or entity operating the premises with the permission of the applicant, shall violate the City's adult entertainment ordinance contained in SAMC Section 12-1 and 12-2. (16) The premises shall not be operated as an adult entertainment business as such term is defined in SAMC Section 41-1701.6. (17) The applicant(s) shall be responsible for maintaining free of litter the area adjacent to the premises under the control of the licensee. (18) There shall be no public telephones located on the exterior of the premises. All interior pay phones must be designed to allow outgoing calls only. (19) Any graffiti painted or marked upon the premises or on any adjacent area under the control of the licensee(s) shall be removed or painted within twenty-four (24) hours of being applied. (20) Existing bona fide eating establishment and required parking must conform to the provisions of Chapter 8, Article II, Division 3 of the Santa Ana Municipal Code (Building Security Ordinance). These code conditions will require that the existing project lighting, door/window locking devices and addressing be upgraded to current code standards. Lighting standards cannot be located in required landscape planters. Prior to issuance of letter of approval Ordinance No. NS-XXXX Page 8 of 13 75A-11 to the Alcohol Beverage Control Board, this condition must be complied with. (21) A timed -access cash controller or drop safe must be installed. (22) Install a silent armed robbery alarm. (23) The owner or manager of the licensed premises shall maintain on the premises a written security policy and procedures manual, that has been approved by the police department, addressing at a minimum the following items: (a) Procedures for handling obviously intoxicated persons (b) The method for establishing a reasonable ratio of employees to patrons, based upon activity level, in order to ensure adequate staffing levels to monitor beverage sales and patron behavior. (c) Procedures for handling patrons involved in fighting, arguing or loitering about the building, and/or in the immediate adjacent area that is owned, leased, rented or used under agreement by the licensee(s). (d) Procedures for verifying the age of patrons for purposes of alcohol sales. (e) Procedures for ensuring that servers monitor patrons to ensure that their drinking limit/potential intoxication is not exceeded. This procedure should include a description of the procedure the server would use to warn, or refuse to serve, the patron. (f) Procedures for calling the police regarding observed or reported criminal activity. (g) Procedures for management of queuing lines. (h) The location and description of any video games proposed to be on the premises. (24) The operator shall be responsible for submitting a detailed outdoor fencing and dining plan where outdoor dining is proposed as part of the business operation. If the proposed dining area or fencing is in the public right of way, the applicant must obtain all required permits and approvals from the Public Works Agency. Ordinance No. NS-XXXX Page 9 of 13 75A-12 (25) Combined alcohol storage and display areas shall not exceed five (5) percent of the gross floor area of the licensed establishment. Section 4. Section 41-313.5 (Parking Lots and Parking Structures) of Chapter 41 of the SAMC is hereby amended to read as follows: Sec. 41-313.5. - Uses subject to a conditional use permit in the P district. The following may be permitted in the P district, subject to the issuance of a conditional use permit: a. Convalescent hospitals, nursing homes, rest homes and extended care facilities. b. Hospitals. c. Trade and professional schools. d. Health clubs and gymnasiums. e. Recreational or entertainment uses if carried on in conjunction with any of the uses specified in clauses (e), (f) and (k) of section 41-313. f. Ambulance and emergency medical response services. g. Non -freestanding commercial and service uses which are open at any time between the hours of 12:00 midnight and 5:00 a.m., provided that such uses also meet the standards for commercial and service uses permitted under section 41-313, and further provided that such uses have less than twenty thousand (20,000) square feet of floor area. h. Eating establishments open at any time between the hours of 12:00 midnight and 5:00 a.m. and located within one hundred fifty (150) feet of residentially zoned or used property, measured from property line to property line. i. Banquet facilities, subject to development and operational standards set forth in section 41-199.1. j. Banquet facilities as an ancillary use, subject to development and operational standards set forth in section 41-199.1. k. Adult day care facilities. I. Clubs, fraternities and lodges. m. Bail bond uses, subject to development and operation standards set forth in section 41-323. n. Churches and accessory church buildings. Ordinance No. NS-XXXX Page 10 of 13 75A-13 o. Parking lots and parking structures subiect to compliance with the requirements of Section 41-324. Section 5. Section 41-324 (Parking Lots and Parking Structures) of Chapter 41 of the SAMC is hereby added and shall read as follows: Sec. 41-324. — Parking lot and parking structure standards. In addition to the provisions of this chapter, the following minimum development and operational standards apply to parking lot and parking structure uses: (a) Shall only be permitted on sites of no less than two (2) acres. (b) Shall not be permitted on sites that abut properties zoned or used for single- family residential. (c) Shall be designed to comply with the Citywide Design Guidelines established by resolution of the City Council. Section 6. Section 41-324-325. Reserved of Chapter 41 of the SAMC is hereby amended to read as follows: Secs. 41-3245 41-325. — Reserved. Section 7. Section 41-766 (Interpretation of chapter) of Chapter 41 of the SAMC is hereby amended to read as follows: Sec. 41-766. — Interpretation of chapter regulations. The Executive Director of the Planning and Building Agency, or his or her designee, shall have the responsibility and authority to interpret the meaning and applicability of all provisions and requirements of this Chapter. In interpreting and applying the provisions of this Chapter, they shall be held to be the minimum requirements for the promotion of the public safety, health, convenience, comfort and general welfare. Whenever the Executive Director determines that the meaning or applicability of any of the requirements of this Chapter are subject to interpretation generally, or as applied to a specific case the Executive Director may issue an official interpretation or refer the question to the Planning Commission for determination. If ambiguity arises concerning the appropriate classification of a particular use or regulation within the meaninq and intent of this Chapter with respect to any matters regulated by this Chapter based on established or unforeseen circumstances, including technological changes in processing or application of materials, the Executive Director shall have the power to interpret the regulation based on understanding of this Chapter. Applicants may appeal Ordinance No. NS-XXXX Page 11 of 13 75A-14 the Executive Director's interpretation to the Planning Commission for review and interpretation which shall be final; thereafter, such interpretation shall govern. Section 8. Section 41-1341 (Restaurants, cafes, etc.) of Chapter 41 of the SAMC is hereby amended to read as follows: Sec. 41-1341. - Restaurants, cafes, etc. (a) The minimum off-street parking requirements for restaurants, cafes and other eating establishments are as follows: eight (8) spaces for each one thousand (1,000) square feet of gross floor area and open-air dining area except that an open-air dining area no greater than twenty-five (25) per cent of the gross floor area of the restaurant, or one thousand (1,000) square feet, whichever is smaller, is exempt from a parking requirement. (b) Each drive -through eating establishment shall have vehicular stacking lanes of at least eighty (80) feet from the center of the pick-up window or Pay window, whichever is closer to the menu board; and to the order-peiatF and eighty (80) feet from the order point or menu board to the beginning of the drive -through lane. to the end of the drive thFeugh !aR( Such stacking lanes shall be located so that they do not serve as entries to parking spaces. Section 9. If any section, subsection, sentence, clause, phrase or portion of this ordinance for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council of the City of Santa Ana hereby declares that it would have adopted this ordinance and each section, subsection, sentence, clause phrase or portion thereof irrespective of the fact that any one or more sections, subsections, sentences, clauses, phrases, or portions be declared invalid or unconstitutional. ADOPTED this day of 2020. Miguel A. Pulido Mayor Ordinance No. NS-XXXX Page 12 of 13 75A-15 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 , 2020 and that said ordinance was published it accordance with the Charter of the City of Santa Ana. Date: Clerk of the Council City of Santa Ana Ordinance No. NS-XXXX Page 13 of 13 75A-16 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: FEBRUARY 24, 2020 TITLE: PUBLIC HEARING — ZONING ORDINANCE AMENDMENT NO. 2020-01 TO AMEND SEVERAL SECTIONS OF CHAPTER 41 OF THE SANTA ANA MUNICIPAL CODE AND SECTIONS OF SPECIFIC DEVELOPMENT NO. 19 AND SPECIFIC DEVELOPMENT NO. 40 — CITY OF SANTA ANA, APPLICANT {STRATEGIC PLAN NO. 3, 2; 5,3) Prepared by Ricardo Soto EXHIBIT 2 PLANNING COMMISSION SECRETARY APPROVED ❑ As Recommended ❑ As Amended ❑ Set Public Hearing For DENIED ❑ Applicant's Request ❑ Staff Recommendation CONTINUED TO Executive Director Plan Manager RECOMMENDED ACTION Recommend that the City Council adopt an ordinance approving Zoning Ordinance Amendment (ZOA) No. 2020-01 to amend several sections of Chapter 41 (Zoning) of the Santa Ana Municipal Code (SAMC) and sections of Specific Development No. 19 (SD-19)/French Park and Specific Development No. 40 (SD-40)/ Heninger Park. Project Background In 2017, the City began a series of zoning code revisions intended to streamline the development process and update outdated development standards. The proposed amendments included in ZOA No. 2020-01 are a continuation of that effort. Project Description and Analysis The Planning Division is requesting approval of several amendments to Chapter 41 (Zoning) of the Santa Ana Municipal Code (SAMC). The proposed amendments are intended to correct typos; clarify ambiguity in the zoning code; create consistency of terms, definitions, and processes; and update uses permitted in the Professional (P) zoning district to address current development and economic trends. All of the proposed amendments, apart from the proposed change to the Professional (P) zoning district, are non -substantive and intended to correct minor provision related to the above subjects. The proposed amendment to the Professional (P) zoning district to allow parking lots and parking structures subject to a conditional use permit (CUP) is intended to provide additional land use options and facilitate competitive professional and administrative office employment centers with convenient access to parking. Moreover, any potential negative impacts of such a use will be mitigated through development standards, which 75A-17 Zoning Ordinance Amendment No. 2020-08 February 24, 2020 Page 2 are also part of the proposed amendments, and through CUP conditions of approval on a site -by - site basis. The proposed amendments to Chapter 41 (Zoning) of the SAMC and to the SD-19 and SD-40 zoning districts are described and analyzed in Table 1: Summary of Amendments, below. Table 1: Summary of Amendments 41-196 Establishments Selling Issue: In 2013, new standards were approved for Alcoholic Beverages: alcohol sales and a typo was erroneously adopted, Amends the Public incorrectly citing exemptions to separation Convenience or Necessity requirements for off -sale establishments of less than (PCN) process and 10,000 square feet in size, and ambiguous language distance exemptions for was included leaving uncertainty in the application of proposed off -sale alcohol operational standards for off -sale establishments. licenses. Amendment Resolution: Correctly cites the two conditions of approval for a PCN that may not be waived, which are: 1) 1,000 linear foot distance from other establishments with an off -sale alcohol licenses; and 2) 1,000 linear foot distance to properties used for schools attended by minors, religious institutions, or for park purposes. Clarifies operational standards for off -sale alcohol licenses to include terms such as "shall" to ensure compliance with said standards. 41-766 Interpretation of Issue: The zoning code currently has an section Regulation: Authorizes addressing interpretation of ambiguous language but the Executive Director of is vague and does not authorize any government the Planning and Building body to interpret the ambiguity. Agency to have the ability to interpret any ambiguity Amendment Resolution: Authorizes and gives the within Chapter 41. Executive Director of the Planning and Building Agency the ability to interpret ambiguous language within Chapter 41 or defer the matter to the Planning Commission. 41-1341 Drive -Through Issue: Current code standards do not explicitly state Standards: Amends the points from which to measure the stacking lanes stacking and queuing nor do they account for current trends in drive - language. through design (i.e., having a pay window and pick-up window). Amendment Resolution: Clarifies the exact point from which to measure the stacking and queuing length requirements for drive -through establishments and makes language consistent with the citywide design guidelines. 75A-18 Zoning Ordinance Amendment No. 2020-08 February 24, 2020 Page 3 again= SD 19 & SD40 French Park and Issue: Both SD-19 and SD-40 are considered Heninger Park Review historical districts that require projects to be reviewed Authority: Amends administratively and/or by the Historic Resources language to clarify major Commission for major modifications. The language modification process and currently contained within these specific review authority. developments is unclear on the modification process. In addition, the Planning Commission is granted review authority over ministerial development applications on sites not listed on the local Historic Register, which conflicts with the Development Project Plan approval process set forth in Sections 41-668 through 674 of the SAMC. Amendment Resolution: Grants the Historic Resources Commission review authority over all major exterior modifications in the historic districts. Clarifies ministerial review process for minor exterior modifications in the historic districts as outlined in Resolution No. 2006-01 and adopted by the Historic Resources Commission on January 5, 2006. Creates a uniform review process for both historic districts. 41-313.5(o) Parking Lots and Issue: Uses permitted in the Professional (P) zoning Parking Structures: district have high peak hours parking demand. Amends the Professional Limited parking options could stifle development or (P) zoning district to allow repurposing and re -tenanting of existing buildings. parking lots and parking structures subject to a Amendment Resolution: Provides additional land conditional use permit. use options for property owners and convenient arkin for employees in jobs rich areas. Table 2: CEQA, Strategic Plan Alignment and Public Notification & Community Outreach ,. t ld 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. Where it can be seen with certainty that there is no possibility that the activity in question may have a significant effect on the environment, the activity s not subject to CEQA. Goal(s) and Approval of this item supports the City's efforts tory meet Goal No. 3 - Economic Policy(s) Development, Objective No. 2 (create new opportunities for business/job growth and encourage private development through new General Plan and Zoning Ordinance policies) and Goal No. 5 - Community Health, Livability, Engagement & Sustainability, Objective No. 3 (facilitate diverse housing opportunities and support efforts to reserve and improve the livability of Santa Ana neighborhoods). 75A-19 Zoning Ordinance Amendment No. 2020-08 February 24, 2020 Page 4 TY, _Qffiek r Required The proposed amendments are citywide, and the project site is not located within the Measures boundaries of one single neighborhood association. However, a notice was published in the Orange County Register. At the time of this printing, no correspondence, by phone, written, or electronic, has been received from any members of the public. 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. 2020- 08. op Ricardo Soto Associate Planner RS:SAPIannIng Commisslon12020102-24-20VOA No. 2020-01 (Chapter 41 Amendments) Exhibit: 1. Proposed Draft Ordinance 75A-20 LS 2.24.20 ORDINANCE NO. NS-XXXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING VARIOUS SECTIONS OF CHAPTER 41 (ZONING) OF THE SANTA ANA MUNICIPAL CODE INCLUDING SECTIONS: 41-196 (ESTABLISHMENTS SELLING ALCOHOLIC BEVERAGES), 41-313.6 (PARKING LOTS AND PARKING STRUCTURES), 41-324 (PARKING LOTS AND PARKING STRUCTURES), 41-766 (INTERPRETATION OF CHAPTER REGULATIONS), AND 41-1341 (DRIVE -THROUGH STANDARDS) OF THE SANTA ANA MUNICIPAL CODE, AND GENERAL PROVISIONS OF SPECIFIC DEVELOPMENT NO. 19 FRENCH PARK (SD-19) AND SPECIFIC DEVELOPMENT NO. 40 HENINGER PARK (SD-40) THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. Various sections of Chapter 41 (Zoning) of the Santa Ana Municipal Code (SAMC) have been revised periodically over the last several years to respond to changes in development, to adopt new permitting procedures, and to comply with changes to State and Federal laws. In a continuing effort to establish high -quality development standards and to create a user-friendly environment for residents and the business community within the City, the Planning Division is proposing revisions to various sections of Chapter 41 of the SAMC and to Specific Development 19 (SD-19) (French Park) and Specific Development No. 40 (SD-40) (Heninger Park). B. After a thorough analysis of the current code requirements in the City, staff identified several sections of the code for amendments necessary to ensure clear, uniform, and legally consistent regulations. The proposed amendments will enable the City to implement a regulatory framework that protects the health, safety and welfare of the City and limits undue strain on homeowners, business operators and developers. C. On February 24, 2020, the Planning hearing and voted to recommend Ordinance Amendment No. 2020-01. Commission held a duly noticed public that the City Council adopt Zoning 75A-21 D. The City Council, on April 7, 2020, held a duly noticed public hearing on this ordinance and has considered all testimony presented thereto. E. All provisions of the Santa Ana Municipal Code 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. The proposed ordinance has been reviewed with respect to applicability of the California Environmental Quality Act ("CEQA") and the State CEQA Guidelines (California Code of Regulations, Title 14, Section 15000 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 will be filed upon adoption of this ordinance. Section 3. Section 41-196 (Establishments Selling Alcoholic Beverages) of Chapter 41 of the SAMC is hereby amended to read as follows: Sec. 41-196. — Establishments Selling Alcoholic Beverages. (a) Conditional use permit required. Except as provided in subsection (b), no establishment may sell alcoholic beverages for either on -site or off -site consumption unless a conditional use permit has been approved for such establishment pursuant to Article V of this Chapter. Prior to the public hearing for the approval of said conditional use permit, the establishment must be in compliance with all provisions of Chapter 41. (b) Land use certificates for incidental alcohol sales. A land use certificate may be issued pursuant to the requirements of Section 41-675 for an establishment which serves alcoholic beverages for either on -site or off - site consumption only if the establishment falls within one (1) of the following categories: (1) Club or lodge establishments where admittance is limited to members and guests invited by members and where the sale of alcoholic beverages is clearly incidental to other activities conducted on the premises. (2) Florists shops offering the sale of a bottle of an alcoholic beverage together with a floral arrangement. (c) Alcohol storage and display area for off -sale establishments. No off -sale establishment under ten thousand (10,000) square feet shall have a combined alcohol storage and display area that exceeds five (5) per cent of the gross floor area of the store area. z 75A-22 (d) Separation requirement for off -sale establishments under ten thousand (10,000) square feet. No off -sale establishment may be granted a conditional use permit for the sale of alcoholic beverages if any of the following conditions apply: (1) The proposed establishment is within one thousand (1,000) linear feet of an existing off -sale alcohol license as measured from the primary entrance of one (1) establishment to the primary entrance of the other establishment. (2) The proposed establishment is within one thousand (1,000) linear feet of any property used as a school primarily attended by minors, for a c-hureh religious institution or for park purposes as measured from the door of one (1) establishment to the door of the other use(s). (3) The proposed establishment is determined to be over concentrated by the State Department of Alcohol Beverage Control as defined in Business and Professions Code Section 23958.4. (e) Finding of public convenience or necessity for off -sale establishments under ten thousand (10,000) square feet located within an area of undue concentration. If the proposed off -sale establishment is located within an area deemed to have an undue concentration of off -sale alcohol licenses pursuant to the State Department of Alcoholic Beverage Control, the City may, at its discretion, prepare a letter of public convenience or necessity to allow the alcohol license pursuant to the process contained in Section 41-645.5. However, the conditions in subsections (2-) LI) and (3) 2 of Section 41-196(d) may not be waived. (f) Operational standards for off -sale establishments. The following operational standards shall be included in the conditions of approval for the conditional use permit required pursuant to Section 41-196: (1) No alcoholic beverages shall be consumed on any property adjacent to the licensed premises under the control of the licensee. (2) The applicant shall be responsible for maintaining free of litter the area adjacent to the premises over which he or she has control. (3) There shall be no exterior advertising of any kind or type, including window signs or other signs visible from outside, promoting or indicating the availability of alcoholic beverages on the premises. (4) There shall be no coin -operated games maintained on the premises at any time. 3 75A-23 (5) All public telephones shall be located on the interior of the premises. (6) Any graffiti painted or marked upon the premises or on any adjacent area under the control of the applicant shall be removed or painted over within twenty-four (24) hours of being applied. (7) The applicant shall post a placard prohibiting loitering, pursuant to California Penal Code ("CPC") Section 602, on the exterior of the premises. (8) It shall be the applicant's responsibility to ensure that CPC Section 602 is complied with at all times that the premises are in operation. (9) The applicant shall at all times utilize an age verification device for all purchases of alcoholic beverages. (10) The owner or manager of the licensed premises shall maintain on the premises a written security policy and procedures manual, that has been approved by the Police Department, addressing at a minimum the following items; handling obviously intoxicated persons; establishing a reasonable ratio of employees to patrons, based upon activity level, in order to monitor beverage sales and patron behavior; handling patrons involved in fighting, arguing or loitering about the building and in the immediate adjacent area that is owned, leased, rented or used under agreement by the licensee(s); verifying age/checking identification of patrons; calling the police regarding observed or reported criminal activity. (11) If there is a marked or noticeable increase in the number of police - related incidents on or near the premises, as such increase may be determined by the Chief of Police, the applicant may be required to provide state -licensed, uniformed security guards at a number determined by the Chief of Police. (12) All managers and employees selling alcoholic beverages shall undergo and successfully complete a certified training program in responsible methods and skills for selling alcoholic beverages. The California Department of Alcoholic Beverage Control must approve said training program. Records of each employee's successful completion of the certified training program required by this section shall be maintained on the premises of the alcoholic beverage outlet and shall be presented upon request by a representative of the City of Santa Ana. (13) Alcoholic beverages in containers of less than sixteen (16) ounces cannot be sold by single containers, but must be sold in pre- packaged multi -unit quantities. 4 75A-24 (14) The sales of alcoholic beverages shall be permitted only between the hours of 7:00 a.m. and 12:00/midnight each day of the week unless otherwise modified by the granting of an after-hours conditional use permit. (15) Existing building and required parking must conform to the provisions of Chapter 8, Article II, Division 3 of the Santa Ana Municipal Code (building security ordinance). These code conditions will require that the existing project lighting, door/window locking devices and addressing be upgraded to current code standards. Lighting standards cannot be located in required landscape planters. (16) Cash register must be visible from the street at all times and shall not be obstructed at any time by temporary or permanent signage. (17) Window displays must be kept to a minimum for maximum visibility and shall not exceed twenty-five (25) per cent of window coverage. (18) Window displays and racks must be kept to a maximum height of three (3) feet including merchandise. (19) A timed -access cash controller or drop safe must be installed (20) A silent armed robbery alarm must be installed and operable at all times. (21) Clearly distinguishable height markers shall be installed on the inside doorjamb of all doors used by the public to access the store. Horizontal marks, one (1) inch wide by three (3) inch long, in different colors, and in a contrasting color to the background, shall be placed every six (6) inches beginning at five (5) feet and ending at six (6) feet six (6) inches. (22) No person under the age of twenty-one (21) shall sell or deliver alcoholic beverages. (23) A Previde a closed-circuit television system shall be provided and approved by the Police Department and shall be capable of viewing and recording events inside and outside the premises including the parking areas with a resolution which will clearly identify individuals for later identification as follows: (a) A minimum of one (1) color camera at each cash register that views the front of a customer, from the waist to the top of the head. s 75A-25 (b) A minimum of one (1) color camera that views the full length side of a customer at the cash register area. (c) A color camera recorder capable of recording events on all cameras simultaneously. (d) A tape or disc storage library of recorded cameras kept for a minimum of sixty (60) days. (e) If video tape is used, tapes cannot be taped over more than six (6) times. (f) An audio recording component that will record sounds occurring at the customer counter. (g) An internet protocol (IP)-based system is required. (24) It shall be the operator's responsibility to submit a shopping cart containment plan pursuant to SAMC Section 33.210. (25) The operator shall be responsible for obtaining all necessary permits for building tenant and freestanding signs. This shall include any window signs and temporary banners. (g) Operational standards for on -sale establishments. The following operational standards shall be included in the conditions of approval for the conditional use permit required pursuant to Section 41-196(a). (1) The premises shall at all times be maintained as a bona -fide eating establishment as defined in Section 23038 of the California Business and Professions Code and shall provide a menu containing an assortment of foods normally offered. The premises must have suitable kitchen facilities and supply an assortment of foods commonly ordered at various hours of the day. Full and complete meals must be served whenever the privileges of the on - sale license are being exercised. (2) There shall be no fixed bar or lounge area upon the premises maintained for the sole purpose of sales, service or consumption of alcoholic beverages directly to patrons. A fixed bar or lounge may be permitted if patrons may order food being offered to the general patrons of the eating establishment. (3) The sales, service, and consumption of alcoholic beverages shall be permitted only between the hours of 7:00 a.m. and 12:00 a.m. unless otherwise amended by the granting of a conditional use permit for after-hours operations pursuant to Santa Ana Municipal Code Chapter 41. L1 75A-26 (4) It shall be the applicant's responsibility to ensure that no alcoholic beverages are consumed on any property adjacent to the licensed premises under the control of the applicant, with the exception of any enclosed patio areas. (5) The applicant or an employee of the licensee must be present to monitor all areas of the establishment, including outdoor patios, during all times that alcoholic beverages are being served or consumed. (6) All employees serving alcoholic beverages must complete responsible beverage service training, or an equivalent approved by the State Department of Alcoholic Beverage Control, prior to being able to serve alcoholic beverages to patrons. Evidence of the completion of such training must be maintained on the premises and available for inspection upon request by the city. (7) During those times when patrons are restricted to twenty-one (21) years of age or older, the applicant shall at all times utilize an age verification means or device for all purchases of alcoholic beverages. Such verification of age is not intended to discriminate against patrons based on race, ethnicity or legal status, but only to comply with state law restricting the sale of alcohol to those twenty- one (21) and older. (8) Queuing lines shall be managed in an orderly manner and all disruptive and/or intoxicated patrons shall be denied entry. The business owner, or his designee, shall be responsible for monitoring the queuing lines at all times. (9) The outdoor queuing line shall not block public walkways or obstruct the entry or exit doors of adjacent businesses. Stanchions or barriers must be used to maintain order at all times the queue exceeds twenty-five (25) patrons. All stanchions or barriers located on public property must be approved by the public works agency. (10) Employees and contract security personnel shall not consume any alcoholic beverages during their work shift, except for product sampling for purposes of employee education about new products. Under no circumstances may contract security personnel consume alcoholic beverages during their work shift. (11) There shall be no exterior advertising of any kind or type, including window signs or other signs visible from outside, that promote or indicate the availability of alcoholic beverages on the premises. Interior displays of alcoholic beverages or signs, which are clearly visible to the exterior, shall constitute a violation of this condition. Permissible window displays must be kept to a minimum for 7 75A-27 maximum visibility and shall not exceed twenty-five (25) per cent of window coverage. Floor displays shall not exceed three (3) feet in height. (12) There shall be no promotions encouraging intoxication or drinking contests or advertisements indicating "buy one (1) drink, get one (1) free", "two (2) for the price of one (1)", or "all you can drink for..." or similar language. (13) Any pool tables, amusement machines or video games maintained on the premises at any time must be reviewed and approved in a security plan submitted to the Chief of Police. (14) Live entertainment, including but not limited to, amplified music, karaoke, performers and dancing, shall be subject to the issuance of an Entertainment Permit pursuant to Santa Ana Municipal Code ("SAMC") Chapter 11 — Entertainment, and shall comply with all of the standards contained therein. Notwithstanding this requirement, music/noise shall not be audible beyond twenty (20) feet from the exterior of the premises in any direction. (15) Neither the applicant, nor any person or entity operating the premises with the permission of the applicant, shall violate the City's adult entertainment ordinance contained in SAMC Section 12-1 and 12-2. (16) The premises shall not be operated as an adult entertainment business as such term is defined in SAMC Section 41-1701.6. (17) The applicant(s) shall be responsible for maintaining free of litter the area adjacent to the premises under the control of the licensee. (18) There shall be no public telephones located on the exterior of the premises. All interior pay phones must be designed to allow outgoing calls only. (19) Any graffiti painted or marked upon the premises or on any adjacent area under the control of the licensee(s) shall be removed or painted within twenty-four (24) hours of being applied. (20) Existing bona fide eating establishment and required parking must conform to the provisions of Chapter 8, Article II, Division 3 of the Santa Ana Municipal Code (Building Security Ordinance). These code conditions will require that the existing project lighting, door/window locking devices and addressing be upgraded to current code standards. Lighting standards cannot be located in required landscape planters. Prior to issuance of letter of approval R 75A-28 to the Alcohol Beverage Control Board, this condition must be complied with. (21) A timed -access cash controller or drop safe must be installed. (22) Install a silent armed robbery alarm. (23) The owner or manager of the licensed premises shall maintain on the premises a written security policy and procedures manual, that has been approved by the police department, addressing at a minimum the following items: (a) Procedures for handling obviously intoxicated persons (b) The method for establishing a reasonable ratio of employees to patrons, based upon activity level, in order to ensure adequate staffing levels to monitor beverage sales and patron behavior. (c) Procedures for handling patrons involved in fighting, arguing or loitering about the building, and/or in the immediate adjacent area that is owned, leased, rented or used under agreement by the licensee(s). (d) Procedures for verifying the age of patrons for purposes of alcohol sales. (e) Procedures for ensuring that servers monitor patrons to ensure that their drinking limit/potential intoxication is not exceeded. This procedure should include a description of the procedure the server would use to warn, or refuse to serve, the patron. (f) Procedures for calling the police regarding observed or reported criminal activity. (g) Procedures for management of queuing lines. (h) The location and description of any video games proposed to be on the premises. (24) The operator shall be responsible for submitting a detailed outdoor fencing and dining plan where outdoor dining is proposed as part of the business operation. If the proposed dining area or fencing is in the public right of way, the applicant must obtain all required permits and approvals from the Public Works Agency. (25) Combined alcohol storage and display areas shall not exceed five (5) percent of the gross floor area of the licensed establishment. 0 75A-29 Section 4. Section 41-313.5 (Parking Lots and Parking Structures) of Chapter 41 of the SAMC is hereby amended to read as follows: Sec. 41-313.5. - Uses subject to a conditional use permit in the P district. The following may be permitted in the P district, subject to the issuance of a conditional use permit: a. Convalescent hospitals, nursing homes, rest homes and extended care facilities. b. Hospitals. c. Trade and professional schools. d. Health clubs and gymnasiums. e. Recreational or entertainment uses if carried on in conjunction with any of the uses specified in clauses (e), (f) and (k) of section 41-313. f. Ambulance and emergency medical response services. g. Non -freestanding commercial and service uses which are open at any time between the hours of 12:00 midnight and 5:00 a.m., provided that such uses also meet the standards for commercial and service uses permitted under section 41-313, and further provided that such uses have less than twenty thousand (20,000) square feet of floor area. h. Eating establishments open at any time between the hours of 12:00 midnight and 5:00 a.m. and located within one hundred fifty (150) feet of residentially zoned or used property, measured from property line to property line. i. Banquet facilities, subject to development and operational standards set forth in section 41-199.1. j. Banquet facilities as an ancillary use, subject to development and operational standards set forth in section 41-199.1. k. Adult day care facilities. I. Clubs, fraternities and lodges. m. Bail bond uses, subject to development and operation standards set forth in section 41-323. n. Churches and accessory church buildings. 10 75A-30 o. Parking lots and parking structures subject to compliance with the requirements of Section 41-324. Section 5. Section 41-324 (Parking Lots and Parking Structures) of Chapter 41 of the SAMC is hereby added and shall read as follows: Sec. 41-324. — Parkina lot and parking structure standards. In addition to the provisions of this chapter, the following minimum development and operational standards apply to parking lot and parking structure uses: (a) Shall only be permitted on sites of no less than two (2) acres. (b) Shall not be permitted on sites that abut properties zoned or used for single- family residential. _. (c) Shall be designed to comply with the Citywide Design Guidelines established by resolution of the City Council Section 6. Section 41-324-325. Reserved of Chapter 41 of the SAMC is hereby amended to read as follows: Secs. 41-3245—^-ram -ago. - Reserved. Section 7. Section 41-766 (Interpretation of chapter) of Chapter 41 of the SAMC is hereby amended to read as follows: Sec. 41-766. — Interpretation of chapter regulations. The Executive Director of the Planning and Building Agency, or his or her designee, shall have the responsibility and authority to interpret the meaning and applicability of all provisions and requirements of this Chapter. In interpreting and applying the provisions of this Chapter, they shall be held to be the minimum requirements for the promotion of the public safety, health, convenience, comfort and general welfare. Whenever the Executive Director determines that the meaning or applicability of any of the requirements of this Chapter are subject to interpretation generally, or as applied to a specific case, the Executive Director may issue an official interpretation or refer the question to the Planning Commission for determination. If ambiguity arises concerninq the appropriate classification of a particular use or regulation within the meaning and intent of this Chapter with respect to any matters regulated by this Chapter based on established or unforeseen circumstances, including technological changes in processing or application of materials, the Executive Director shall have the power to interpret the regulation based on understanding of this Chapter. Applicants may appeal the Executive Director's interpretation to the Planning Commission for review and interpretation, which shall be final: thereafter, such interpretation shall govern. 11 75A-31 Section 8. Section 41-1341 (Restaurants, cafes, etc.) of Chapter 41 of the SAMC is hereby amended to read as follows: Sec. 41-1341. — Restaurants, cafes, etc. (a) The minimum off-street parking requirements for restaurants, cafes and other eating establishments are as follows: eight (8) spaces for each one thousand (1,000) square feet of gross floor area and open-air dining area except that an open-air dining area no greater than twenty-five (25) per cent of the gross floor area of the restaurant, or one thousand (1,000) square feet, whichever is smaller, is exempt from a parking requirement. (b) Each drive -through eating establishment shall have vehicular stacking lanes of at least eighty (80) feet from the center of the pick-up window or Pay window, whichever is closer to the menu board; and to the epder point, and eighty (80) feet from the order point or menu board to the beginning of the drive -through lane. to the end of the drove _+hr gh'ano Such stacking lanes shall be located so that they do not serve as entries to parking spaces. Section 9. Section 8 (General Provisions) of Specific Development No. 19 (SD-19) of Chapter 41 of the SAMC is hereby amended to read as follows: Section 8 General Provisions All new construction, excluding interior modifications, and including the restoration, rehabilitation, alteration, conversion and/or addition of any structure involving modification to the exterior of a structure within the area as defined as Historic French Park District (SD-19) must shall proceed through the following established review process. This includes review of structures destroyed by natural occurrences, pursuant to SAMC Sec. 41-682. PiRa' appreval shall be granted by the MaRRing rommiss on. 1. GUIDELINES AND STANDARDS. The architectural design guidelines used by City staff and the French Park Architectural Review Committee ("Committee") and adopted by resolution by the City Council, is entitled "Historic French: Its Architectural Legacy and Design Guidelines" (French Park Guidelines). All projects must adopt one of the historical architectural styles of the district which is identified in the Guidelines. All accessory structures shall comply with these architectural design guidelines. 2. NEIGHBORHOOD REVIEW. The French Park Architectural Review Committee is a volunteer croup comprised of French Park neiahborhood residents and/or property owners shall who are authorized to review proposals for new construction, restoration, rehabilitation, alteration conversion and/or additions to an existing structure within the boundaries 12 75A-32 of SD-19. A Neighborhood Review Application shall be submitted to the Planning Division for all minor and major modifications for evaluation by staff and shall be forwarded to the French Park Architectural Review Committee for comments. make fi„di„gS that the „r „esed ne GenstrUGt;Ga, re6terati9R, rehabilitation, alteratieR, aelr, .e„—a„d;o, Staff and the Committee will review the Neighborhood Review Application for is-i compliance with the French Park Guidelines and is OR compliance with the Secretary of the Interior's Standards for Rehabilitation and Guidelines for Rehabilitating Historic Buildings. The findings shall he made a „art of the !"fi/s fermal revie prOGes6. If there is not an active Committee, by request of the French Park Neighborhood Association Chairperson, City staff shall provide the sole Neighborhood Review evaluation. 3. EXCEPTIONS. All projects, except those requiring any discretionary action, are exempt from the Development Project Plan approval process as set forth in Sections 41-668 through 674 of the SAMC. 4. HISTORIC RESOURCES COMMISSION APPROVAL. Final approval of major exterior modifications shall be granted by the Historic Resources Commission. Final approval of minor exterior modifications as outlined per Resolution No. 2006-001 and adopted by the Historic Resources Commission on January 5, 2006 shall be granted administratively by staff. The French Park Architectural Review Committee comments are to Ae made a „art of the Gity'„ shall be included into staff's evaluation and recommendation to the Historic Resources Commission. The decision of the Historic Resources PlaRninq Commission regarding approval of the major exterior modifications shall be final unless an appeal is filed as set forth in Section 30-8 of Chapter 30 of the SAMC. Section 10. Section General Provisions (General Provisions) of Specific Development No. 40 (SD-40) of Chapter 41 of the SAMC is hereby amended to read as follows: GENERAL PROVISIONS 13 75A-33 .. . . All new construction, excluding interior modifications, and including the restoration rehabilitation, alteration, conversion and/or addition of any structure involving includes review of structures destroyed by natural occurrences, pursuant to SAMC Sec. 41-682. A. GUIDELINES AND STANDARDS. The architectural desian auidelines used by City staff and the Heninger Park Architectural Review Committee (Committee) and adopted by resolution of the City Council is entitled "Heninger Park Architectural Design Guidelines" (Heninger Park Guidelines). All projects must adopt one of the historical architectural styles of the district which is identified in the Guidelines. All accessory structures shall comply with these architectural design guidelines. B. NEIGHBORHOOD REVIEW, The Heninaer Park Architectural Review Committee is a volunteer group comprised of Heninger Park neighborhood residents and/or property owners who are authorized to review proposals for new construction, restoration, rehabilitation, alteration, conversion and/or additions to an existing structure within the boundaries of SD-40. A Neighborhood Review Application shall be submitted to the Planninq 14 75A-34 Division for all minor and major modifications for evaluation by staff and shall be forwarded to the Heninger Park Architectural Review Committee for comments. Staff and the Committee will review the Neighborhood Review Application for compliance with the Heninger Park Guidelines and compliance with the Secretary of the Interior's Standards for Rehabilitation and Guidelines for Rehabilitating Historic Buildings. If there is not an active Committee, by request of the Heninger Park Neighborhood Association Chairperson, City staff shall provide the sole Neighborhood Review evaluation. C. EXCEPTIONS. All projects, except those requiring any discretionary action, are exempt from the Development Project Plan approval process as set forth in Sections 41-668 through 674 of the SAMC. D. HISTORIC RESOURCES COMMISSION APPROVAL. Final approval of major exterior modifications shall be granted by the Historic Resources Commission. Final approval of minor exterior modifications as outlined per Resolution No. 2006-001 and adopted by the Historic Resources Commission on January 5 2006 shall be granted administratively by staff. The Heninger Park Architectural Review Committee comments shall be included into staffs evaluation and recommendation to the Historic Resources Commission. The decision of the Historic Resources Commission regarding approval of the major exterior modifications shall be final unless an appeal is filed as set forth in Section 30-8 of Chapter 30 of the SAMC. Section 11. If any section, subsection, sentence, clause, phrase or portion of this ordinance for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council of the City of Santa Ana hereby declares that it would have adopted this ordinance and each section, subsection, sentence, clause phrase or portion thereof irrespective of the fact that any one or more sections, subsections, sentences, clauses, phrases, or portions be declared invalid or unconstitutional. ADOPTED this day of 2020. Miguel A. Pulido Mayor 15 75A-35 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 , 2020 and that said ordinance was published it accordance with the Charter of the City of Santa Ana. Date: Clerk of the Council City of Santa Ana 75A-36 16 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 7, 2020 TITLE: PUBLIC HEARING REGARDING THE ADOPTION OF A RESOLUTION AMENDING THE FY 19-20 MISCELLANEOUS FEES SCHEDULE TO ADD A SMALL CELL APPLICATION FEE FOR CITY FACILITIES CLERK OF COUNCIL USE ONLY: APPROVED ❑ 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 Adopt a resolution to amend the Fiscal Year 2019-20 Miscellaneous Fees Schedule to add a Small Cell Application Fee for City Facilities in the amount of $1,741.79, based upon the City's actual cost to review and approve the application. DISCUSSION On March 17, 2020, City Council approved an agreement with Los Angeles SMSA, dba Verizon Wireless in order to begin the installation of small cell antennas on City -owned street lights. Other wireless providers have also expressed interest in entering into similar agreements with the City. An application fee of $1,741.79 will be collected for each application submitted for the use of a City -owned facility licensed under such agreements during FY 2019-20. The fees will be subject to any blanket increases made to the Miscellaneous Fee Schedule during the yearly adoption of the schedule. Staff seeks approval of a resolution (Exhibit 1) amending the FY 2019-20 Miscellaneous Fees Schedule to add the Small Cell Application Fee for City Facilities. The fee is a partial cost -recovery fee that will be used to offset the staff cost for processing the application. STRATEGIC PLAN ALIGNMENT Approval of this item supports the City's efforts to meet Goal #3 - Economic Development, Objective #3 (promote a solutions -based customer focus in all efforts to facilitate development and investment in the community), Strategy C (explore opportunities to encourage a business friendly environment within the city). 75B-1 Public Hearing to Amend Misc. Fee Schedule April 7, 2020 Page 2 ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT The proposed fee will generate approximately $50,000 in revenues, which have been recognized in the Public Works Revenues, Small Cell Application Fee for City Facilities revenue account (No. 01117002-53740). Exhibit: 1. Resolution 75B-2 jmf 3/26/20 EXHIBIT 1 RESOLUTION NO. 2020-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ESTABLISHING A SMALL CELL APPLICATION FEE FOR CITY -OWNED FACILITIES 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. Each year, for the convenience of the public, the City Council gathers in a single document a comprehensive listing of fees and service charges imposed by the City upon those persons seeking services of value from the City. B. This document is known as the Miscellaneous Fees Schedule for Fiscal Year 2019-2020 and is on file at the office of the Clerk of the Council and available on the City's website. C. The City has begun entering into master licensing agreements with wireless carriers and infrastructure providers to allow them to use City -owned street lights for the installation and operation of their small cell antennas and related equipment. These agreements require the payment of an "Application Fee" for each individual site or location proposed to be used. D. Based on the estimated costs to administer and process each application for the use of City -owned facilities for the above purpose, the fee set forth below is recommended. Section 2. Following a duly -noticed public hearing held on April 7, 2020, at which any and all interested persons were heard, the City Council hereby establishes an Application Fee of $1,741.79 for the processing of applications related to the installation of small cell antennas on City -owned street lights. Section 3. Without further action of the City Council, the above -referenced fee established by this Resolution shall be incorporated into the City's Uniform Schedule of Miscellaneous Fees for Fiscal Year 2019-20. 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. Resdution No. 2020-XXX Page 1 of 2 75B-3 jmf 3/26/20 ADOPTED this day of 12020. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: i►L. �.w. -�, ohn M. Funk Assistant City Attorney NOES: Councilmembers /_1Y.3r_11►� 11111111154ZdiM, I1Laiil04 P, CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Daisy Gomez, Clerk of the Council, do hereby certify the attached Resolution No. 2020 - to be the original resolution adopted by the City Council of the City of Santa Ana on 12020. Date: Clerk of the Council City of Santa Ana Resdution No. 2020-XXX Page 2 of 2 75B-4